Filed May 27, 2026 (most recent of 2 filings on file)
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| Provider | Service type | Compensation |
|---|---|---|
Service code 12 · EIN 13-3689044 | Distribution (12b-1) fees; Float reve... | $473,476 |
Service code 16 · EIN 47-1411118 | Consulting | $117,165 |
Filed as: KESTRA INVESTMENT SERVICES Service code 16 1250 CAPITAL OF TEXAS HIGHWAY · AUSTIN, TX 78746 | Consulting | $61,866 |
CHARLES SCHWAB & CO., INC.5+ years Service code 33 · EIN 94-1737782 | Securities brokerage; Securities brok... | $6,619 |
Service code 33 | Securities brokerage commissions and ... | $0 |
NATIONAL FINANCIAL SERVICES5+ years Service code 33 · EIN 04-3523567 | Securities brokerage commissions and ... | $0 |
Administrative expenses exceed $300 per participant per year - possible fee-review opportunity. (Recordkeeping / audit / legal; excludes investment management.)
Plan reported corrective distributions (failed ADP/ACP testing).
Assets per participant exceed $250,000 - top-decile high-value plan.
Auditor declined to express an opinion - usually a 103(a)(3)(C) limited-scope election.
| Metric | This plan | Peer set | Industry | Size |
|---|---|---|---|---|
| Avg account balance | $256,117 | $101,523+152.3% | $141,191+81.4% | $77,775+229.3% |
| Participation rate | 100.0% | 77.4%+22.6pp | 82.5%+17.5pp | 73.2%+26.8pp |
| Annual return | 21.48% | 56.22%-34.7pp | 71.41%-49.9pp | 32.58%-11.1pp |
| Employer contribution / active EE | $7,348 | $3,341+119.9% | $4,736+55.2% | $2,504+193.5% |
| Participant deferral / active EE | $11,110 | $6,434+72.7% | $6,710+65.6% | $3,966+180.2% |
| Admin fee / account holder | $324 | $92+253.9% | $10,264-96.8% | $100+223.8% |