Filed June 25, 2018
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| Provider | Service type | Compensation |
|---|---|---|
Service code 13 · EIN 42-0127290 | Contract Administrator | $62,305 |
Filed as: KESTRA ADVISORY SERVICES, LLC Service code 27 · EIN 35-2552359 | Advisory (Plan) | $20,483 |
Participation rate is below 70% (account-balance holders / active employees) - enrollment or auto-enroll opportunity.
Administrative expenses exceed $300 per participant per year - possible fee-review opportunity. (Recordkeeping / audit / legal; excludes investment management.)
Annual investment return is in the bottom quintile of the peer cohort.
Plan reported corrective distributions (failed ADP/ACP testing).
Auditor signed off without reservation - the cleanest possible opinion.
| Metric | This plan | Peer set | Industry | Size |
|---|---|---|---|---|
| Avg account balance | $68,348 | $50,919+34.2% | $155,556-56.1% | $77,762-12.1% |
| Participation rate | 35.7% | 63.1%-27.4pp | 78.2%-42.5pp | 70.6%-34.9pp |
| Annual return | 5.04% | 34.84%-29.8pp | 64.84%-59.8pp | 31.27%-26.2pp |
| Employer contribution / active EE | $484 | $1,991-75.7% | $4,675-89.6% | $2,728-82.3% |
| Participant deferral / active EE | $1,392 | $2,824-50.7% | $5,631-75.3% | $4,651-70.1% |
| Admin fee / account holder | $401 | $437-8.2% | $15,885-97.5% | $433-7.4% |