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| Provider | Service type | Compensation |
|---|---|---|
Filed as: KESTRA ADVISORY SERVICES Service code 15 · EIN 35-2552359 | Recordkeeping | $14,388 |
ADP BROKER-DEALER3+ years Service code 49 · EIN 22-3319984 | Other Services | $0 |
Participation rate is below 70% (account-balance holders / active employees) - enrollment or auto-enroll opportunity.
Fidelity bond coverage is below the ERISA section 412 10%-of-assets minimum (capped at $500,000).
Plan reported corrective distributions (failed ADP/ACP testing).
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 | $32,046 | $51,466-37.7% | $78,778-59.3% | $62,293-48.6% |
| Participation rate | 57.2% | 59.8%-2.6pp | 69.2%-12.0pp | 69.5%-12.3pp |
| Annual return | 15.27% | 19.96%-4.7pp | 35.62%-20.3pp | 28.90%-13.6pp |
| Employer contribution / active EE | $0 | $827-100.0% | $1,986-100.0% | $2,042-100.0% |
| Participant deferral / active EE | $1,573 | $2,147-26.7% | $2,958-46.8% | $3,169-50.4% |
| Admin fee / account holder | $94 | $489-80.8% | $5,134-98.2% | $479-80.4% |