Filed October 9, 2018
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| Provider | Service type | Compensation |
|---|---|---|
Service code 13 · EIN 42-0127290 | Contract Administrator | $31,288 |
Service code 27 · EIN 36-4291971 | Advisory (Plan) | $4,999 |
Filed as: KESTRA ADVISORY SERVICES, LLC Service code 27 · EIN 35-2552359 | Advisory (Plan) | $4,998 |
Participation rate is below 70% (account-balance holders / active employees) - enrollment or auto-enroll opportunity.
Assets per participant are in the bottom quintile of the peer cohort - savings-rate / match opportunity.
Form 5500 reported a failure to timely transmit participant contributions (Schedule H line 4a).
Auditor signed off without reservation - the cleanest possible opinion.
| Metric | This plan | Peer set | Industry | Size |
|---|---|---|---|---|
| Avg account balance | $27,459 | $71,142-61.4% | $119,608-77.0% | $64,814-57.6% |
| Participation rate | 66.2% | 78.6%-12.4pp | 79.3%-13.0pp | 71.5%-5.2pp |
| Annual return | -13.37% | -10.01%-3.4pp | -14.98%+1.6pp | 32.84%-46.2pp |
| Employer contribution / active EE | $1,602 | $2,497-35.8% | $4,232-62.1% | $2,507-36.1% |
| Participant deferral / active EE | $2,872 | $4,490-36.0% | $5,601-48.7% | $4,310-33.4% |
| Admin fee / account holder | $171 | $162+5.7% | $10,326-98.3% | $188-8.8% |