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| Provider | Service type | Compensation |
|---|---|---|
Filed as: KESTRA ADVISORY SERVICES, LLC Service code 27 · EIN 35-2552359 | Advisory (Plan) | $7,531 |
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.
Fidelity bond coverage is below the ERISA section 412 10%-of-assets minimum (capped at $500,000).
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 | $12,021 | $46,332-74.1% | $143,797-91.6% | $64,824-81.5% |
| Participation rate | 34.3% | 64.2%-30.0pp | 80.3%-46.0pp | 71.5%-37.2pp |
| Annual return | -6.02% | -10.05%+4.0pp | -0.04%-6.0pp | 32.84%-38.9pp |
| Employer contribution / active EE | $582 | $1,911-69.5% | $4,952-88.2% | $2,507-76.8% |
| Participant deferral / active EE | $1,465 | $2,647-44.6% | $5,638-74.0% | $4,311-66.0% |
| Admin fee / account holder | $81 | $154-47.6% | $14,679-99.5% | $188-57.0% |