Filed September 7, 2021
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| Provider | Service type | Compensation |
|---|---|---|
Service code 13 · EIN 42-0127290 | Contract Administrator | $42,088 |
Filed as: KESTRA ADVISORY SERVICE, LLC Service code 27 | Advisory (Plan) | $15,456 |
Service code 13 · EIN 45-4208939 | Contract Administrator | $7,209 |
Filed as: KESTRA ADVISORY SERVICES, LLC Service code 27 · EIN 35-2552359 | Advisory (Plan) | $0 |
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.)
Form 5500 reported a failure to timely transmit participant contributions (Schedule H line 4a).
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 | $51,004 | $47,922+6.4% | $75,900-32.8% | $65,186-21.8% |
| Participation rate | 53.6% | 63.0%-9.4pp | 69.3%-15.7pp | 70.2%-16.6pp |
| Annual return | 20.66% | 24.12%-3.5pp | 30.73%-10.1pp | 29.39%-8.7pp |
| Employer contribution / active EE | $1,605 | $1,557+3.1% | $2,501-35.8% | $2,177-26.3% |
| Participant deferral / active EE | $3,795 | $2,550+48.8% | $3,604+5.3% | $3,514+8.0% |
| Admin fee / account holder | $314 | $532-41.0% | $5,421-94.2% | $847-63.0% |