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| Provider | Service type | Compensation |
|---|---|---|
Filed as: KESTRA ADVISORY SERVICES LLC Service code 99 · EIN 35-2552359 | Other Fees | $51,719 |
Service code 64 · EIN 71-0294708 | Recordkeeping Fees | $5,475 |
Participation rate is below 70% (account-balance holders / active employees) - enrollment or auto-enroll opportunity.
Participant contribution per participant is in the bottom quintile of the peer cohort.
Form 5500 reported a failure to timely transmit participant contributions (Schedule H line 4a).
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 | $71,926 | $129,095-44.3% | $184,200-61.0% | $77,671-7.4% |
| Participation rate | 66.9% | 87.3%-20.4pp | 86.8%-19.9pp | 70.6%-3.6pp |
| Annual return | 17.01% | 33.29%-16.3pp | 28.80%-11.8pp | 31.21%-14.2pp |
| Employer contribution / active EE | $1,775 | $4,410-59.7% | $6,424-72.4% | $2,726-34.9% |
| Participant deferral / active EE | $3,910 | $7,300-46.4% | $9,132-57.2% | $4,648-15.9% |
| Admin fee / account holder | $14 | $256-94.5% | $13,907-99.9% | $430-96.7% |