401k Plan data: KESTRA FINANCIAL, INC. 401(K) PLAN plan

KESTRA FINANCIAL, INC. 401(K) PLAN 401k Plan overview

Plan Name	KESTRA FINANCIAL, INC. 401(K) PLAN
Plan identification number	001

KESTRA FINANCIAL, INC. 401(K) PLAN Benefits

401k Plan Type

Defined Contribution Pension

Plan Features/Benefits

Profit-sharing
Total participant-directed account plan - Participants have the opportunity to direct the investment of all the assets allocated to their individual accounts, regardless of whether 29 CFR 2550.404c-1 is intended to be met.
Code section 401(k) feature - A cash or deferred arrangement described in Code section 401(k) that is part of a qualified defined contribution plan that provides for an election by employees to defer part of their compensation or receive these amounts in cash.
Code section 401(m) arrangement - Employee contributions are allocated to separate accounts under the plan or employer contributions are based, in whole or in part, on employee deferrals or contribtions to the plan. Not applicable if plan is 401(k) plan with only QNECs and/or QMACs. Also not applicable if Code section 403(b)(1), 403(b)(7) or 408 arrangements/accounts/annuities.
Participant-directed brokerage accounts provided as an investment option under the plan.
Plan provides for automatic enrollment in plan that has employee contributions deducted from payroll.
Total or partial participant-directed account plan - plan uses default investment account for participants who fail to direct assets in their account.
Master plan - A pension plan that is made available by a sponsor for adoption by employers; that is the subject of a favorable opinion letter; and for which a single funding medium (for example, a trust or custodial account) is established for the joint use of all adopting employers.

401k Sponsoring company profile

KESTRA FINANCIAL, INC. has sponsored the creation of one or more 401k plans.

Company Name: KESTRA FINANCIAL, INC.

Employer identification number (EIN): 471566880

NAIC Classification: 523110
NAIC Description: Investment Banking and Securities Dealing

Form 5500 Filing Information

Submission information for form 5500 for 401k plan KESTRA FINANCIAL, INC. 401(K) PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2022-01-01
001 2021-01-01
001 2020-01-01
001 2019-01-01
001 2018-01-01
001 2018-01-01
001 2017-01-01 MARY HJORTH
001 2016-08-08 MARY HJORTH

Plan Statistics for KESTRA FINANCIAL, INC. 401(K) PLAN

401k plan membership statisitcs for KESTRA FINANCIAL, INC. 401(K) PLAN

Measure Date Value
2022: KESTRA FINANCIAL, INC. 401(K) PLAN 2022 401k membership
Total participants, beginning-of-year 2022-01-01 740
Total number of active participants reported on line 7a of the Form 5500 2022-01-01 826
Number of retired or separated participants receiving benefits 2022-01-01 0
Number of other retired or separated participants entitled to future benefits 2022-01-01 134
Total of all active and inactive participants 2022-01-01 960
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2022-01-01 1
Total participants 2022-01-01 961
Number of participants with account balances 2022-01-01 769
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2022-01-01 55
2021: KESTRA FINANCIAL, INC. 401(K) PLAN 2021 401k membership
Total participants, beginning-of-year 2021-01-01 662
Total number of active participants reported on line 7a of the Form 5500 2021-01-01 630
Number of retired or separated participants receiving benefits 2021-01-01 0
Number of other retired or separated participants entitled to future benefits 2021-01-01 109
Total of all active and inactive participants 2021-01-01 739
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2021-01-01 1
Total participants 2021-01-01 740
Number of participants with account balances 2021-01-01 603
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2021-01-01 43
2020: KESTRA FINANCIAL, INC. 401(K) PLAN 2020 401k membership
Total participants, beginning-of-year 2020-01-01 601
Total number of active participants reported on line 7a of the Form 5500 2020-01-01 588
Number of retired or separated participants receiving benefits 2020-01-01 0
Number of other retired or separated participants entitled to future benefits 2020-01-01 73
Total of all active and inactive participants 2020-01-01 661
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2020-01-01 1
Total participants 2020-01-01 662
Number of participants with account balances 2020-01-01 531
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2020-01-01 21
2019: KESTRA FINANCIAL, INC. 401(K) PLAN 2019 401k membership
Total participants, beginning-of-year 2019-01-01 494
Total number of active participants reported on line 7a of the Form 5500 2019-01-01 530
Number of retired or separated participants receiving benefits 2019-01-01 0
Number of other retired or separated participants entitled to future benefits 2019-01-01 69
Total of all active and inactive participants 2019-01-01 599
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2019-01-01 2
Total participants 2019-01-01 601
Number of participants with account balances 2019-01-01 500
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2019-01-01 19
2018: KESTRA FINANCIAL, INC. 401(K) PLAN 2018 401k membership
Total participants, beginning-of-year 2018-01-01 169
Total number of active participants reported on line 7a of the Form 5500 2018-01-01 121
Number of retired or separated participants receiving benefits 2018-01-01 1
Number of other retired or separated participants entitled to future benefits 2018-01-01 52
Total of all active and inactive participants 2018-01-01 174
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2018-01-01 0
Total participants 2018-01-01 174
Number of participants with account balances 2018-01-01 173
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2018-01-01 0
2017: KESTRA FINANCIAL, INC. 401(K) PLAN 2017 401k membership
Total participants, beginning-of-year 2017-01-01 330
Total number of active participants reported on line 7a of the Form 5500 2017-01-01 324
Number of retired or separated participants receiving benefits 2017-01-01 0
Number of other retired or separated participants entitled to future benefits 2017-01-01 26
Total of all active and inactive participants 2017-01-01 350
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2017-01-01 1
Total participants 2017-01-01 351
Number of participants with account balances 2017-01-01 266
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2017-01-01 4
2016: KESTRA FINANCIAL, INC. 401(K) PLAN 2016 401k membership
Total participants, beginning-of-year 2016-08-08 0
Total number of active participants reported on line 7a of the Form 5500 2016-08-08 303
Number of retired or separated participants receiving benefits 2016-08-08 0
Number of other retired or separated participants entitled to future benefits 2016-08-08 27
Total of all active and inactive participants 2016-08-08 330
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2016-08-08 0
Total participants 2016-08-08 330
Number of participants with account balances 2016-08-08 245
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2016-08-08 0

Measure	Date	Value
2022: KESTRA FINANCIAL, INC. 401(K) PLAN 2022 401k membership
Total participants, beginning-of-year	2022-01-01	740
Total number of active participants reported on line 7a of the Form 5500	2022-01-01	826
Number of retired or separated participants receiving benefits	2022-01-01	0
Number of other retired or separated participants entitled to future benefits	2022-01-01	134
Total of all active and inactive participants	2022-01-01	960
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2022-01-01	1
Total participants	2022-01-01	961
Number of participants with account balances	2022-01-01	769
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2022-01-01	55
2021: KESTRA FINANCIAL, INC. 401(K) PLAN 2021 401k membership
Total participants, beginning-of-year	2021-01-01	662
Total number of active participants reported on line 7a of the Form 5500	2021-01-01	630
Number of retired or separated participants receiving benefits	2021-01-01	0
Number of other retired or separated participants entitled to future benefits	2021-01-01	109
Total of all active and inactive participants	2021-01-01	739
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2021-01-01	1
Total participants	2021-01-01	740
Number of participants with account balances	2021-01-01	603
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2021-01-01	43
2020: KESTRA FINANCIAL, INC. 401(K) PLAN 2020 401k membership
Total participants, beginning-of-year	2020-01-01	601
Total number of active participants reported on line 7a of the Form 5500	2020-01-01	588
Number of retired or separated participants receiving benefits	2020-01-01	0
Number of other retired or separated participants entitled to future benefits	2020-01-01	73
Total of all active and inactive participants	2020-01-01	661
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2020-01-01	1
Total participants	2020-01-01	662
Number of participants with account balances	2020-01-01	531
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2020-01-01	21
2019: KESTRA FINANCIAL, INC. 401(K) PLAN 2019 401k membership
Total participants, beginning-of-year	2019-01-01	494
Total number of active participants reported on line 7a of the Form 5500	2019-01-01	530
Number of retired or separated participants receiving benefits	2019-01-01	0
Number of other retired or separated participants entitled to future benefits	2019-01-01	69
Total of all active and inactive participants	2019-01-01	599
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2019-01-01	2
Total participants	2019-01-01	601
Number of participants with account balances	2019-01-01	500
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2019-01-01	19
2018: KESTRA FINANCIAL, INC. 401(K) PLAN 2018 401k membership
Total participants, beginning-of-year	2018-01-01	169
Total number of active participants reported on line 7a of the Form 5500	2018-01-01	121
Number of retired or separated participants receiving benefits	2018-01-01	1
Number of other retired or separated participants entitled to future benefits	2018-01-01	52
Total of all active and inactive participants	2018-01-01	174
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2018-01-01	0
Total participants	2018-01-01	174
Number of participants with account balances	2018-01-01	173
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2018-01-01	0
2017: KESTRA FINANCIAL, INC. 401(K) PLAN 2017 401k membership
Total participants, beginning-of-year	2017-01-01	330
Total number of active participants reported on line 7a of the Form 5500	2017-01-01	324
Number of retired or separated participants receiving benefits	2017-01-01	0
Number of other retired or separated participants entitled to future benefits	2017-01-01	26
Total of all active and inactive participants	2017-01-01	350
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2017-01-01	1
Total participants	2017-01-01	351
Number of participants with account balances	2017-01-01	266
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2017-01-01	4
2016: KESTRA FINANCIAL, INC. 401(K) PLAN 2016 401k membership
Total participants, beginning-of-year	2016-08-08	0
Total number of active participants reported on line 7a of the Form 5500	2016-08-08	303
Number of retired or separated participants receiving benefits	2016-08-08	0
Number of other retired or separated participants entitled to future benefits	2016-08-08	27
Total of all active and inactive participants	2016-08-08	330
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2016-08-08	0
Total participants	2016-08-08	330
Number of participants with account balances	2016-08-08	245
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2016-08-08	0

Financial Data on KESTRA FINANCIAL, INC. 401(K) PLAN

Measure	Date	Value
2022 : KESTRA FINANCIAL, INC. 401(K) PLAN 2022 401k financial data
Total unrealized appreciation/depreciation of assets	2022-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2022-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2022-12-31	$0
Total income from all sources (including contributions)	2022-12-31	$1,057,423
Total loss/gain on sale of assets	2022-12-31	$0
Total of all expenses incurred	2022-12-31	$4,230,230
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2022-12-31	$4,140,834
Value of total corrective distributions	2022-12-31	$442
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2022-12-31	$10,987,945
Value of total assets at end of year	2022-12-31	$51,463,457
Value of total assets at beginning of year	2022-12-31	$54,636,264
Total of administrative expenses incurred including professional, contract, advisory and management fees	2022-12-31	$88,954
Total interest from all sources	2022-12-31	$39,430
Total dividends received (eg from common stock, registered investment company shares)	2022-12-31	$1,184,892
Total dividends received from registered investment company shares (eg mutual funds)	2022-12-31	$1,184,892
Was this plan covered by a fidelity bond	2022-12-31	Yes
Value of fidelity bond cover	2022-12-31	$20,000,000
If this is an individual account plan, was there a blackout period	2022-12-31	No
Were there any nonexempt tranactions with any party-in-interest	2022-12-31	No
Contributions received from participants	2022-12-31	$7,074,974
Participant contributions at end of year	2022-12-31	$876,714
Participant contributions at beginning of year	2022-12-31	$746,987
Participant contributions at end of year	2022-12-31	$0
Participant contributions at beginning of year	2022-12-31	$127,015
Assets. Other investments not covered elsewhere at end of year	2022-12-31	$6,204,464
Assets. Other investments not covered elsewhere at beginning of year	2022-12-31	$6,590,833
Income. Received or receivable in cash from other sources (including rollovers)	2022-12-31	$1,800,266
Other income not declared elsewhere	2022-12-31	$-1,340,360
Administrative expenses (other) incurred	2022-12-31	$82,695
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2022-12-31	No
Value of net income/loss	2022-12-31	$-3,172,807
Value of net assets at end of year (total assets less liabilities)	2022-12-31	$51,463,457
Value of net assets at beginning of year (total assets less liabilities)	2022-12-31	$54,636,264
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2022-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2022-12-31	No
Were any leases to which the plan was party in default or uncollectible	2022-12-31	No
Assets. partnership/joint venture interests at end of year	2022-12-31	$10
Assets. partnership/joint venture interests at beginning of year	2022-12-31	$0
Investment advisory and management fees	2022-12-31	$6,259
Value of interest in registered invesment companies (eg mutual funds) at end of year	2022-12-31	$28,356,141
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2022-12-31	$29,350,542
Interest on participant loans	2022-12-31	$39,430
Value of interest in common/collective trusts at end of year	2022-12-31	$15,912,829
Value of interest in common/collective trusts at beginning of year	2022-12-31	$17,716,275
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2022-12-31	$-7,219,750
Net investment gain or loss from common/collective trusts	2022-12-31	$-2,594,734
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2022-12-31	No
Was there a failure to transmit to the plan any participant contributions	2022-12-31	No
Has the plan failed to provide any benefit when due under the plan	2022-12-31	No
Contributions received in cash from employer	2022-12-31	$2,112,705
Employer contributions (assets) at end of year	2022-12-31	$113,299
Employer contributions (assets) at beginning of year	2022-12-31	$104,612
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2022-12-31	$4,140,834
Did the plan have assets held for investment	2022-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2022-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2022-12-31	No
Opinion of an independent qualified public accountant for this plan	2022-12-31	Unqualified
Accountancy firm name	2022-12-31	BAKER TILLY VIRCHOW KRAUSE, LLP
Accountancy firm EIN	2022-12-31	390859910
2021 : KESTRA FINANCIAL, INC. 401(K) PLAN 2021 401k financial data
Total unrealized appreciation/depreciation of assets	2021-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2021-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2021-12-31	$0
Total income from all sources (including contributions)	2021-12-31	$16,148,983
Total loss/gain on sale of assets	2021-12-31	$0
Total of all expenses incurred	2021-12-31	$11,157,142
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2021-12-31	$11,073,878
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2021-12-31	$8,788,697
Value of total assets at end of year	2021-12-31	$54,636,264
Value of total assets at beginning of year	2021-12-31	$49,644,423
Total of administrative expenses incurred including professional, contract, advisory and management fees	2021-12-31	$83,264
Total interest from all sources	2021-12-31	$36,262
Total dividends received (eg from common stock, registered investment company shares)	2021-12-31	$2,262,255
Total dividends received from registered investment company shares (eg mutual funds)	2021-12-31	$2,262,255
Was this plan covered by a fidelity bond	2021-12-31	Yes
Value of fidelity bond cover	2021-12-31	$20,000,000
If this is an individual account plan, was there a blackout period	2021-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2021-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2021-12-31	No
Contributions received from participants	2021-12-31	$5,183,091
Participant contributions at end of year	2021-12-31	$746,987
Participant contributions at beginning of year	2021-12-31	$714,903
Participant contributions at end of year	2021-12-31	$127,015
Participant contributions at beginning of year	2021-12-31	$121,039
Assets. Other investments not covered elsewhere at end of year	2021-12-31	$6,590,833
Assets. Other investments not covered elsewhere at beginning of year	2021-12-31	$8,800,026
Income. Received or receivable in cash from other sources (including rollovers)	2021-12-31	$2,066,169
Other income not declared elsewhere	2021-12-31	$1,088,870
Administrative expenses (other) incurred	2021-12-31	$77,269
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2021-12-31	No
Value of net income/loss	2021-12-31	$4,991,841
Value of net assets at end of year (total assets less liabilities)	2021-12-31	$54,636,264
Value of net assets at beginning of year (total assets less liabilities)	2021-12-31	$49,644,423
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2021-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2021-12-31	No
Were any leases to which the plan was party in default or uncollectible	2021-12-31	No
Investment advisory and management fees	2021-12-31	$5,995
Value of interest in registered invesment companies (eg mutual funds) at end of year	2021-12-31	$29,350,542
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2021-12-31	$23,009,118
Interest on participant loans	2021-12-31	$36,262
Value of interest in common/collective trusts at end of year	2021-12-31	$17,716,275
Value of interest in common/collective trusts at beginning of year	2021-12-31	$16,837,643
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2021-12-31	$1,954,138
Net investment gain or loss from common/collective trusts	2021-12-31	$2,018,761
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2021-12-31	No
Was there a failure to transmit to the plan any participant contributions	2021-12-31	No
Has the plan failed to provide any benefit when due under the plan	2021-12-31	No
Contributions received in cash from employer	2021-12-31	$1,539,437
Employer contributions (assets) at end of year	2021-12-31	$104,612
Employer contributions (assets) at beginning of year	2021-12-31	$161,694
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2021-12-31	$11,073,878
Did the plan have assets held for investment	2021-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2021-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2021-12-31	No
Opinion of an independent qualified public accountant for this plan	2021-12-31	Disclaimer
Accountancy firm name	2021-12-31	BAKER TILLY VIRCHOW KRAUSE, LLP
Accountancy firm EIN	2021-12-31	390859910
2020 : KESTRA FINANCIAL, INC. 401(K) PLAN 2020 401k financial data
Total unrealized appreciation/depreciation of assets	2020-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2020-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2020-12-31	$0
Total income from all sources (including contributions)	2020-12-31	$13,699,528
Total loss/gain on sale of assets	2020-12-31	$0
Total of all expenses incurred	2020-12-31	$4,100,064
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2020-12-31	$4,022,973
Value of total corrective distributions	2020-12-31	$3,244
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2020-12-31	$7,099,715
Value of total assets at end of year	2020-12-31	$49,644,423
Value of total assets at beginning of year	2020-12-31	$40,044,959
Total of administrative expenses incurred including professional, contract, advisory and management fees	2020-12-31	$73,847
Total interest from all sources	2020-12-31	$39,926
Total dividends received (eg from common stock, registered investment company shares)	2020-12-31	$529,046
Total dividends received from registered investment company shares (eg mutual funds)	2020-12-31	$529,046
Was this plan covered by a fidelity bond	2020-12-31	Yes
Value of fidelity bond cover	2020-12-31	$20,000,000
If this is an individual account plan, was there a blackout period	2020-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2020-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2020-12-31	No
Contributions received from participants	2020-12-31	$4,136,304
Participant contributions at end of year	2020-12-31	$714,903
Participant contributions at beginning of year	2020-12-31	$803,527
Participant contributions at end of year	2020-12-31	$121,039
Participant contributions at beginning of year	2020-12-31	$0
Assets. Other investments not covered elsewhere at end of year	2020-12-31	$8,800,026
Assets. Other investments not covered elsewhere at beginning of year	2020-12-31	$6,780,362
Income. Received or receivable in cash from other sources (including rollovers)	2020-12-31	$1,654,592
Other income not declared elsewhere	2020-12-31	$1,194,349
Administrative expenses (other) incurred	2020-12-31	$67,325
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2020-12-31	No
Value of net income/loss	2020-12-31	$9,599,464
Value of net assets at end of year (total assets less liabilities)	2020-12-31	$49,644,423
Value of net assets at beginning of year (total assets less liabilities)	2020-12-31	$40,044,959
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2020-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2020-12-31	No
Were any leases to which the plan was party in default or uncollectible	2020-12-31	No
Investment advisory and management fees	2020-12-31	$6,522
Value of interest in registered invesment companies (eg mutual funds) at end of year	2020-12-31	$23,009,118
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2020-12-31	$16,780,399
Interest on participant loans	2020-12-31	$39,926
Value of interest in common/collective trusts at end of year	2020-12-31	$16,837,643
Value of interest in common/collective trusts at beginning of year	2020-12-31	$15,625,567
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2020-12-31	$3,224,046
Net investment gain or loss from common/collective trusts	2020-12-31	$1,612,446
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2020-12-31	No
Was there a failure to transmit to the plan any participant contributions	2020-12-31	No
Has the plan failed to provide any benefit when due under the plan	2020-12-31	No
Contributions received in cash from employer	2020-12-31	$1,308,819
Employer contributions (assets) at end of year	2020-12-31	$161,694
Employer contributions (assets) at beginning of year	2020-12-31	$55,104
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2020-12-31	$4,022,973
Did the plan have assets held for investment	2020-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2020-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2020-12-31	No
Opinion of an independent qualified public accountant for this plan	2020-12-31	Disclaimer
Accountancy firm name	2020-12-31	BAKER TILLY VIRCHOW KRAUSE, LLP
Accountancy firm EIN	2020-12-31	390859910
2019 : KESTRA FINANCIAL, INC. 401(K) PLAN 2019 401k financial data
Total unrealized appreciation/depreciation of assets	2019-12-31	$0
Total transfer of assets to this plan	2019-12-31	$10,639,960
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2019-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2019-12-31	$0
Total income from all sources (including contributions)	2019-12-31	$11,944,895
Total loss/gain on sale of assets	2019-12-31	$0
Total of all expenses incurred	2019-12-31	$3,506,860
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2019-12-31	$3,415,901
Value of total corrective distributions	2019-12-31	$23,597
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2019-12-31	$5,598,749
Value of total assets at end of year	2019-12-31	$40,044,959
Value of total assets at beginning of year	2019-12-31	$20,966,964
Total of administrative expenses incurred including professional, contract, advisory and management fees	2019-12-31	$67,362
Total interest from all sources	2019-12-31	$38,587
Total dividends received (eg from common stock, registered investment company shares)	2019-12-31	$681,202
Total dividends received from registered investment company shares (eg mutual funds)	2019-12-31	$681,202
Was this plan covered by a fidelity bond	2019-12-31	Yes
Value of fidelity bond cover	2019-12-31	$20,000,000
If this is an individual account plan, was there a blackout period	2019-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2019-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2019-12-31	No
Contributions received from participants	2019-12-31	$3,626,669
Participant contributions at end of year	2019-12-31	$803,527
Participant contributions at beginning of year	2019-12-31	$417,204
Participant contributions at end of year	2019-12-31	$0
Participant contributions at beginning of year	2019-12-31	$89,989
Assets. Other investments not covered elsewhere at end of year	2019-12-31	$6,780,362
Assets. Other investments not covered elsewhere at beginning of year	2019-12-31	$3,810,751
Income. Received or receivable in cash from other sources (including rollovers)	2019-12-31	$868,506
Other income not declared elsewhere	2019-12-31	$811,590
Administrative expenses (other) incurred	2019-12-31	$61,216
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2019-12-31	No
Value of net income/loss	2019-12-31	$8,438,035
Value of net assets at end of year (total assets less liabilities)	2019-12-31	$40,044,959
Value of net assets at beginning of year (total assets less liabilities)	2019-12-31	$20,966,964
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2019-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2019-12-31	No
Were any leases to which the plan was party in default or uncollectible	2019-12-31	No
Investment advisory and management fees	2019-12-31	$6,146
Value of interest in registered invesment companies (eg mutual funds) at end of year	2019-12-31	$16,780,399
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2019-12-31	$10,963,742
Interest on participant loans	2019-12-31	$38,587
Value of interest in common/collective trusts at end of year	2019-12-31	$15,625,567
Value of interest in common/collective trusts at beginning of year	2019-12-31	$5,578,188
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2019-12-31	$2,535,198
Net investment gain or loss from common/collective trusts	2019-12-31	$2,279,569
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2019-12-31	No
Was there a failure to transmit to the plan any participant contributions	2019-12-31	No
Has the plan failed to provide any benefit when due under the plan	2019-12-31	No
Contributions received in cash from employer	2019-12-31	$1,103,574
Employer contributions (assets) at end of year	2019-12-31	$55,104
Employer contributions (assets) at beginning of year	2019-12-31	$107,090
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2019-12-31	$3,415,901
Did the plan have assets held for investment	2019-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2019-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2019-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2019-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2019-12-31	Disclaimer
Accountancy firm name	2019-12-31	BAKER TILLY VIRCHOW KRAUSE, LLP
Accountancy firm EIN	2019-12-31	390859910
2018 : KESTRA FINANCIAL, INC. 401(K) PLAN 2018 401k financial data
Unrealized appreciation/depreciation of real estate assets	2018-12-31	$0
Unrealized appreciation/depreciation of other (non real estate) assets	2018-12-31	$0
Total unrealized appreciation/depreciation of assets	2018-12-31	$0
Total transfer of assets to this plan	2018-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2018-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2018-12-31	$0
Total income from all sources (including contributions)	2018-12-31	$1,371,263
Total loss/gain on sale of assets	2018-12-31	$0
Total of all expenses incurred	2018-12-31	$1,399,030
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2018-12-31	$1,347,534
Expenses. Certain deemed distributions of participant loans	2018-12-31	$0
Value of total corrective distributions	2018-12-31	$7,321
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2018-12-31	$2,924,671
Value of total assets at end of year	2018-12-31	$20,966,964
Value of total assets at beginning of year	2018-12-31	$20,994,731
Total of administrative expenses incurred including professional, contract, advisory and management fees	2018-12-31	$44,175
Total income from rents	2018-12-31	$0
Total interest from all sources	2018-12-31	$20,295
Total dividends received (eg from common stock, registered investment company shares)	2018-12-31	$743,218
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2018-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2018-12-31	$743,218
Administrative expenses professional fees incurred	2018-12-31	$0
Was this plan covered by a fidelity bond	2018-12-31	Yes
Value of fidelity bond cover	2018-12-31	$20,000,000
If this is an individual account plan, was there a blackout period	2018-12-31	Yes
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2018-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2018-12-31	No
Amount of non-exempt transactions with any party-in-interest	2018-12-31	$0
Contributions received from participants	2018-12-31	$2,134,789
Participant contributions at end of year	2018-12-31	$417,204
Participant contributions at beginning of year	2018-12-31	$452,473
Participant contributions at end of year	2018-12-31	$89,989
Participant contributions at beginning of year	2018-12-31	$24,000
Assets. Other investments not covered elsewhere at end of year	2018-12-31	$3,810,751
Assets. Other investments not covered elsewhere at beginning of year	2018-12-31	$3,911,939
Income. Received or receivable in cash from other sources (including rollovers)	2018-12-31	$74,507
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)	2018-12-31	$0
Value of other receiveables (less allowance for doubtful accounts) at end of year	2018-12-31	$0
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2018-12-31	$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2018-12-31	$0
Other income not declared elsewhere	2018-12-31	$-337,996
Administrative expenses (other) incurred	2018-12-31	$39,894
Liabilities. Value of operating payables at beginning of year	2018-12-31	$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2018-12-31	No
Value of net income/loss	2018-12-31	$-27,767
Value of net assets at end of year (total assets less liabilities)	2018-12-31	$20,966,964
Value of net assets at beginning of year (total assets less liabilities)	2018-12-31	$20,994,731
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2018-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2018-12-31	No
Amount of loans by the plan or fixed income obligations due to the plan which were in default/classified-as-uncollectible as of the close of the plan year	2018-12-31	$0
Were any leases to which the plan was party in default or uncollectible	2018-12-31	No
Amount of leases to which the plan was a party which were in default/classified-as-uncollectible during the year	2018-12-31	$0
Investment advisory and management fees	2018-12-31	$4,281
Value of interest in registered invesment companies (eg mutual funds) at end of year	2018-12-31	$10,963,742
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2018-12-31	$10,647,655
Value of interest in pooled separate accounts at end of year	2018-12-31	$16,976,571
Value of interest in pooled separate accounts at beginning of year	2018-12-31	$18,069,358
Interest on participant loans	2018-12-31	$20,295
Income. Interest from loans (other than to participants)	2018-12-31	$0
Interest earned on other investments	2018-12-31	$0
Income. Interest from US Government securities	2018-12-31	$0
Income. Interest from corporate debt instruments	2018-12-31	$0
Value of interest in common/collective trusts at end of year	2018-12-31	$5,578,188
Value of interest in common/collective trusts at beginning of year	2018-12-31	$5,874,759
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2018-12-31	$0
Expenses. Payments to insurance carriers foe the provision of benefits	2018-12-31	$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2018-12-31	$-1,643,665
Net investment gain/loss from pooled separate accounts	2018-12-31	$-1,185,944
Net investment gain or loss from common/collective trusts	2018-12-31	$-335,260
Net gain/loss from 103.12 investment entities	2018-12-31	$0
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2018-12-31	No
Was there a failure to transmit to the plan any participant contributions	2018-12-31	No
Has the plan failed to provide any benefit when due under the plan	2018-12-31	No
Contributions received in cash from employer	2018-12-31	$715,375
Employer contributions (assets) at end of year	2018-12-31	$107,090
Employer contributions (assets) at beginning of year	2018-12-31	$83,905
Income. Dividends from preferred stock	2018-12-31	$0
Income. Dividends from common stock	2018-12-31	$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2018-12-31	$1,347,534
Contract administrator fees	2018-12-31	$3,852
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-3	2018-12-31	Yes
Liabilities. Value of benefit claims payable at beginning of year	2018-12-31	$0
Did the plan have assets held for investment	2018-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2018-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2018-12-31	No
Aggregate proceeds on sale of assets	2018-12-31	$0
Aggregate carrying amount (costs) on sale of assets	2018-12-31	$0
Liabilities. Value of acquisition indebtedness at beginning of year	2018-12-31	$0
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2018-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2018-12-31	Disclaimer
Accountancy firm name	2018-12-31	BAKER TILLY VIRCHOW KRAUSE, LLP
Accountancy firm EIN	2018-12-31	390859910
2017 : KESTRA FINANCIAL, INC. 401(K) PLAN 2017 401k financial data
Total unrealized appreciation/depreciation of assets	2017-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2017-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2017-12-31	$0
Total income from all sources (including contributions)	2017-12-31	$6,227,178
Total loss/gain on sale of assets	2017-12-31	$0
Total of all expenses incurred	2017-12-31	$2,679,948
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2017-12-31	$2,634,313
Value of total corrective distributions	2017-12-31	$5,779
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2017-12-31	$3,102,856
Value of total assets at end of year	2017-12-31	$20,994,731
Value of total assets at beginning of year	2017-12-31	$17,447,501
Total of administrative expenses incurred including professional, contract, advisory and management fees	2017-12-31	$39,856
Total interest from all sources	2017-12-31	$18,177
Total dividends received (eg from common stock, registered investment company shares)	2017-12-31	$496,634
Total dividends received from registered investment company shares (eg mutual funds)	2017-12-31	$496,634
Was this plan covered by a fidelity bond	2017-12-31	Yes
Value of fidelity bond cover	2017-12-31	$20,000,000
If this is an individual account plan, was there a blackout period	2017-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2017-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2017-12-31	No
Contributions received from participants	2017-12-31	$1,997,284
Participant contributions at end of year	2017-12-31	$452,473
Participant contributions at beginning of year	2017-12-31	$346,991
Participant contributions at end of year	2017-12-31	$24,000
Participant contributions at beginning of year	2017-12-31	$29,445
Assets. Other investments not covered elsewhere at end of year	2017-12-31	$3,911,939
Assets. Other investments not covered elsewhere at beginning of year	2017-12-31	$3,260,065
Income. Received or receivable in cash from other sources (including rollovers)	2017-12-31	$449,645
Other income not declared elsewhere	2017-12-31	$513,607
Administrative expenses (other) incurred	2017-12-31	$35,988
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2017-12-31	No
Value of net income/loss	2017-12-31	$3,547,230
Value of net assets at end of year (total assets less liabilities)	2017-12-31	$20,994,731
Value of net assets at beginning of year (total assets less liabilities)	2017-12-31	$17,447,501
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2017-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2017-12-31	No
Were any leases to which the plan was party in default or uncollectible	2017-12-31	No
Investment advisory and management fees	2017-12-31	$3,868
Value of interest in registered invesment companies (eg mutual funds) at end of year	2017-12-31	$10,647,655
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2017-12-31	$9,104,955
Interest on participant loans	2017-12-31	$18,177
Value of interest in common/collective trusts at end of year	2017-12-31	$5,874,759
Value of interest in common/collective trusts at beginning of year	2017-12-31	$4,628,099
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2017-12-31	$1,304,260
Net investment gain or loss from common/collective trusts	2017-12-31	$791,644
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2017-12-31	No
Was there a failure to transmit to the plan any participant contributions	2017-12-31	No
Has the plan failed to provide any benefit when due under the plan	2017-12-31	No
Contributions received in cash from employer	2017-12-31	$655,927
Employer contributions (assets) at end of year	2017-12-31	$83,905
Employer contributions (assets) at beginning of year	2017-12-31	$77,946
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2017-12-31	$2,634,313
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-3	2017-12-31	No
Did the plan have assets held for investment	2017-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2017-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2017-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2017-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2017-12-31	Disclaimer
Accountancy firm name	2017-12-31	ERNST & YOUNG
Accountancy firm EIN	2017-12-31	346565596
2016 : KESTRA FINANCIAL, INC. 401(K) PLAN 2016 401k financial data
Total unrealized appreciation/depreciation of assets	2016-12-31	$0
Total transfer of assets to this plan	2016-12-31	$16,292,015
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2016-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2016-12-31	$0
Total income from all sources (including contributions)	2016-12-31	$1,221,368
Total loss/gain on sale of assets	2016-12-31	$0
Total of all expenses incurred	2016-12-31	$65,882
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2016-12-31	$60,009
Value of total corrective distributions	2016-12-31	$507
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2016-12-31	$882,611
Value of total assets at end of year	2016-12-31	$17,447,501
Value of total assets at beginning of year	2016-12-31	$0
Total of administrative expenses incurred including professional, contract, advisory and management fees	2016-12-31	$5,366
Total interest from all sources	2016-12-31	$6,782
Total dividends received (eg from common stock, registered investment company shares)	2016-12-31	$253,633
Total dividends received from registered investment company shares (eg mutual funds)	2016-12-31	$253,633
Was this plan covered by a fidelity bond	2016-12-31	Yes
Value of fidelity bond cover	2016-12-31	$20,000,000
If this is an individual account plan, was there a blackout period	2016-12-31	Yes
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2016-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2016-12-31	No
Contributions received from participants	2016-12-31	$607,689
Participant contributions at end of year	2016-12-31	$346,991
Participant contributions at beginning of year	2016-12-31	$0
Participant contributions at end of year	2016-12-31	$29,445
Participant contributions at beginning of year	2016-12-31	$0
Assets. Other investments not covered elsewhere at end of year	2016-12-31	$3,260,065
Assets. Other investments not covered elsewhere at beginning of year	2016-12-31	$0
Income. Received or receivable in cash from other sources (including rollovers)	2016-12-31	$4,251
Other income not declared elsewhere	2016-12-31	$65,580
Administrative expenses (other) incurred	2016-12-31	$5,366
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2016-12-31	No
Value of net income/loss	2016-12-31	$1,155,486
Value of net assets at end of year (total assets less liabilities)	2016-12-31	$17,447,501
Value of net assets at beginning of year (total assets less liabilities)	2016-12-31	$0
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2016-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2016-12-31	No
Were any leases to which the plan was party in default or uncollectible	2016-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2016-12-31	$9,104,955
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2016-12-31	$0
Interest on participant loans	2016-12-31	$6,782
Value of interest in common/collective trusts at end of year	2016-12-31	$4,628,099
Value of interest in common/collective trusts at beginning of year	2016-12-31	$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2016-12-31	$-13,095
Net investment gain or loss from common/collective trusts	2016-12-31	$25,857
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2016-12-31	No
Was there a failure to transmit to the plan any participant contributions	2016-12-31	Yes
Has the plan failed to provide any benefit when due under the plan	2016-12-31	No
Contributions received in cash from employer	2016-12-31	$270,671
Employer contributions (assets) at end of year	2016-12-31	$77,946
Employer contributions (assets) at beginning of year	2016-12-31	$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2016-12-31	$60,009
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-3	2016-12-31	Yes
Did the plan have assets held for investment	2016-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2016-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2016-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2016-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2016-12-31	Disclaimer
Accountancy firm name	2016-12-31	ERNST & YOUNG
Accountancy firm EIN	2016-12-31	133364256

Form 5500 Responses for KESTRA FINANCIAL, INC. 401(K) PLAN

2022: KESTRA FINANCIAL, INC. 401(K) PLAN 2022 form 5500 responses
2022-01-01	Type of plan entity	Single employer plan
2022-01-01	Submission has been amended	No
2022-01-01	This submission is the final filing	No
2022-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2022-01-01	Plan is a collectively bargained plan	No
2022-01-01	Plan funding arrangement – Trust	Yes
2022-01-01	Plan benefit arrangement - Trust	Yes
2021: KESTRA FINANCIAL, INC. 401(K) PLAN 2021 form 5500 responses
2021-01-01	Type of plan entity	Single employer plan
2021-01-01	Submission has been amended	No
2021-01-01	This submission is the final filing	No
2021-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2021-01-01	Plan is a collectively bargained plan	No
2021-01-01	Plan funding arrangement – Trust	Yes
2021-01-01	Plan benefit arrangement - Trust	Yes
2020: KESTRA FINANCIAL, INC. 401(K) PLAN 2020 form 5500 responses
2020-01-01	Type of plan entity	Single employer plan
2020-01-01	Submission has been amended	No
2020-01-01	This submission is the final filing	No
2020-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2020-01-01	Plan is a collectively bargained plan	No
2020-01-01	Plan funding arrangement – Trust	Yes
2020-01-01	Plan benefit arrangement - Trust	Yes
2019: KESTRA FINANCIAL, INC. 401(K) PLAN 2019 form 5500 responses
2019-01-01	Type of plan entity	Single employer plan
2019-01-01	Submission has been amended	No
2019-01-01	This submission is the final filing	No
2019-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2019-01-01	Plan is a collectively bargained plan	No
2019-01-01	Plan funding arrangement – Trust	Yes
2019-01-01	Plan benefit arrangement - Trust	Yes
2018: KESTRA FINANCIAL, INC. 401(K) PLAN 2018 form 5500 responses
2018-01-01	Type of plan entity	Single employer plan
2018-01-01	Submission has been amended	No
2018-01-01	This submission is the final filing	No
2018-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2018-01-01	Plan is a collectively bargained plan	No
2018-01-01	Plan funding arrangement – Insurance	Yes
2018-01-01	Plan funding arrangement – Trust	Yes
2018-01-01	Plan benefit arrangement – Insurance	Yes
2018-01-01	Plan benefit arrangement - Trust	Yes
2017: KESTRA FINANCIAL, INC. 401(K) PLAN 2017 form 5500 responses
2017-01-01	Type of plan entity	Single employer plan
2017-01-01	Submission has been amended	No
2017-01-01	This submission is the final filing	No
2017-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2017-01-01	Plan is a collectively bargained plan	No
2017-01-01	Plan funding arrangement – Trust	Yes
2017-01-01	Plan benefit arrangement - Trust	Yes
2016: KESTRA FINANCIAL, INC. 401(K) PLAN 2016 form 5500 responses
2016-08-08	Type of plan entity	Single employer plan
2016-08-08	First time form 5500 has been submitted	Yes
2016-08-08	Submission has been amended	No
2016-08-08	This submission is the final filing	No
2016-08-08	This return/report is a short plan year return/report (less than 12 months)	Yes
2016-08-08	Plan is a collectively bargained plan	No
2016-08-08	Plan funding arrangement – Trust	Yes
2016-08-08	Plan benefit arrangement - Trust	Yes

Insurance Providers Used on plan

PRINCIPAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 61271 )

Policy contract number

437523

Policy instance

Insurance contract or identification number	437523
Number of Individuals Covered	174
Insurance policy start date	2018-01-01
Insurance policy end date	2018-12-31
Total amount of commissions paid to insurance broker	USD $0
Total amount of fees paid to insurance company	USD $0
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No

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Company Name:	KESTRA FINANCIAL, INC.
Employer identification number (EIN):	471566880
NAIC Classification:	523110
NAIC Description:	Investment Banking and Securities Dealing