KESTRA INVESTMENTS

Aggregated across all Schedule C name variants below. DOL truncates provider names to 35 chars, so the same legal entity is filed under multiple spellings.

Plans served

Active participants

18,654

Total plan assets

$1.7B

Filings (rows)

Direct comp

$20K

Indirect comp

$70K

Aggregating 2 name variants under "KESTRA INVESTMENTS"

KESTRA INVESTMENTS2 KESTRA INVESTMENTS SERVICES1

SERVICES PROVIDED

Broker2

Advisor / Consultant1

Top plans served

All 3 plans

Sponsor / Plan	Location	Service	Participants	Assets	Direct comp
PERATON CORP. PERATON CORP. RETIREMENT SAVINGS PLAN	RESTON, VA	Advisor / Consultant INVESTMENT ADVISOR	17,590	$1.7B	$20K
9DOT EDUCATION SOLUTIONS, LLC 9DOT 401(K) PLAN	PASADENA, CA	Broker BROKER/ ADVISER	743	$40.9M	$0
WHITNEY CENTER, INC. WHITNEY CENTER, INC. COMPREHENSIVE RETIREMENT PLAN