Plan Snapshot
- Plan Sponsor: Cain, Watters & Associates, LLC
- Sponsor EIN: 320216084
- Sponsor Address: 17 COWBOYS WAY, SUITE 300, FRISCO, TX, 75034
- Plan Type: 401(k)
- Total Participants: 356
- Total Assets: $45.5M
Key Plan Design Features
- Auto-Enrollment: Yes
- Auto-Escalation: No
- Allows Roth Contributions: No
- Participant Loans: No
- Participant-Directed Investments: Yes
- ERISA Section 404(c) Fiduciary Safe Harbor: Yes
Plan Financials by Year
| Year | Participants | Total Assets | Employer Contrib. | Employee Contrib. |
|---|---|---|---|---|
| 2024 | 356 | $45.5M | $1.4M | $3.2M |
| 2023 | 319 | $37.8M | $1.2M | $2.8M |
| 2022 | 297 | $29.1M | $1.0M | $2.4M |
Service Providers (Schedule C)
Vendors paid $5,000 or more for services to the plan, ranked by total compensation (direct + indirect fees).
| Provider Name | Role | Direct Compensation | Indirect Compensation | Total Fees |
|---|---|---|---|---|
| T BANK, N.A. | CUSTODIAN | $62,948 | — | $62,948 |
| HM&M GROUP, LLC | Auditor | — | — | $0 |
Verified Provider Profiles
Direct links to verified profiles of matched retirement plan providers on PlanProvider.Pro:
- HM&M GROUP, LLC — Auditor
Plan Fees & Expenses
Annual service provider fees and administrative expenses sourced from DOL Form 5500 filings.
- Total Service Provider Fees: $62,948
- Estimated Expense Ratio: 0.138% of plan assets
Historical Administrative Expenses
Breakdown of administrative expense categories reported on Form 5500 filings.
| Year | Total Admin Expenses | Investment Mgmt Fees | Contract Admin Fees | IQPA Audit Fees | Professional Fees |
|---|---|---|---|---|---|
| 2024 | $62,981 | $57,873 | $5,108 | — | — |
| 2023 | $52,603 | $47,623 | $4,980 | — | — |
| 2022 | $44,862 | $41,722 | $3,140 | — | — |