# Cetera Financial Group, INC. 401(k) Plan
Source: https://planprovider.pro/companies/cetera-financial-group-inc-401k-plan

> Cetera Financial Group, INC.'s 401(k) plan: 3,070 participants, plan year 2024 financials, providers, and benchmarks from Form 5500.

Form 5500 filing data for plan year 2024.

## Plan Snapshot

- **Plan Sponsor:** Cetera Financial Group, INC.

- **Sponsor EIN:** 300588666

- **Sponsor Address:** 2301 ROSECRANS AVENUE SUITE 5100, EL SEGUNDO, CA, 90245

- **Plan Type:** 401(k)

- **Total Participants:** 3,070

- **Total Assets:** $386.6M

## Key Plan Design Features

- **Auto-Enrollment:** Yes

- **Auto-Escalation:** No

- **Allows Roth Contributions:** Yes

- **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|3,070|$386.6M|$7.7M|$21.6M|

| 2023|2,096|$229.5M|$14.1M|$16.9M|

| 2022|1,835|$174.5M|$3.4M|$14.6M|

## 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|

| EMPOWER ANNUITY INSURANCE COMPANY O|NONE|$288,721|—|$288,721|

| EMPOWER ADVISORY GROUP, LLC|NONE|$77,656|—|$77,656|

| SAGEVIEW ADVISORY GROUP LLC|NONE|$74,504|—|$74,504|

| SINGER LEWAK LLP|NONE|$36,864|—|$36,864|

| BAKER TILLY US, LLP|Auditor|—|—|$0|

### Verified Provider Profiles

Direct links to verified profiles of matched retirement plan providers on PlanProvider.Pro:

- [SAGEVIEW ADVISORY GROUP LLC](https://planprovider.pro/provider/sageview-advisory-group) — NONE

- [SINGER LEWAK LLP](https://planprovider.pro/provider/singerlewak-llp) — NONE

- [BAKER TILLY US, LLP](https://planprovider.pro/provider/baker-tilly-us-llp) — Auditor

## Plan Fees & Expenses

Annual service provider fees and administrative expenses sourced from DOL Form 5500 filings.

- **Total Service Provider Fees:** $477,745

- **Estimated Expense Ratio:** 0.124% 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|$330,803|$85,910|—|—|—|

| 2023|$367,391|$101,631|—|$23,706|—|

| 2022|$300,175|$75,482|$197,514|—|$27,179|

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[View full interactive plan profile on PlanProvider.Pro](https://planprovider.pro/companies/cetera-financial-group-inc-401k-plan)

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