Plan Snapshot
- Plan Sponsor: Conning & Company
- Sponsor EIN: 061174588
- Sponsor Address: ONE FINANCIAL PLAZA, HARTFORD, CT, 06103
- Plan Type: 401(k)
- Plan Number: 003
- Total Participants: 538
- Total Assets: $184.8M
Key Plan Design Features
- Auto-Enrollment: Yes
- Auto-Escalation: No
- Allows Roth Contributions: Yes
- Participant Loans: Yes
- Participant-Directed Investments: Yes
- ERISA Section 404(c) Fiduciary Safe Harbor: Yes
Plan Financials by Year
| Year | Participants | Total Assets | Employer Contrib. | Employee Contrib. |
|---|---|---|---|---|
| 2025 | 538 | $184.8M | $0 | $0 |
| 2024 | 370 | $160.2M | $4.2M | $5.6M |
| 2023 | 365 | $138.3M | $1.8M | $5.4M |
| 2022 | 355 | $118.7M | $3.1M | $5.2M |
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 | Other Service Provider | $70,772 | — | $70,772 |
| EMPOWER ADVISORY GROUP, LLC | Other Service Provider | $28,706 | — | $28,706 |
Plan Fees & Expenses
Annual service provider fees and administrative expenses sourced from DOL Form 5500 filings.
- Total Service Provider Fees: $99,478
- Estimated Expense Ratio: 0.054% 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 |
|---|---|---|---|---|---|
| 2025 | $9,314,891 | $28,706 | — | — | — |
| 2024 | $46,381 | $22,336 | — | $13,800 | — |
| 2023 | $42,320 | $19,116 | — | $7,875 | — |
| 2022 | $115,719 | $37,237 | $78,482 | — | — |