# Dauby O'Connor & Zaleski, LLC 401(k) Plan
Source: https://planprovider.pro/companies/dauby-o-connor-zaleski-llc-401k-plan

> Dauby O'Connor & Zaleski, LLC's 401(k) plan: 314 participants, plan year 2024 financials, providers, and benchmarks from Form 5500.

Form 5500 filing data for plan year 2024.

## Plan Snapshot

- **Plan Sponsor:** Dauby O'Connor & Zaleski, LLC

- **Sponsor EIN:** 351750664

- **Sponsor Address:** 501 CONGRESSIONAL BLVD, CARMEL, IN, 46032

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

- **Total Participants:** 314

- **Total Assets:** $33.2M

## 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.|

| 2024|314|$33.2M|$842,226|$2.5M|

| 2023|280|$27.9M|$759,079|$2.2M|

| 2022|248|$22.6M|$290,117|$2.0M|

## 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|RECORDKEEPER|$54,354|—|$54,354|

| OSAIC WEALTH INC|BROKER/ADVISER|—|$46,631|$46,631|

| EMPOWER ADVISORY GROUP, LLC|INVESTMENT MGMT|$11,051|—|$11,051|

| WOODBURY FINANCIAL SERVICES INC|BROKER/ADVISER|—|$6,873|$6,873|

| CBIZ CPAS P.C.|Auditor|—|—|$0|

## Plan Fees & Expenses

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

- **Total Service Provider Fees:** $118,909

- **Estimated Expense Ratio:** 0.358% 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|$65,405|$11,051|—|—|—|

| 2023|$51,598|$10,742|—|—|—|

| 2022|$52,209|$9,130|$43,079|—|—|

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