Plan Snapshot
- Plan Sponsor: Guggenheim Services, LLC
- Sponsor EIN: 364464896
- Sponsor Address: 227 WEST MONROE, CHICAGO, IL, 60606
- Plan Type: 401(k)
- Total Participants: 2,085
- Total Assets: $703.5M
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 | 2,085 | $703.5M | $9.5M | $38.6M |
| 2023 | 2,043 | $611.3M | $9.4M | $36.1M |
| 2022 | 2,010 | $502.5M | $11.6M | $33.8M |
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 |
|---|---|---|---|---|
| SCHWAB RETIREMENT PLAN SERVICES,INC | NONE | $220,483 | — | $220,483 |
| MITCHELL & TITUS, LLP | NONE | $37,630 | — | $37,630 |
| JMG FINANCIAL GROUP LTD | NONE | $14,703 | — | $14,703 |
| FRANKLIN STREET ADVISROS INC | NONE | $7,911 | — | $7,911 |
Verified Provider Profiles
Direct links to verified profiles of matched retirement plan providers on PlanProvider.Pro:
- SCHWAB RETIREMENT PLAN SERVICES,INC — NONE
- MITCHELL & TITUS, LLP — NONE
Plan Fees & Expenses
Annual service provider fees and administrative expenses sourced from DOL Form 5500 filings.
- Total Service Provider Fees: $280,727
- Estimated Expense Ratio: 0.040% 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 | $322,867 | $64,838 | — | $37,630 | — |
| 2023 | $307,350 | $35,795 | $36,040 | — | — |
| 2022 | $264,916 | $36,108 | — | — | — |