Plan Snapshot
- Plan Sponsor: Oppenheimer & Co. INC
- Sponsor EIN: 135657518
- Sponsor Address: 85 BROAD STREET, NEW YORK, NY, 10004
- Plan Type: 401(k)
- Total Participants: 2,914
- Total Assets: $700.1M
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 | 2,914 | $700.1M | $4.9M | $34.6M |
| 2023 | 2,852 | $603.0M | $4.3M | $32.1M |
| 2022 | 2,814 | $516.8M | $4.2M | $30.6M |
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 |
|---|---|---|---|---|
| JOHN HANCOCK | RETAINED BY CLIENT | $63,591 | — | $63,591 |
| PLANTE & MORAN | RETAINED BY CLIENT | $54,200 | — | $54,200 |
| SB & COMPANY LLC | Auditor | $54,200 | — | $54,200 |
Verified Provider Profiles
Direct links to verified profiles of matched retirement plan providers on PlanProvider.Pro:
- JOHN HANCOCK — RETAINED BY CLIENT
- PLANTE & MORAN — RETAINED BY CLIENT
- SB & COMPANY LLC — Auditor
Plan Fees & Expenses
Annual service provider fees and administrative expenses sourced from DOL Form 5500 filings.
- Total Service Provider Fees: $171,991
- Estimated Expense Ratio: 0.025% 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 | $117,791 | — | $63,591 | $54,200 | — |
| 2023 | $96,421 | $47,625 | $48,796 | — | — |
| 2022 | $117,869 | $100 | $72,769 | — | $45,000 |