Plan Snapshot
- Plan Sponsor: Paloma Partners Management Company
- Sponsor EIN: 133145891
- Sponsor Address: 2 AMERICAN LANE, GREENWICH, CT, 068312559
- Plan Type: 401(k)
- Total Participants: 72
- Total Assets: $80.8M
Key Plan Design Features
- Auto-Enrollment: Yes
- Auto-Escalation: No
- Allows Roth Contributions: No
- 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 | 72 | $80.8M | $557,437 | $1.6M |
| 2023 | 56 | $80.7M | $1.4M | $1.7M |
| 2022 | 61 | $74.2M | $1.3M | $1.6M |
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 |
|---|---|---|---|---|
| ERNST AND YOUNG LLP | Auditor | $18,000 | — | $18,000 |
Verified Provider Profiles
Direct links to verified profiles of matched retirement plan providers on PlanProvider.Pro:
- ERNST AND YOUNG LLP — Auditor
Plan Fees & Expenses
Annual service provider fees and administrative expenses sourced from DOL Form 5500 filings.
- Total Service Provider Fees: $18,000
- Estimated Expense Ratio: 0.022% 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 | $43,368 | — | $25,368 | $18,000 | — |
| 2023 | $30,393 | $10,000 | $20,393 | — | — |
| 2022 | $5,151 | — | — | — | — |