Plan Snapshot
- Plan Sponsor: Rolta Advizex Technologies, LLC
- Sponsor EIN: 371504931
- Sponsor Address: 6480 ROCKSIDE WOODS BLVD S ST 190, INDEPENDENCE, OH, 44131
- Plan Type: 401(k)
- Total Participants: 279
- Total Assets: $35.6M
Key Plan Design Features
- Auto-Enrollment: Yes
- Auto-Escalation: No
- Allows Roth Contributions: No
- 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 | 279 | $35.6M | $439,500 | $2.7M |
| 2023 | 257 | $29.1M | $525,000 | $2.5M |
| 2022 | 213 | $25.2M | $380,005 | $2.3M |
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 |
|---|---|---|---|---|
| RAYMOND JAMES & ASSOCIATES INC | INVESTMENT ADVISOR | $80,110 | — | $80,110 |
| EMPOWER ANNUITY INSURANCE COMPANY | RECORDKEEPER | $40,208 | — | $40,208 |
| EMPOWER ADVISORY GROUP, LLC | INVESTMENT MGMT | $16,684 | — | $16,684 |
| COHEN & COMPANY, LTD | Auditor | — | — | $0 |
Plan Fees & Expenses
Annual service provider fees and administrative expenses sourced from DOL Form 5500 filings.
- Total Service Provider Fees: $137,002
- Estimated Expense Ratio: 0.385% 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 | $137,002 | $96,794 | — | — | — |
| 2023 | $135,733 | $100,671 | — | — | — |
| 2022 | $110,213 | $99,835 | $10,378 | — | — |