Plan Snapshot
- Plan Sponsor: Roots Management Group, LLC
- Sponsor EIN: 870855596
- Sponsor Address: 1630 W. GUADALUPE RD, GILBERT, AZ, 85233
- Plan Type: 401(k)
- Plan Number: 001
- Total Participants: 1,176
- Total Assets: $6.8M
Key Plan Design Features
- Auto-Enrollment: Yes
- Auto-Escalation: No
- Allows Roth Contributions: No
- Participant Loans: No
- Participant-Directed Investments: No
- ERISA Section 404(c) Fiduciary Safe Harbor: Yes
Plan Financials by Year
| Year | Participants | Total Assets | Employer Contrib. | Employee Contrib. |
|---|---|---|---|---|
| 2025 | 1,176 | $6.8M | $0 | $0 |
| 2022 | 829 | $1.1M | $0 | $0 |
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 |
|---|---|---|---|---|
| TRANSAMERICA RETIREMENT SOLUTIONS | Recordkeeper | $71,218 | — | $71,218 |
| DWC - THE 401(K) EXPERTS | Recordkeeper | $30,751 | $69 | $30,820 |
| BIG BENEFIT CORP. | Other Service Provider | $29,008 | — | $29,008 |
Plan Fees & Expenses
Annual service provider fees and administrative expenses sourced from DOL Form 5500 filings.
- Total Service Provider Fees: $131,046
- Estimated Expense Ratio: 1.940% 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 |
|---|---|---|---|---|---|
| 2025 | $1,555,669 | $1,186 | — | $29,008 | — |
| 2022 | $146,492 | — | $14,312 | — | — |