Plan Snapshot
- Plan Sponsor: Waller Lansden Dortch & Davis
- Sponsor EIN: 620479474
- Sponsor Address: 511 UNION STREET, NASHVILLE, TN, 37219
- Plan Type: 401(k)
- Plan Number: 003
- Total Participants: 6
- Total Assets: $228,429
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. |
|---|---|---|---|---|
| 2023 | 6 | $228,429 | $0 | $0 |
| 2022 | 342 | $196.0M | $4.7M | $4.7M |
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 |
|---|---|---|---|---|
| UBS FINANCIAL SERVICES INC | Recordkeeper | $80,808 | — | $80,808 |
| MERRILL LYNCH | Investment Advisor | $48,930 | — | $48,930 |
| NORTHWESTERN MUTUAL | Investment Advisor | $46,585 | — | $46,585 |
| LEHMAN BROTHERS, INC. | Other Service Provider | $17,443 | — | $17,443 |
| ROBERT W BAIRD & CO. INC. | Other Service Provider | $14,703 | — | $14,703 |
| CAPWEALTH ADVISORS | Investment Advisor | $13,907 | — | $13,907 |
| ALLIANCE BERNSTEIN | Other Service Provider | $12,860 | — | $12,860 |
| RBC CAPITAL MARKETS LLC | Recordkeeper | $12,858 | — | $12,858 |
| MORGAN STANLEY | Recordkeeper | $8,269 | — | $8,269 |
| BENJAMIN F EDWARDS & CO. | Other Service Provider | $6,782 | — | $6,782 |
Verified Provider Profiles
Direct links to verified profiles of matched retirement plan providers on PlanProvider.Pro:
- UBS FINANCIAL SERVICES INC — Recordkeeper
- MERRILL LYNCH — Investment Advisor
- NORTHWESTERN MUTUAL — Investment Advisor
- CAPWEALTH ADVISORS — Investment Advisor
- RBC CAPITAL MARKETS LLC — Recordkeeper
- MORGAN STANLEY — Recordkeeper
Plan Fees & Expenses
Annual service provider fees and administrative expenses sourced from DOL Form 5500 filings.
- Total Service Provider Fees: $263,145
- Estimated Expense Ratio: 115.198% 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 |
|---|---|---|---|---|---|
| 2023 | $278,994 | $240,324 | — | — | — |
| 2022 | $626,590 | $501,240 | — | — | $4,160 |