Plan Snapshot
- Plan Sponsor: Waterton Associates
- Sponsor EIN: 364020229
- Sponsor Address: 222 S. RIVERSIDE PLAZA, CHICAGO, IL, 60606
- Plan Type: 401(k)
- Total Participants: 815
- Total Assets: $53.6M
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 | 815 | $53.6M | $1.7M | $4.1M |
| 2023 | 765 | $47.6M | $1.8M | $4.2M |
| 2022 | 2,218 | $39.6M | $1.7M | $4.0M |
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 |
|---|---|---|---|---|
| FIDELITY INVESTMENTS INSTITUTIONAL | RECORDKEEPER | $115,111 | — | $115,111 |
| CREATIVE PLANNING LLC | ADVISOR | $83,379 | — | $83,379 |
| SIKICH LLP | ACCOUNTANT/AUDITOR | $8,000 | — | $8,000 |
| SIKICH CPA, LLC | Auditor | $8,000 | — | $8,000 |
Verified Provider Profiles
Direct links to verified profiles of matched retirement plan providers on PlanProvider.Pro:
- FIDELITY INVESTMENTS INSTITUTIONAL — RECORDKEEPER
- CREATIVE PLANNING LLC — ADVISOR
- SIKICH CPA, LLC — Auditor
Plan Fees & Expenses
Annual service provider fees and administrative expenses sourced from DOL Form 5500 filings.
- Total Service Provider Fees: $214,490
- Estimated Expense Ratio: 0.400% 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 | $206,490 | $83,379 | — | $8,000 | — |
| 2023 | $206,316 | $71,731 | — | $8,000 | — |
| 2022 | $208,909 | — | — | — | — |