# Waterton Associates 401(k) Plan
Source: https://planprovider.pro/companies/waterton-associates-401k-plan

> Waterton Associates's 401(k) plan: 815 participants, plan year 2024 financials, providers, and benchmarks from Form 5500.

Form 5500 filing data for plan year 2024.

## 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](https://planprovider.pro/provider/fidelity-investments) — RECORDKEEPER

- [CREATIVE PLANNING LLC](https://planprovider.pro/provider/creative-planning) — ADVISOR

- [SIKICH CPA, LLC](https://planprovider.pro/provider/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|—|—|—|—|

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