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| Provider | Service type | Compensation |
|---|---|---|
WESTERN WEALTH MANAGEMENT9 years Service code 26 23171 W ANELOPE TRAIL · BUCKEYE, AZ 85326 | Advisory (Participants) | $63,265 |
THE VANGUARD GROUP, INC.9 years Service code 15 · EIN 23-1945930 277 E. THIRD AVENUE · DURANGO, CO 81301 | Recordkeeping | $16,298 |
11 funds of $250K or more; 24 lines in all, holding $9.1M of the plan's $9.3M. From the 2024 filing. Recordkeeper: Vanguard.
Target-date series: Vanguard Target Retirement, mutual fund, 79% of fund dollars
| Fund | Dollars | % of funds% |
|---|---|---|
| Vanguard Target Retirement Manager not matched · Mutual fund Target-date, 12 vintages | $7.2M | 79.1% |
| Vanguard Large-Cap Index Fund Admiral Shares Vanguard · Mutual fund IndexPossible retail class ARecordkeeper's own fund | $535K | 5.9% |
| Vanguard Mid-Cap Index Fund Admiral Shares Vanguard · Mutual fund IndexPossible retail class ARecordkeeper's own fund | $267K | 2.9% |
| Vanguard Growth Index Fund Admiral Shares Vanguard · Mutual fund IndexPossible retail class ARecordkeeper's own fund | $196K | 2.2% |
| Vanguard Small-Cap Index Fund Admiral Shares Vanguard · Mutual fund IndexPossible retail class ARecordkeeper's own fund | $179K | 2.0% |
| Emerging Markets Small Cap Portfolio - Institutional Class Dimensional · Mutual fund Possible retail class A | $129K | 1.4% |
| Vanguard Information Technology Index Fund Admiral Shares Vanguard · Mutual fund IndexPossible retail class ARecordkeeper's own fund | $124K | 1.4% |
| Invesco International Small-Mid Company Fund Class R6 Invesco · Mutual fund Possible retail class A | $61K | 0.7% |
| Vanguard Equity Income Fund Admiral Shares Vanguard · Mutual fund Possible retail class ARecordkeeper's own fund | $52K | 0.6% |
| Vanguard Consumer Staples Index Fund Admiral Shares Vanguard · Mutual fund IndexPossible retail class ARecordkeeper's own fund | $49K | 0.5% |
Covers 61,314 large plans that list their funds in their annual filing. Updated Nov 2, 2026. Shares describe these plans, not the whole market.
Participation rate is below 70% (account-balance holders / active employees) - enrollment or auto-enroll opportunity.
Administrative expenses exceed $300 per participant per year - possible fee-review opportunity. (Recordkeeping / audit / legal; excludes investment management.)
Form 5500 reported a failure to timely transmit participant contributions (Schedule H line 4a).
Plan reported corrective distributions (failed ADP/ACP testing).
The auditor signed off without reservation. This is the cleanest opinion.