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| Provider | Service type | Compensation |
|---|---|---|
Filed as: RAYMOND JAMES & ASSOCIATES Service code 27 · EIN 59-1237041 | Advisory (Plan) | $28,905 |
THE VANGUARD GROUP, INC.9 years Service code 15 · EIN 23-1945930 | Recordkeeping | $12,057 |
13 funds of $250K or more; 7 lines in all, holding $10.5M of the plan's $10.6M. From the 2024 filing. Recordkeeper: Vanguard.
Target-date series: Vanguard Target Retirement, mutual fund, 54% of fund dollars
| Fund | Dollars | % of funds% |
|---|---|---|
| Vanguard Target Retirement Vanguard · Mutual fund Target-date, 12 vintagesRecordkeeper's own fund | $5.6M | 53.5% |
| Vanguard High Dividend Yield Index Fund Admiral Shares Vanguard · Mutual fund IndexRecordkeeper's own fund | $1.9M | 18.5% |
| Vanguard Total Stock Market Index Fund Admiral Shares Vanguard · Mutual fund IndexRecordkeeper's own fund | $1.7M | 15.8% |
| Vanguard Total International Stock Index Admiral Interest in registered investment companies Vanguard · Mutual fund IndexRecordkeeper's own fund | $524K | 5.0% |
| Vanguard Total Bond Market Index Fund Admiral Shares Vanguard · Mutual fund IndexRecordkeeper's own fund | $378K | 3.6% |
| Vanguard Cash Reserves Money Market Admiral Shares Interest bearing cash Vanguard · Money market Recordkeeper's own fund | $290K | 2.8% |
| Vanguard Short-Term Bond Index Fund Admiral Shares Vanguard · Mutual fund IndexRecordkeeper's own fund | $84K | 0.8% |
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.)
Plan reported corrective distributions (failed ADP/ACP testing).
The auditor signed off without reservation. This is the cleanest opinion.