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| Provider | Service type | Compensation |
|---|---|---|
GRASSI & CO2 years Filed as: GRASSI AND CO Service code 10 · EIN 82-3583612 | Accounting | $16,924 |
EMPIRE VALUATION1 year Filed as: EMPIRE VALUATION CONSULTANTS,INC Service code 34 · EIN 16-1328446 | Valuation (appraisals, etc.) | $16,425 |
ESOP FIDUCIARIES3 years Filed as: ESOP FIDUCIARIES, INC. Service code 24 · EIN 82-1679944 | Discretionary Trustee | $9,000 |
Filed as: PRINCIPAL Service code 14 · EIN 42-1520346 | Plan Administrator | $6,375 |
1 fund holds $40K of the plan's $4.2M. From the 2025 filing. Recordkeeper: Principal.
| Fund | Dollars | % of funds% |
|---|---|---|
| Interest income Manager not matched · Other | $40K | 100.0% |
Covers 71,410 large plans that list their funds in their annual filing. Updated Nov 6, 2026. Shares describe these plans, not the whole market.
Counterparties on defaulted loans (Part 1), defaulted leases (Part 2), and non-exempt prohibited transactions (Part 3). Presence of any row warrants fiduciary review.
| Counterparty | Category | Amount, terms |
|---|---|---|
Imagine Earl Learning Centers, LLC Part 3 Non-exempt transaction | Non-exempt transaction | Pro |
More than 10% of assets are held in cash - possible menu-design or default-fund problem.
Fidelity bond coverage is below the ERISA section 412 10%-of-assets minimum (capped at $500,000).
Plan appears closed to new enrollment or frozen - balance-holders far exceed active participants, or the plan reports active distributions with no inflows. Exclude from peer benchmarks.
The auditor signed off without reservation. This is the cleanest opinion.