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Original filing (PDF)20241213135404NAL0013728145001
ROCKFORD GASTROENTEROLOGY ASSOCIATES, LTD.
Form 5500
FILING_RECEIVED
ROCKFORD GASTROENTEROLOGY ASSOCIATES, LTD. 401(K) PROFIT SHARING PLAN
401(k) retirement plan
Signals · 2
Late filing · 0.9 moNo recordkeeper disclosed
Active participants
106
Accounts w/ balance
152
Plan assets (EOY)
$26.6M
Net assets (EOY)
$26.6M
Plan health score (directional)
83
/ 100
Grade B
Above-average plan
Directional indicator computed from public Form 5500 data — compliance, concentration, cost, vendor stack and participation. Not a fiduciary tool.
Compliance & disclosures
96
Concentration risk
75
Total plan cost
65
Vendor stack
80
Participation health
100
Knocking points off
- Filed 0.9 months past the 10.5-month grace window.
- 64 bps in Schedule C fees — 122% above peer band of 29 bps.
- No recordkeeper disclosed on Schedule C.
Helping the score
- Concentration not scored — Schedule of Assets PDF not yet parsed for this plan.
Decision-maker contacts
CFO / Head of HR / Benefits Manager — verified email + LinkedIn for ROCKFORD GASTROENTEROLOGY ASSOCIATES, LTD..
Plan sponsor
Name
ROCKFORD GASTROENTEROLOGY ASSOCIATES, LTD.
EIN
36-3081482
Address
401 ROXBURY RD · ROCKFORD, IL · 61107
Phone
(815) 397-7340
Industry
Offices of Physicians· Health Care & Social Assistancesee all
Plan administrator
Same as plan sponsor.
Plan characteristics
Plan number
001
Plan year
2023
Plan year begin
2023-01-01
Tax period
2023-12-31
Filed
2024-12-13
Pension benefit codes
2E · Profit-sharing
2A · Age/service weighted or new comparability
2F · ERISA section 404(c)
2G · Total participant-directed accounts
2J · 401(k) feature
2K · 401(m) arrangement
2R · Participant-directed brokerage (SDBA)
2T · Default investment account (QDIA)
3D · Pre-approved plan (master / prototype / VS)
Audit & trust (Schedule H)
Auditor
CLIFTONLARSONALLEN LLP
Trustee / custodian
—
Trustee phone
—
Service providers (Schedule C)
2 rowsTPA / Administrator
1| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| PCS RETIREMENT, LLC | 23-3038464 | — | CONTRACT ADMINISTRATOR | $20K | — |
Other
1| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| SAVANT CAPITAL MANAGEMENT, INC. | 36-3859937 | — | NONE | $151K | — |
Investments
The Schedule of Assets is filed as a free-form PDF attachment on EFAST2; we parse these offline and coverage is partial (priority is the largest plans by EOY assets). This plan also reports no pooled (Schedule D) interests, so its holdings aren’t hidden on a master-trust filing. The line-item data lives on DOL EFAST2 under the same ACK_ID.
See Methodology > Data linkages for how Form 5500 / Schedule H / Schedule D / Schedule of Assets fit together.