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Original filing (PDF)20231016105518NAL0037545233001
LEVY-ROSEN, LLC
Form 5500
FILING_RECEIVED
ROSEN GROUP 401K PLAN
401(k) retirement plan
Signals · 1
6 service providers
Active participants
321
Accounts w/ balance
424
Plan assets (EOY)
$14.4M
Net assets (EOY)
$14.4M
Plan health score (directional)
86
/ 100
Grade A
Top-tier plan health
Directional indicator computed from public Form 5500 data — compliance, concentration, cost, vendor stack and participation. Not a fiduciary tool.
Compliance & disclosures
100
Concentration risk
75
Total plan cost
65
Vendor stack
100
Participation health
100
Knocking points off
- 61 bps in Schedule C fees — 110% above peer band of 29 bps.
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 LEVY-ROSEN, LLC.
Plan sponsor
Name
LEVY-ROSEN, LLC
EIN
81-1033591
Address
100 N GREEN BAY ROAD · WAUKEGAN, IL · 60085
Phone
(847) 662-2400
Industry
Retail Tradesee all
Plan administrator
Same as plan sponsor.
Plan characteristics
Plan number
001
Plan year
2022
Plan year begin
2022-01-01
Tax period
2022-12-31
Filed
2023-10-16
Pension benefit codes
2E · Profit-sharing
2F · ERISA section 404(c)
2G · Total participant-directed accounts
2J · 401(k) feature
2K · 401(m) arrangement
2S · Automatic enrollment
2T · Default investment account (QDIA)
3D · Pre-approved plan (master / prototype / VS)
2R · Participant-directed brokerage (SDBA)
3H · Sponsor in controlled / affiliated group
Audit & trust (Schedule H)
Auditor
LIPSCHULTZ, LEVIN, & GRAY, LLC
Trustee / custodian
—
Trustee phone
—
Service providers (Schedule C)
6 rowsRecordkeeper
1| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| EMPOWER ANNUITY INS CO OF AMER | — | GREENWOOD VILLAGE, CO | RECORDKEEPER | $35K | — |
Advisor / Consultant
1| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| CREATIVE PLANNING HOLD CO LLC | — | OVERLAND PARK, KS | INVESTMENT ADVISOR | $9K | — |
TPA / Administrator
1| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| MAP RETIREMENT, INC. | 39-1884254 | APPLETON, WI | TPA | $5K | — |
Accountant / Auditor
1| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| SVA CERTIFIED PUBLIC ACCOUNTANTS | — | MADISON, WI | AUDITOR | $7K | — |
Other
2| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| WILLIAM BLAIR & COMPANY | — | CHICAGO, IL | OTHER | $22K | — |
| ADVISED ASSETS GROUP, LLC | — | GREENWOOD VILLAGE, CO | INVESTMENT MGMT | $11K | — |
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.
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