Plan Snapshot
- Plan Sponsor: Aai Associates, INC.
- Sponsor EIN: 352442153
- Sponsor Address: 14 WALL STREET, NEW YORK, NY, 10005
- Plan Type: 401(k)
- Total Participants: 94
- Total Assets: $12.0M
Key Plan Design Features
- Auto-Enrollment: Yes
- Auto-Escalation: No
- Allows Roth Contributions: No
- Participant Loans: No
- Participant-Directed Investments: No
- ERISA Section 404(c) Fiduciary Safe Harbor: Yes
Plan Financials by Year
| Year | Participants | Total Assets | Employer Contrib. | Employee Contrib. |
|---|---|---|---|---|
| 2024 | 94 | $12.0M | $340,980 | $996,348 |
| 2023 | 107 | $9.8M | $328,951 | $955,257 |
| 2022 | 95 | $7.3M | $304,813 | $883,259 |
Service Providers (Schedule C)
Vendors paid $5,000 or more for services to the plan, ranked by total compensation (direct + indirect fees).
| Provider Name | Role | Direct Compensation | Indirect Compensation | Total Fees |
|---|---|---|---|---|
| NATIONWIDE | Insurance Carrier | $54,503 | — | $54,503 |
| WORLD INVESTMENT ADVISORS, LLC | Other Service Provider | $23,040 | — | $23,040 |
| CETERA ADVISORS, LLC | Other Service Provider | $13,292 | — | $13,292 |
| CETERA INVESTMENT ADVISORS LLC | Other Service Provider | $12,032 | — | $12,032 |
| IRON FIDUCIARY | Other Service Provider | $10,583 | — | $10,583 |
| ASSOCIATED PENSION CONSULTANTS, INC | Other Service Provider | $958 | $5,317 | $6,275 |
Verified Provider Profiles
Direct links to verified profiles of matched retirement plan providers on PlanProvider.Pro:
- NATIONWIDE — Insurance Carrier
Plan Fees & Expenses
Annual service provider fees and administrative expenses sourced from DOL Form 5500 filings.
- Total Service Provider Fees: $119,725
- Estimated Expense Ratio: 0.997% of plan assets
Historical Administrative Expenses
Breakdown of administrative expense categories reported on Form 5500 filings.
| Year | Total Admin Expenses | Investment Mgmt Fees | Contract Admin Fees | IQPA Audit Fees | Professional Fees |
|---|---|---|---|---|---|
| 2024 | $62,801 | — | $62,801 | — | — |
| 2023 | $93,303 | — | $93,303 | — | — |
| 2022 | $41,305 | — | $41,305 | — | — |