Plan Snapshot
- Plan Sponsor: Comply Technologies, INC.
- Sponsor EIN: 020693753
- Sponsor Address: 136 MADISON AVENUE, 8TH FLOOR, NEW YORK, NY, 10016
- Plan Type: 401(k)
- Total Participants: 279
- Total Assets: $15.6M
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 | 279 | $15.6M | $484,025 | $2.4M |
| 2023 | 289 | $12.7M | $288,403 | $2.3M |
| 2022 | 348 | $9.9M | $575,831 | $987,500 |
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 |
|---|---|---|---|---|
| PRINCIPAL LIFE INSURANCE COMPANY | CONTRACT ADMINISTRATOR | $80,748 | — | $80,748 |
| MML INVESTORS | INVESTMENT ADVISORY | — | $39,681 | $39,681 |
| THE ANGELL PENSION GROUP INC | THIRD PARTY ADMIN | — | $6,930 | $6,930 |
| TMI CPA, P.C. | Auditor | — | — | $0 |
Verified Provider Profiles
Direct links to verified profiles of matched retirement plan providers on PlanProvider.Pro:
- MML INVESTORS — INVESTMENT ADVISORY
- TMI CPA, P.C. — Auditor
Plan Fees & Expenses
Annual service provider fees and administrative expenses sourced from DOL Form 5500 filings.
- Total Service Provider Fees: $127,359
- Estimated Expense Ratio: 0.816% 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 | $80,749 | — | $80,749 | — | — |
| 2023 | $64,518 | — | $64,518 | — | — |
| 2022 | $27,039 | — | $27,039 | — | — |