# Comply Technologies, INC. 401(k) Plan
Source: https://planprovider.pro/companies/compliance-science-inc-401k-plan

> Comply Technologies, INC.'s 401(k) plan: 279 participants, plan year 2024 financials, providers, and benchmarks from Form 5500.

Form 5500 filing data for plan year 2024.

## 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](https://planprovider.pro/provider/mml-investors-services-llc) — INVESTMENT ADVISORY

- [TMI CPA, P.C.](https://planprovider.pro/provider/tmi-cpa-pc) — 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|—|—|

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