Plan Snapshot
- Plan Sponsor: Ethan Allen Global, INC.
- Sponsor EIN: 202991357
- Sponsor Address: ETHAN ALLEN DRIVE, DANBURY, CT, 06811
- Plan Type: 401(k)
- Plan Number: 003
- Total Participants: 3,183
- Total Assets: $248.6M
Key Plan Design Features
- Auto-Enrollment: Yes
- Auto-Escalation: No
- Allows Roth Contributions: No
- Participant Loans: Yes
- Participant-Directed Investments: Yes
- ERISA Section 404(c) Fiduciary Safe Harbor: Yes
Plan Financials by Year
| Year | Participants | Total Assets | Employer Contrib. | Employee Contrib. |
|---|---|---|---|---|
| 2025 | 3,183 | $248.6M | $0 | $0 |
| 2024 | 1,913 | $230.2M | $2.3M | $8.9M |
| 2023 | 1,998 | $219.3M | $2.3M | $9.0M |
| 2022 | 2,137 | $195.3M | $2.7M | $9.9M |
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 |
|---|---|---|---|---|
| EMPOWER RETIREMENT | Recordkeeper | $235,560 | — | $235,560 |
| EMPOWER ADVISORY GROUP, LLC | Investment Advisor | $189,154 | — | $189,154 |
| COHNREZNICK LLP | Auditor | $44,100 | — | $44,100 |
| LOCKTON COMPANIES LLC | Other Service Provider | $31,435 | — | $31,435 |
| CAPFINANCIAL PARTNERS LLC | Investment Advisor | $28,785 | — | $28,785 |
Plan Fees & Expenses
Annual service provider fees and administrative expenses sourced from DOL Form 5500 filings.
- Total Service Provider Fees: $529,034
- Estimated Expense Ratio: 0.213% 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 |
|---|---|---|---|---|---|
| 2025 | $23,221,197 | $217,939 | — | — | — |
| 2024 | $354,690 | $209,226 | — | — | — |
| 2023 | $368,915 | $200,654 | — | — | — |
| 2022 | $282,092 | $201,728 | $32,614 | — | — |