Plan Snapshot
- Plan Sponsor: Institutional Investor, LLC
- Sponsor EIN: 132790024
- Sponsor Address: 1270 AVENUE OF THE AMERICAS, NEW YORK, NY, 10020
- Plan Type: 401(k)
- Total Participants: 292
- Total Assets: $98.7M
Key Plan Design Features
- Auto-Enrollment: Yes
- Auto-Escalation: No
- Allows Roth Contributions: Yes
- 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. |
|---|---|---|---|---|
| 2024 | 292 | $98.7M | $891,931 | $3.0M |
| 2023 | 238 | $89.0M | $948,706 | $3.3M |
| 2022 | 407 | $104.1M | $1.3M | $4.8M |
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 |
|---|---|---|---|---|
| UBS FINANCIAL SERVICES INC | INVESTMENT ADVISOR | $85,059 | — | $85,059 |
| ANCHIN, BLOCK & ANCHIN LLP | ACCOUNTANT/AUDITOR | $31,500 | — | $31,500 |
| STRATEGIC ADVISORS, INC. | ADVISOR | $16,410 | — | $16,410 |
| DELOITTE TAX LLP | ACCOUNTANT/AUDITOR | $16,200 | — | $16,200 |
Verified Provider Profiles
Direct links to verified profiles of matched retirement plan providers on PlanProvider.Pro:
- UBS FINANCIAL SERVICES INC — INVESTMENT ADVISOR
- ANCHIN, BLOCK & ANCHIN LLP — ACCOUNTANT/AUDITOR
- STRATEGIC ADVISORS, INC. — ADVISOR
Plan Fees & Expenses
Annual service provider fees and administrative expenses sourced from DOL Form 5500 filings.
- Total Service Provider Fees: $149,169
- Estimated Expense Ratio: 0.151% 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 | $122,978 | $16,410 | — | $47,700 | — |
| 2023 | $88,713 | $18,809 | — | $52,500 | — |
| 2022 | $108,813 | $27,680 | — | — | — |