Plan Snapshot
- Plan Sponsor: Jim S. Adler & Associates
- Sponsor EIN: 742122055
- Sponsor Address: 3D/INTERNATIONAL TOWER, HOUSTON, TX, 77027
- Plan Type: 401(k)
- Total Participants: 274
- Total Assets: $22.6M
Key Plan Design Features
- Auto-Enrollment: Yes
- Auto-Escalation: No
- Allows Roth Contributions: No
- Participant Loans: No
- 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 | 274 | $22.6M | $751,667 | $1.2M |
| 2023 | 262 | $18.6M | $749,785 | $1.1M |
| 2022 | 253 | $16.0M | $635,903 | $928,381 |
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 |
|---|---|---|---|---|
| ASCENSUS LLC | NONE | $17,025 | — | $17,025 |
| LEAFHOUSE FINANCIAL ADVISORS | NONE | $9,899 | — | $9,899 |
| GARRETY AND ASSOCIATES CPA LLC | Auditor | — | — | $0 |
Plan Fees & Expenses
Annual service provider fees and administrative expenses sourced from DOL Form 5500 filings.
- Total Service Provider Fees: $26,924
- Estimated Expense Ratio: 0.119% 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 | $26,924 | $9,899 | $17,025 | — | — |
| 2023 | $21,642 | $7,962 | $13,680 | — | — |
| 2022 | $22,115 | $8,240 | $13,875 | — | — |