Plan Snapshot
- Plan Sponsor: Otc Markets Group INC.
- Sponsor EIN: 133941069
- Sponsor Address: 300 VESEY STREET, NEW YORK, NY, 10282
- Plan Type: 401(k)
- Total Participants: 139
- Total Assets: $33.7M
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. |
|---|---|---|---|---|
| 2024 | 139 | $33.7M | $630,714 | $2.2M |
| 2023 | 134 | $29.5M | $639,286 | $2.1M |
| 2022 | 132 | $22.3M | $545,212 | $1.8M |
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 |
|---|---|---|---|---|
| FIDELITY INVESTMENTS INSTITUTIONAL | RECORDKEEPER | $37,383 | — | $37,383 |
| TMI CPA, P.C. | Auditor | — | — | $0 |
Verified Provider Profiles
Direct links to verified profiles of matched retirement plan providers on PlanProvider.Pro:
- FIDELITY INVESTMENTS INSTITUTIONAL — RECORDKEEPER
- 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: $37,383
- Estimated Expense Ratio: 0.111% 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 | $37,383 | — | — | — | — |
| 2023 | $32,976 | — | — | — | — |
| 2022 | $30,950 | — | — | — | — |