# Purshe Kaplan Sterling Investments, INC. 401(k) Plan
Source: https://planprovider.pro/companies/purshe-kaplan-sterling-investments-inc-401k-plan

> Purshe Kaplan Sterling Investments, INC.'s 401(k) plan: 114 participants, plan year 2023 financials, providers, and benchmarks from Form 5500.

Form 5500 filing data for plan year 2023.

## Plan Snapshot

- **Plan Sponsor:** Purshe Kaplan Sterling Investments, INC.

- **Sponsor EIN:** 133749682

- **Sponsor Address:** 80 STATE STREET, ALBANY, NY, 12207

- **Plan Type:** 401(k)

- **Total Participants:** 114

- **Total Assets:** $12.0M

## Key Plan Design Features

- **Auto-Enrollment:** Yes

- **Auto-Escalation:** No

- **Allows Roth Contributions:** Yes

- **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.|

| 2023|114|$12.0M|$332,243|$871,939|

| 2022|108|$9.9M|$227,104|$765,028|

## 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|

| CPI QUALIFIED PLAN CONSULTANTS, INC|NONE|$38,412|—|$38,412|

| WOJESKI & COMPANY CPAS, PC|Auditor|—|—|$0|

### Verified Provider Profiles

Direct links to verified profiles of matched retirement plan providers on PlanProvider.Pro:

- [CPI QUALIFIED PLAN CONSULTANTS, INC](https://planprovider.pro/provider/trustage) — NONE

## Plan Fees & Expenses

Annual service provider fees and administrative expenses sourced from DOL Form 5500 filings.

- **Total Service Provider Fees:** $38,412

- **Estimated Expense Ratio:** 0.319% 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|

| 2023|$19,206|—|$5,610|—|—|

| 2022|$19,901|—|$19,901|—|—|

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