# Securities Industry And Financial Markets Association 401(k) Plan
Source: https://planprovider.pro/companies/securities-industry-and-financial-markets-association-401k-plan

> Securities Industry And Financial Markets Association's 401(k) plan: 147 participants, plan year 2024 financials, providers, and benchmarks from Form 5500.

Form 5500 filing data for plan year 2024.

## Plan Snapshot

- **Plan Sponsor:** Securities Industry And Financial Markets Association

- **Sponsor EIN:** 320178959

- **Sponsor Address:** 140 BROADWAY, 35TH FLOOR, NEW YORK, NY, 10005

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

- **Total Participants:** 147

- **Total Assets:** $103.8M

## 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.|

| 2024|147|$103.8M|$2.9M|$2.2M|

| 2023|133|$94.0M|$2.6M|$2.2M|

| 2022|128|$77.0M|$2.2M|$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|

| GRANT THORNTON LLP|Auditor|$27,009|—|$27,009|

### Verified Provider Profiles

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

- [GRANT THORNTON LLP](https://planprovider.pro/provider/grant-thornton-llp) — Auditor

## Plan Fees & Expenses

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

- **Total Service Provider Fees:** $27,009

- **Estimated Expense Ratio:** 0.026% 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|$203,008|—|—|$27,009|—|

| 2023|$73,143|—|—|$25,970|—|

| 2022|$67,180|—|—|—|$65,850|

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