Plan Snapshot
- Plan Sponsor: Uptake Technologies, INC.
- Sponsor EIN: 471427490
- Sponsor Address: 2045 W. GRAND AVE, STE B. PMB 67705, CHICAGO, IL, 60612
- Plan Type: 401(k)
- Total Participants: 0
- Total Assets: $0
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 | 0 | $0 | $0 | $0 |
| 2023 | 53 | $14.5M | $326,019 | $959,769 |
| 2022 | 102 | $14.4M | $482,236 | $1.5M |
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 |
|---|---|---|---|---|
| PRINCIPAL LIFE INSURANCE COMPANY | CONTRACT ADMINISTRATOR | $71,470 | — | $71,470 |
| MMA SECURITIES LLC | INVESTMENT ADVISORY | $70,554 | $24 | $70,578 |
| CASSELL PLAN AUDITS, INC. | Auditor | — | — | $0 |
Verified Provider Profiles
Direct links to verified profiles of matched retirement plan providers on PlanProvider.Pro:
- MMA SECURITIES LLC — INVESTMENT ADVISORY
Plan Fees & Expenses
Annual service provider fees and administrative expenses sourced from DOL Form 5500 filings.
- Total Service Provider Fees: $142,048
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 | — | — | — | — | — |
| 2023 | $71,018 | $35,283 | $35,735 | — | — |
| 2022 | $76,492 | $39,200 | $37,292 | — | — |