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Original filing (PDF)20250624112646NAL0004196995001
COMPLY TECHNOLOGIES, INC.
Form 5500
FILING_RECEIVED
COMPLY TECHNOLOGIES, INC. 401(K) PLAN
401(k) retirement plan
Signals · 1
No recordkeeper disclosed
Active participants
279
Accounts w/ balance
300
Plan assets (EOY)
$15.6M
Net assets (EOY)
$15.6M
How this plan invests
This plan
3 pooled trusts
Schedule D
31 securities
funds · stocks · CUSIPs
Holdings are itemized directly on this plan's Schedule of Assets, below.
Plan health score (directional)
89
/ 100
Grade A
Top-tier plan health
Directional indicator computed from public Form 5500 data — compliance, concentration, cost, vendor stack and participation. Not a fiduciary tool.
Compliance & disclosures
100
Concentration risk
100
Total plan cost
65
Vendor stack
80
Participation health
100
Knocking points off
- 52 bps in Schedule C fees — 78% above peer band of 29 bps.
- No recordkeeper disclosed on Schedule C.
Decision-maker contacts
CFO / Head of HR / Benefits Manager — verified email + LinkedIn for COMPLY TECHNOLOGIES, INC..
Plan sponsor
Name
COMPLY TECHNOLOGIES, INC.
EIN
02-0693753
Address
136 MADISON AVENUE, 8TH FLOOR · NEW YORK, NY · 10016
Phone
(646) 747-2336
Industry
Data Processing, Hosting· Information / Tech / Mediasee all
Plan administrator
Same as plan sponsor.
Plan characteristics
Plan number
001
Plan year
2024
Plan year begin
2024-01-01
Tax period
2024-12-31
Filed
2025-06-24
Pension benefit codes
2E · Profit-sharing
2J · 401(k) feature
2K · 401(m) arrangement
2F · ERISA section 404(c)
2G · Total participant-directed accounts
3D · Pre-approved plan (master / prototype / VS)
Audit & trust (Schedule H)
Auditor
TMI CPA, P.C.
Trustee / custodian
—
Trustee phone
—
Service providers (Schedule C)
4 rowsAdvisor / Consultant
1| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| MML INVESTORS | 04-2746212 | — | INVESTMENT ADVISORY | $0 | — |
TPA / Administrator
2| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| PRINCIPAL LIFE INSURANCE COMPANY | 42-0127290 | — | CONTRACT ADMINISTRATOR | $81K | — |
| THE ANGELL PENSION GROUP INC | 04-2530412 | — | THIRD PARTY ADMIN | $0 | — |
Other
1| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| MORNINGSTAR INVESTMENT MANAGEMENT L | 36-4317381 | — | INV ADV, PARTICIPANTS | $0 | — |
Investments
28 direct securities · 3 pooled funds· $15.1M(97% of reported assets)
Rows tagged as a trust or pooled fund hold many underlying securities. Click one to drill into its own Schedule of Assets — where the individual funds, shares, and CUSIPs live.
Uncategorized
$14.5M
28 holdings
Common Collective Trust
$576K
3 holdings
| PI | Investment | Type | Shares / units | Cost | Current value | % of plan |
|---|---|---|---|---|---|---|
| Vanguard Group Vanguard Tgt Rmt 2045 Inv Fund - | — | — | — | $2.4M | 15.2% | |
| Vanguard Group Vanguard Tgt Rmt 2060 Inv Fund - | — | — | — | $2.2M | 14.0% | |
| Vanguard Group Vanguard Tgt Rmt 2050 Inv Fund - | — | — | — | $1.9M | 12.3% | |
| Vanguard Group Vanguard Tgt Rmt 2055 Inv Fund - | — | — | — | $1.9M | 12.3% | |
| Fidelity Investments Fidelity 500 Index Fund - | — | — | — | $1.9M | 11.9% | |
| Vanguard Group Vanguard Tgt Rmt 2035 Inv Fund - | — | — | — | $1.5M | 9.3% | |
| Vanguard Group Vanguard Tgt Rmt 2030 Inv Fund - | — | — | — | $587K | 3.8% | |
| Vanguard Group Vanguard Tgt Rmt 2040 Inv Fund - | — | — | — | $574K | 3.7% | |
| Vanguard Group Vanguard Fed Money Market Inv Fd - | — | — | — | $311K | 2.0% | |
| MID CAP VALUE R1 FUND GREAT GRAY TRUST COMPANY · EIN 38-4139842 / PN 630 | Common Collective Trust | — | — | $291K | 1.9% | |
| LARGE CAP GROWTH FUND II R1 FD GREAT GRAY TRUST COMPANY · EIN 38-4139848 / PN 626 | Common Collective Trust | — | — | $277K | 1.8% | |
| Vanguard Group Vanguard Tgt Rmt 2065 Inv Fund - | — | — | — | $174K | 1.1% | |
| Vanguard Group Vanguard Ttl Intl Stk Index Adm Fd - | — | — | — | $168K | 1.1% | |
| JP Morgan Funds JP Morgan Equity Income R6 Fd - | — | — | — | $158K | 1.0% | |
| Notes Receivable from Interest rates ranging from 4.25% to - | — | — | — | $142K | 0.9% | |
| Vanguard Group Vanguard Mid Cap Index Adm Fd - | — | — | — | $106K | 0.7% | |
| Vanguard Group Vanguard Sm Cap Index Adm Fd - | — | — | — | $102K | 0.7% | |
| Fidelity Investments Fidelity Adv Small Cap Gr Z Fd - | — | — | — | $79K | 0.5% | |
| Vanguard Group Vanguard Tgt Rmt 2025 Inv Fund - | — | — | — | $64K | 0.4% | |
| Vanguard Group Vanguard FTSE Soc Index Adm Fd - | — | — | — | $54K | 0.3% | |
| MFS Investment Mgmt MFS Mid-Cap Growth R6 Fund - | — | — | — | $49K | 0.3% | |
| The American Funds American Funds NewWorld R6 - $ | — | — | — | $47K | 0.3% | |
| Voya Intermediate Bond R6 Fd - | — | — | — | $46K | 0.3% | |
| Franklin Templeton Franklin Small Cap Value R6 Fd - | — | — | — | $46K | 0.3% | |
| Vanguard Group Vanguard Tgt Rmt Inc Inv Fund - | — | — | — | $42K | 0.3% | |
| Vanguard Group Vanguard Tgt Rmt 2070 Inv Fund - | — | — | — | $21K | 0.1% | |
| Vanguard Group Vanguard St Inv-Grade Adm Fd - | — | — | — | $20K | 0.1% | |
| Vanguard Group Vanguard Tgt Rmt 2020 Inv Fund - | — | — | — | $18K | 0.1% | |
| Pax World Impax Sustain Alloc Instl Fd - | — | — | — | $15K | <0.1% | |
| Janus Henderson Janus Hend Mult-Sec Inc N Fd - | — | — | — | $9K | <0.1% | |
| INTERNATIONAL GROWTH II R1 FD GREAT GRAY TRUST COMPANY · EIN 38-4139842 / PN 619 | Common Collective Trust | — | — | $8K | <0.1% |
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