401k Fee Disclosure Worksheet Page 2
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4401k Fee Disclosure Worksheet
Company Name:
___________________________________________
Prepared On:
________________________________
(Date)
Plan Assets:
___________________________________________
# of Participants:
___________________________________________
# of Eligible Employees:
___________________________________________
Expense Type
Method of Fee Calculation
One Time Plan Set Up & Conversion Fees
Plan Design Consulting Services
Hourly
$________________
Plan Documents
Flat fee
$________________
Plan Installation Fee
Flat fee and/or person-based
$________________
Plan Conversion Fee (for take over plans only)
Flat fee
$________________
Fund Set Up Fee
Flat fee per fund
$________________
Enrollment Materials
Flat fee and/or person-based
$________________
Enrollment Meetings
Flat fee and/or person-based
$________________
TOTAL SET UP COSTS :
$________________
Ongoing Recordkeeping & Administration
Administration/ Recordkeeping Fee
Person-based or asset-based
$________________
Annual Plan Fee
Flat fee or asset-based
$________________
Compliance Testing
Flat fee
$________________
Signature Ready IRS Form 5500
Flat fee
$________________
Loan Origination
Transaction-based
$________________
Annual Loan Maintenance
Flat fee per loan
$________________
Distribution Processing
Transaction-based
$________________
Flat fee
Annual Plan Audit Fee
$________________
TOTAL ONGOING COSTS :
$________________
Investment Related Expenses
Fund Investment Expense
Asset based
$________________
Commissions
Asset based per transaction
$________________
Management Fee
Asset based
$________________
Wrap Expense
Asset based
$________________
Trustee/Custodial Fee
Asset based/Flat fee
$________________
TOTAL INVESTMENT COSTS :
$________________
TOTAL ANNUAL FEES :
$________________
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