ESOP & 401(k) Administration: Keeping Your Plans Compliant

SES Advisors, Inc. offers a full suite of administration services for Employee Stock Ownership Plans (ESOPs) and 401(k) plans. Powered by our ESOP Navigator software and our team of experienced professionals, these services cover all core recordkeeping and reporting requirements, including:

• Individual participant recordkeeping
• Preparation of Forms 5500 and 1099-R
• Internal Revenue Code compliance testing
• Trust accounting
• Combined plan testing

SES Advisors delivers these services with a simple and transparent fee structure—empowering you to achieve better results while saving time and money.

Plus, no other administration firm in the country can match SES Advisors’ integrated team of legal, finance, banking, tax and ERISA experts. Our professionals serve as your trusted advisors in understanding and addressing ongoing regulatory changes, identifying opportunities to improve efficiency and performance, and communicating plan details and benefits to employees.

A Sampling of SES Advisors’ ESOP Administration Services—powered by ESOP Navigator:

• Custom participant statements and management reports
• Annual report filing (Form 5500 and Summary Annual Report)
• Diversification notices
• Annual government filings, including 1099-R and 1099-DIV form preparation
• Voting instructions
• Benefit distribution forms
• Notification of deadlines
• ESOP compliance testing (top heavy, annual additions, coverage, contribution limits)
• Plan audit assistance A Sampling of SES Advisors’ 401(k) Administration Services
• Customized management and compliance reports
• Plan document design
• Plan amendments
• Nondiscrimination testing (ADP and ACP)
• Compliance testing (top heavy, annual additions, coverage, contribution limits)
• Annual report filing (Form 5500 and Summary Annual Report)
• Plan audit assistance

Ready to Move Forward?

When you are ready to learn more about how SES Advisors can help you take a more efficient and cost-effective approach to ESOP and 401(k) administration, please contact Doug Cannon at 215.508.7711 or dcannon@sesadvisors.com. You may also fill out our Administration Contact form.