Filings through .
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| Provider | Service type | Compensation |
|---|---|---|
HIGHTOWER ADVISORS LLC3 years Service code 28 · EIN 36-4500709 200 WEST MADISON STREET FLOOR 25 · CHICAGO, IL 60606 | Investment Management | $41,940 |
NORTH AMERICAN KTRADE ALLIANCE, LLC10+ years Filed as: NO AMERICAN KTRADE ALLIANCE, LLC Service code 15 · EIN 32-0169227 1500 NORTH OAK DRIVE, SUITE B · PLYMOUTH, IN 46563 | Recordkeeping | $13,622 |
CHARLES SCHWAB & CO., INC.5 years Filed as: CHARLES SCHWAB & CO, INC Service code 10 | Accounting | $0 |
CHARLES SCHWAB & CO., INC.5 years Filed as: CHARLES SCHWAB TRUST BANK Service code 19 · EIN 94-1737782 12401 RESEARCH BLVD · AUSTIN, TX 78759 | Securities Custodian | $0 |
7 funds of $250K or more; 16 lines in all, holding $6.1M of the plan's $10.7M. From the 2025 filing. Recordkeeper: North American Ktrade Alliance.
Target-date series: Schwab Target, mutual fund, 1% of fund dollars
| Fund | Dollars | % of funds% |
|---|---|---|
| Registered Investment Companies (Mutual Funds) Schwab S&P 500 Index Charles Schwab · Mutual fund Index | $2.7M | 43.8% |
| PIMCO Income Fund Institutional PIMCO (Allianz) · Mutual fund | $773K | 12.6% |
| Schwab Fundamental US Large Charles Schwab · Mutual fund | $582K | 9.5% |
| T. Rowe Price All-Cap Opportunities Fund-I Class T. Rowe Price · Mutual fund | $449K | 7.3% |
| Neuberger Strategic Income Fund Institutional Class Neuberger Berman · Mutual fund | $343K | 5.6% |
| Allspring Core Plus Bond Fund Institutional Class Allspring · Mutual fund | $331K | 5.4% |
| Columbia Contrarian Core Fund Ameriprise (Columbia Threadneedle) · Mutual fund | $288K | 4.7% |
| Schwab Prime Advantage Money Fund Charles Schwab · Money market | $227K | 3.7% |
| Calvert Ultra Short Dur Morgan Stanley · Mutual fund | $102K | 1.7% |
| Goldman Sachs GQG Partners Goldman Sachs · Mutual fund | $101K | 1.6% |
Added 3 funds, dropped 2 funds. Changed share class on 1 fund.
| Fund | Year-end value |
|---|---|
| Share class changePIMCO Income Fund Class A to PIMCO Income Fund Institutional | $710K to $773K |
| AddedT. Rowe Price All-Cap Opportunities Fund-I Class | $449K |
| DroppedSchwab International Index Select | $433K |
Stable value and insurance contract lines, renames and class changes are not counted. Left out here: 1 rename.
Changes of at least $250K and 0.1% of the plan between the 2024 and 2025 filings. Values are year-end holdings, not money moved.
Covers 71,097 large plans that list their funds in their annual filing. Updated Nov 3, 2026. Shares describe these plans, not the whole market.
Participation rate is below 70% (account-balance holders / active employees) - enrollment or auto-enroll opportunity.
Administrative expenses exceed $300 per participant per year - possible fee-review opportunity. (Recordkeeping / audit / legal; excludes investment management.)
Form 5500 reported a failure to timely transmit participant contributions (Schedule H line 4a).
The auditor signed off without reservation. This is the cleanest opinion.