Filings through .
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| Provider | Service type | Compensation |
|---|---|---|
PRINCIPAL FINANCIAL GROUP6 years Filed as: PRINCIPAL LIFE INSURANCE COMPANY Service code 13 · EIN 42-0127290 | Contract Administrator | $70,101 |
Filed as: ROYAL ALLIANCE ASSOCIATES, INC. Service code 27 · EIN 93-0987232 | Advisory (Plan) | $38,722 |
NOVA 401(K) ASSOCIATES1 year Service code 13 · EIN 20-1181458 | Contract Administrator | $8,941 |
11 funds of $250K or more; 21 lines in all, holding $11.5M of the plan's $11.6M. From the 2025 filing. Recordkeeper: Principal.
Target-date series: Vanguard Target Retirement, mutual fund, 78% of fund dollars
| Fund | Dollars | % of funds% |
|---|---|---|
| Vanguard Target Retirement Vanguard · Mutual fund Target-date, 10 vintages | $8.9M | 77.8% |
| Vanguard Growth Index Fund Investor Shares Vanguard · Mutual fund Index | $785K | 6.9% |
| Prin LgCp S&P 500 Index SA-Z Principal · Insurance contract IndexRecordkeeper's own fund | $555K | 4.8% |
| Vanguard Value Index Fund Investor Shares Vanguard · Mutual fund Index | $264K | 2.3% |
| Vanguard International Growth Fund Investor Shares Vanguard · Mutual fund | $150K | 1.3% |
| Insurance Co. General Account: Fixed Income Guaranteed Fund Principal · Insurance contract Recordkeeper's own fund | $96K | 0.8% |
| Principal Small Cap S&P 600 Index SA-Z Principal · Insurance contract IndexRecordkeeper's own fund | $95K | 0.8% |
| Prin MidCap S&P 400 Index SA-Z Principal · Insurance contract IndexRecordkeeper's own fund | $93K | 0.8% |
| Prin Real Estate Secs SA-Z Principal · Insurance contract Recordkeeper's own fund | $89K | 0.8% |
| DFA Emerging Mrkts Core Eq Port Dimensional · Mutual fund | $63K | 0.6% |
No lineup changes between the 2024 and 2025 filings.
Stable value and insurance contract lines, renames and class changes are not counted.
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 71,410 large plans that list their funds in their annual filing. Updated Nov 6, 2026. Shares describe these plans, not the whole market.
Participation rate is below 70% (account-balance holders / active employees) - enrollment or auto-enroll opportunity.
Employer contribution per participant is in the bottom quintile of the peer cohort.
Assets per participant are in the bottom quintile of the peer cohort - savings-rate / match opportunity.
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.