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Original filing (PDF)20251014085235NAL0001139011001
KENNEBEC BEHAVIORAL HEALTH
Form 5500
FILING_RECEIVED
KENNEBEC BEHAVIORAL HEALTH 403(B) PLAN
403(b) retirement plan
Signals · 1
No recordkeeper disclosed
Active participants
488
Accounts w/ balance
535
Plan assets (EOY)
$22.8M
Net assets (EOY)
$22.8M
How this plan invests
This plan
2 pooled trusts
Schedule D
52 securities
funds · stocks · CUSIPs
Holdings are itemized directly on this plan's Schedule of Assets, below.
Plan health score (directional)
98
/ 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
100
Vendor stack
80
Participation health
100
Knocking points off
- No recordkeeper disclosed on Schedule C.
Helping the score
- Below-peer total fees (2 bps vs 29 bps peer median).
Decision-maker contacts
CFO / Head of HR / Benefits Manager — verified email + LinkedIn for KENNEBEC BEHAVIORAL HEALTH.
Plan sponsor
Name
KENNEBEC BEHAVIORAL HEALTH
EIN
01-0265559
Address
67 EUSTIS PARKWAY · WATERVILLE, ME · 049014989
Phone
(207) 873-2136
Industry
Health Care & Social Assistancesee all
Plan administrator
Same as plan sponsor.
Plan characteristics
Plan number
002
Plan year
2024
Plan year begin
2024-01-01
Tax period
2024-12-31
Filed
2025-10-14
Pension benefit codes
2F · ERISA section 404(c)
2G · Total participant-directed accounts
2K · 401(m) arrangement
2L · 403(b)(1) annuity
2S · Automatic enrollment
2T · Default investment account (QDIA)
3D · Pre-approved plan (master / prototype / VS)
Audit & trust (Schedule H)
Auditor
OUELLETTE & ASSOCIATES, PA
Trustee / custodian
—
Trustee phone
—
Service providers (Schedule C)
3 rowsOther
3| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| AMERICAN UNITED LIFE INSURANCE CO | 35-0145825 | — | NONE | $5K | — |
| VOYA 71-0294708 | 71-0294708 | HARTFORD, CT | SERVICE PROVIDER | $0 | — |
| HEALEY AND ASSOCIATES, INC | 01-0343875 | PORTLAND, ME | NONE | — | — |
Investments
52 direct securities · 2 pooled funds· $44.0M(100% of reported assets)
Rows tagged as a trust or pooled fund hold many underlying securities. Their holdings are itemized on each fund’s own Form 5500.
Uncategorized
$22.8M
52 holdings
Pooled Separate Account
$21.3M
2 holdings
| PI | Investment | Type | Shares / units | Cost | Current value | % of plan |
|---|---|---|---|---|---|---|
| AUL AMERICAN UNIT TRUST AMERICAN UNITED LIFE INSURANCE CO · EIN 35-0145825 / PN 000 | Pooled Separate Account | — | — | $21.2M | 93.3% | |
| Vanguard Growth Index Pooled Separate Account | — | — | — | $2.5M | 11.1% | |
| Vanguard Target Retirement 2025 Pooled Separate Account | — | — | — | $2.0M | 8.7% | |
| Vanguard Target Retirement 2040 Pooled Separate Account | — | — | — | $1.4M | 6.2% | |
| Vanguard Target Retirement 2035 Pooled Separate Account | — | — | — | $1.4M | 6.0% | |
| AUL Stable Account Guaranteed Interest Account | — | — | — | $1.1M | 4.8% | |
| Vanguard Target Retirement 2030 Pooled Separate Account | — | — | — | $1.0M | 4.5% | |
| American Funds New Perspective Pooled Separate Account | — | — | — | $907K | 4.0% | |
| Vanguard Target Retirement 2045 Pooled Separate Account | — | — | — | $816K | 3.6% | |
| Vanguard Target Retirement 2055 Pooled Separate Account | — | — | — | $809K | 3.6% | |
| Vanguard Target Retirement Income Pooled Separate Account | — | — | — | $782K | 3.4% | |
| Vanguard Target Retirement 2070 Pooled Separate Account 607 * Goldman Sachs Money Market Government Money Market Fund | — | — | — | $732K | 3.2% | |
| Vanguard Equity-Income Pooled Separate Account | — | — | — | $725K | 3.2% | |
| Vanguard 500 Index Pooled Separate Account | — | — | — | $697K | 3.1% | |
| Vanguard Target Retirement 2050 Pooled Separate Account | — | — | — | $685K | 3.0% | |
| Vanguard Target Retirement 2060 Pooled Separate Account | — | — | — | $651K | 2.9% | |
| American Funds Balanced Pooled Separate Account | — | — | — | $522K | 2.3% | |
| Vanguard Mid Cap Growth Pooled Separate Account | — | — | — | $456K | 2.0% | |
| Vanguard Selected Value Pooled Separate Account | — | — | — | $432K | 1.9% | |
| Vanguard Info Tech Index Pooled Separate Account | — | — | — | $402K | 1.8% | |
| DFA US Targeted Value Pooled Separate Account | — | — | — | $382K | 1.7% | |
| Participant Loans Interest at 4.50% - | — | — | — | $378K | 1.7% | |
| American Washington Mutual Pooled Separate Account | — | — | — | $337K | 1.5% | |
| Vanguard Explorer Pooled Separate Account | — | — | — | $318K | 1.4% | |
| Vanguard High Yield Corp Pooled Separate Account | — | — | — | $310K | 1.4% | |
| Vanguard Target Retirement 2020 Pooled Separate Account | — | — | — | $299K | 1.3% | |
| Vanguard Small Cap Index Pooled Separate Account | — | — | — | $296K | 1.3% | |
| Vanguard Mid Cap Index Pooled Separate Account | — | — | — | $295K | 1.3% | |
| PIMCO Total Return Pooled Separate Account | — | — | — | $274K | 1.2% | |
| American Funds EuroPac Growth Pooled Separate Account | — | — | — | $244K | 1.1% | |
| Vanguard Health Care Pooled Separate Account | — | — | — | $229K | 1.0% | |
| Vanguard Life Strategy Moderate Growth Pooled Separate Account | — | — | — | $226K | 1.0% | |
| Dws Rreef Real Estate Sec Pooled Separate Account | — | — | — | $225K | 1.0% | |
| Vanguard International Growth Pooled Separate Account | — | — | — | $206K | 0.9% | |
| DFA US Small Cap Pooled Separate Account | — | — | — | $182K | 0.8% | |
| Vanguard Small Cap Growth Index Pooled Separate Account | — | — | — | $110K | 0.5% | |
| Vanguard Target Retirement 2065 Pooled Separate Account | — | — | — | $86K | 0.4% | |
| American New World Pooled Separate Account | — | — | — | $81K | 0.4% | |
| Vanguard Life Strategy Growth Pooled Separate Account | — | — | — | $63K | 0.3% | |
| VOYA LIFE INS AND ANNUITY VFB048 VOYA LIFE INS AND ANNUITY · EIN 71-0294708 / PN 000 | Pooled Separate Account | — | — | $61K | 0.3% | |
| Vanguard Utilities Index Pooled Separate Account | — | — | — | $46K | 0.2% | |
| American Funds Capital World Growth & Income Pooled Separate Account | — | — | — | $43K | 0.2% | |
| PIMCO Real Return Pooled Separate Account | — | — | — | $24K | 0.1% | |
| Voya Mid Cap Opportunity Pooled Separate Account | — | — | — | $23K | 0.1% | |
| American Small Cap World Pooled Separate Account | — | — | — | $15K | <0.1% | |
| Voya Fixed Plus Account Fixed Annuity Account | — | — | — | $14K | <0.1% | |
| Voya Large Cap Growth Pooled Separate Account | — | — | — | $10K | <0.1% | |
| Franklin Utilities Pooled Separate Account | — | — | — | $9K | <0.1% | |
| Fidelity VIP Contra Fund Pooled Separate Account | — | — | — | $7K | <0.1% | |
| American Funds Growth Pooled Separate Account | — | — | — | $7K | <0.1% | |
| MainStay CBRE Real Estate Pooled Separate Account | — | — | — | $6K | <0.1% | |
| Voya Solution 2025 Portfolio Pooled Separate Account 894 Voya Solution 2035 Portfolio Pooled Separate Account | — | — | — | $3K | <0.1% | |
| American Funds EuroPac Pooled Separate Account | — | — | — | $3K | <0.1% | |
| Voya Intermediate Bond Pooled Separate Account | — | — | — | $2K | <0.1% |