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Original filing (PDF)20250730164818NAL0004392817001
DEAD RIVER COMPANY
Form 5500
FILING_RECEIVED
DEAD RIVER 401(K) RETIREMENT SAVINGS PLAN
401(k) retirement plan
Signals · 1
100% in single holding
Active participants
1,505
Accounts w/ balance
2,265
Plan assets (EOY)
$100.9M
Net assets (EOY)
$100.9M
How this plan invests
This plan
1 pooled trust
Schedule D
1 securities
funds · stocks · CUSIPs
Holdings are itemized directly on this plan's Schedule of Assets, below.
Plan health score (directional)
86
/ 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
75
Total plan cost
65
Vendor stack
100
Participation health
100
Knocking points off
- Top holding "[DFE: PSA NO. 25 (STABLE VALUE ACCOUNT) (extraction pending)]" is 100% of plan.
- 31 bps in Schedule C fees — 213% above peer band of 10 bps.
Decision-maker contacts
CFO / Head of HR / Benefits Manager — verified email + LinkedIn for DEAD RIVER COMPANY.
Plan sponsor
Name
DEAD RIVER COMPANY
EIN
01-0385895
Address
82 RUNNING HILL RD, SUITE 400 · SOUTH PORTLAND, ME · 04106
Phone
(207) 358-5852
Industry
Wholesale Tradesee 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
2025-07-30
Pension benefit codes
2G · Total participant-directed accounts
2J · 401(k) feature
2K · 401(m) arrangement
2F · ERISA section 404(c)
2E · Profit-sharing
2T · Default investment account (QDIA)
2S · Automatic enrollment
3H · Sponsor in controlled / affiliated group
3D · Pre-approved plan (master / prototype / VS)
Audit & trust (Schedule H)
Auditor
BAKER, NEWMAN & NOYES, LLC
Trustee / custodian
—
Trustee phone
—
Service providers (Schedule C)
2 rowsRecordkeeper
1| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| JOHN HANCOCK RETIREMENT SRVCS | 01-0233346 | — | RECORDKEEPER | $256K | — |
Advisor / Consultant
1| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| MORGAN STANLEY SMITH BARNEY | — | JERSEY CITY, NJ | CONSULTANT | $60K | — |
Investments
1 direct security · 1 pooled fund· $33.4M(33% of reported assets)
Rows tagged as a trust or pooled fund hold many underlying securities. Click one to drill into its own Schedule of Assets — where the individual funds, shares, and CUSIPs live.
Uncategorized
$16.7M
1 holding
Pooled Separate Account
$16.7M
1 holding
| PI | Investment | Type | Shares / units | Cost | Current value | % of plan |
|---|---|---|---|---|---|---|
| [DFE: PSA NO. 25 (STABLE VALUE ACCOUNT) (extraction pending)] | — | — | — | $16.7M | 16.5% | |
| NEW YORK LIFE ANCHOR ACCOUNT NEW YORK LIFE INSURANCE COMPANY · EIN 13-5582869 / PN 125 | Pooled Separate Account | — | — | $16.7M | 16.5% |
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