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Original filing (PDF)20251010165943NAL0004426163001
BANC OF CALIFORNIA, INC.
Form 5500
FILING_RECEIVED
BANC OF CALIFORNIA, INC. 401(K) PLAN
401(k) retirement plan
Signals · 1
6 service providers
Active participants
1,945
Accounts w/ balance
2,827
Plan assets (EOY)
$327.3M
Net assets (EOY)
$327.3M
How this plan invests
This plan
2 pooled trusts
Schedule D
41 securities
funds · stocks · CUSIPs
Holdings are itemized directly on this plan's Schedule of Assets, below.
Plan health score (directional)
95
/ 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
80
Vendor stack
100
Participation health
100
Knocking points off
- 13 bps in Schedule C fees — modestly above peer band of 10 bps.
Decision-maker contacts
CFO / Head of HR / Benefits Manager — verified email + LinkedIn for BANC OF CALIFORNIA, INC..
Plan sponsor
Name
BANC OF CALIFORNIA, INC.
EIN
04-3639825
Address
3 MACARTHUR PLACE · SANTA ANA, CA · 92707
Phone
(949) 236-5406
Industry
Finance & Insurancesee 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
2025-10-10
Pension benefit codes
2E · Profit-sharing
2F · ERISA section 404(c)
2G · Total participant-directed accounts
2J · 401(k) feature
2K · 401(m) arrangement
2T · Default investment account (QDIA)
3D · Pre-approved plan (master / prototype / VS)
2S · Automatic enrollment
Audit & trust (Schedule H)
Auditor
PENSION ASSURANCE LLP
Trustee / custodian
—
Trustee phone
—
Service providers (Schedule C)
6 rowsRecordkeeper
1| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| FIDELITY INVESTMENTS INSTITUTIONAL | 04-2647786 | — | RECORD KEEPER | $10K | — |
Advisor / Consultant
2| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| STRATEGIC ADVISORS, INC. | 04-2654524 | — | ADVISOR | $58K | — |
| UBS FINANCIAL SERVICES INC | 13-2638166 | — | INVESTMENT ADVISORY | $38K | — |
TPA / Administrator
2| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| PRINCIPAL LIFE INSURANCE COMPANY | 42-0127290 | — | CONTRACT ADMINISTRATOR | $240K | — |
| ACTUARIAL BENEFITS CORPORATION | 20-1054428 | — | CONTRACT ADMINISTRATOR | $48K | — |
Other
1| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| BANC OF CALIFORNIA | 95-6047013 | — | OTHER SERVICES | $40K | — |
Investments
40 direct securities · 2 pooled funds· $327.2M(100% 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
$285.6M
40 holdings
Common Collective Trust
$41.6M
2 holdings
| PI | Investment | Type | Shares / units | Cost | Current value | % of plan |
|---|---|---|---|---|---|---|
| SSGA S&P 500 INDEX NL K FUND STATE STREET BANK AND TRUST COMPANY · EIN 90-0337987 / PN 338 | Common Collective Trust | — | — | $41.6M | 12.7% | |
| Capital Research and Mgmt Co American Funds Target Date Retirement 2070 R6 ** 376 Nuveen Asset Management Nuveen Large Cap Growth Index R6 | — | — | — | $40.7M | 12.4% | |
| Capital Research and Mgmt Co American Funds Target Date Retirement 2035 R6 | — | — | — | $25.3M | 7.7% | |
| Capital Research and Mgmt Co American Funds Target Date Retirement 2045 R6 | — | — | — | $24.8M | 7.6% | |
| Capital Research and Mgmt Co American Funds Target Date Retirement 2030 R6 | — | — | — | $23.4M | 7.2% | |
| Capital Research and Mgmt Co American Funds Target Date Retirement 2040 R6 | — | — | — | $22.8M | 7.0% | |
| Capital Research and Mgmt Co American Funds Target Date Retirement 2050 R6 | — | — | — | $18.3M | 5.6% | |
| Capital Research and Mgmt Co American Funds Target Date Retirement 2025 R6 | — | — | — | $15.2M | 4.6% | |
| Principal Life Insurance Company Fixed Income Guaranteed Option | — | — | — | $12.5M | 3.8% | |
| Vanguard Mid-Cap Value Index Admiral Fund | — | — | — | $12.2M | 3.7% | |
| Capital Research and Mgmt Co American Funds Target Date Retirement 2055 R6 | — | — | — | $10.5M | 3.2% | |
| Vanguard Core Bond Admiral Fund | — | — | — | $10.4M | 3.2% | |
| Vanguard International Growth Admiral Fund | — | — | — | $8.3M | 2.5% | |
| Vanguard Mid-Cap Growth Index Admiral Fund | — | — | — | $8.2M | 2.5% | |
| Vanguard Value Index Admiral Fund | — | — | — | $6.9M | 2.1% | |
| Vanguard Small-Cap Growth Index Fund Admiral | — | — | — | $5.7M | 1.8% | |
| Capital Research and Mgmt Co American Funds Target Date Retirement 2020 R6 | — | — | — | $5.5M | 1.7% | |
| Participant Loans to participants, bearing interest from 4.25% to 10.50% | — | — | — | $4.4M | 1.3% | |
| Vanguard Small-Cap Value Index Fund Admiral | — | — | — | $4.4M | 1.3% | |
| Capital Research and Mgmt Co American Funds Target Date Retirement 2060 R6 | — | — | — | $4.2M | 1.3% | |
| Capital Research and Mgmt Co American Funds Target Date Retirement 2015 R6 | — | — | — | $3.6M | 1.1% | |
| Black Rock Advisors LLC iShares MSCI EAFE International Index K Fund | — | — | — | $3.2M | 1.0% | |
| Vanguard Info Tech Admiral Fund | — | — | — | $2.5M | 0.8% | |
| Vanguard Treasury MM Investment Fund | — | — | — | $2.3M | 0.7% | |
| Vanguard Fin Index Admiral Fund | — | — | — | $1.4M | 0.4% | |
| Vanguard Balanced Index Admiral Fund | — | — | — | $1.3M | 0.4% | |
| Capital Research and Mgmt Co American Funds Target Date Retirement 2010 R6 | — | — | — | $1.2M | 0.4% | |
| Capital Research and Mgmt Co American Funds Target Date Retirement 2065 R6 | — | — | — | $973K | 0.3% | |
| PIMCO Income Institutional Fund | — | — | — | $930K | 0.3% | |
| Vanguard ST Bond Index Admiral Fund | — | — | — | $732K | 0.2% | |
| Vanguard Lifestrategy Growth Inv Fund | — | — | — | $533K | 0.2% | |
| Vanguard Energy Admiral Fund | — | — | — | $514K | 0.2% | |
| Vanguard RE Index Admiral Fund | — | — | — | $449K | 0.1% | |
| Banc of California Master Deposit Account A | — | — | — | $446K | 0.1% | |
| Vanguard I-T Treasury Admiral Fund | — | — | — | $425K | 0.1% | |
| Vanguard Emerging Markets Stock Index Admiral Fund | — | — | — | $407K | 0.1% | |
| Vanguard Health Care Admiral Fund | — | — | — | $341K | 0.1% | |
| PIMCO Global Bond Opportunities (USD-Hdg) I Fund | — | — | — | $305K | <0.1% | |
| Dimensional Fund Advisors DFA International Small Company I Fund | — | — | — | $217K | <0.1% | |
| Vanguard Lifestrategy Income Inv Fund | — | — | — | $65K | <0.1% | |
| Vanguard Europe Stock Index Admiral Fund | — | — | — | $48K | <0.1% | |
| GILLIARD STABLE RETURN C SEI TRUST COMPANY · EIN 52-2250946 / PN 001 | Common Collective Trust | — | — | $0 | <0.1% |