Back to filter
Original filing (PDF)20251012171331NAL0000136787001
WILLIAM RAVEIS REAL ESTATE, INC.
Form 5500
FILING_RECEIVED
WILLIAM RAVEIS EMPLOYEES SAVINGS & RETIREMENT
401(k) retirement plan
Signals · 1
No recordkeeper disclosed
Active participants
392
Accounts w/ balance
470
Plan assets (EOY)
$34.8M
Net assets (EOY)
$34.8M
How this plan invests
This plan
1 pooled trust
Schedule D
42 securities
funds · stocks · CUSIPs
Holdings are itemized directly on this plan's Schedule of Assets, below.
Plan health score (directional)
93
/ 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
80
Participation health
100
Knocking points off
- 36 bps in Schedule C fees — modestly above peer band of 29 bps.
- No recordkeeper disclosed on Schedule C.
Decision-maker contacts
CFO / Head of HR / Benefits Manager — verified email + LinkedIn for WILLIAM RAVEIS REAL ESTATE, INC..
Plan sponsor
Name
WILLIAM RAVEIS REAL ESTATE, INC.
EIN
06-1160140
Address
7 TRAP FALLS ROAD · SHELTON, CT · 06484
Phone
(203) 925-4589
Industry
Real Estatesee all
Plan administrator
Same as plan sponsor.
Plan characteristics
Plan number
001
Plan year
2024
Plan year begin
2024-01-01
Tax period
2024-12-31
Filed
2025-10-12
Pension benefit codes
2S · Automatic enrollment
2E · Profit-sharing
3D · Pre-approved plan (master / prototype / VS)
2G · Total participant-directed accounts
2J · 401(k) feature
2K · 401(m) arrangement
2F · ERISA section 404(c)
2T · Default investment account (QDIA)
Audit & trust (Schedule H)
Auditor
CLIFTONLARSONALLEN LLP
Trustee / custodian
—
Trustee phone
—
Service providers (Schedule C)
4 rowsAdvisor / Consultant
2| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| LRI INVESTMENTS, LLC | 88-4116775 | — | FINANCIAL ADVISOR | $34K | — |
| M HOLDINGS SECURITIES | — | PORTLAND, OR | FINANCIAL ADVISOR | $32K | — |
TPA / Administrator
1| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| PASI, LLC | 26-1407927 | — | THIRD PARTY ADMIN. | $16K | — |
Other
1| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| THE VANGUARD GROUP, INC. | 23-1945930 | — | NONE | $44K | — |
Investments
42 direct securities · 1 pooled fund· $35.7M(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
$34.5M
42 holdings
Common Collective Trust
$1.2M
1 holding
| PI | Investment | Type | Shares / units | Cost | Current value | % of plan |
|---|---|---|---|---|---|---|
| Vanguard Growth Index Inv Mutual fund | — | — | — | $4.9M | 14.2% | |
| T. Rowe Price Retirement 2025 I Mutual fund | — | — | — | $2.9M | 8.3% | |
| T. Rowe Price Retirement 2030 I Mutual fund | — | — | — | $2.3M | 6.6% | |
| Vanguard 500 Index Adm Mutual fund | — | — | — | $2.3M | 6.6% | |
| JPMorgan U.S. Value R6 Mutual fund | — | — | — | $2.1M | 6.0% | |
| T. Rowe Price Retirement 2035 I Mutual fund | — | — | — | $1.6M | 4.6% | |
| Vanguard Mid-Cap Growth Index Inv Mutual fund | — | — | — | $1.4M | 4.1% | |
| Loomis Sayles Core Plus Bond N Mutual fund | — | — | — | $1.3M | 3.6% | |
| T. Rowe Price Retirement 2020 I Mutual fund | — | — | — | $1.2M | 3.5% | |
| DFA International Value Portfolio I Mutual fund | — | — | — | $1.2M | 3.4% | |
| Galliard Stable Return Fund M Common and Collective Trust | — | — | — | $1.2M | 3.4% | |
| WELLS FARGO STABLE VALUE FUND M GALLIARD CAPITAL MNGT · EIN 94-6751924 / PN 001 | Common Collective Trust | — | — | $1.2M | 3.4% | |
| T. Rowe Price Retirement 2045 I Mutual fund | — | — | — | $1.2M | 3.4% | |
| Fidelity Advisor Value Strategies K Mutual fund | — | — | — | $1.1M | 3.1% | |
| Vanguard Mid Cap Index Adm Mutual fund | — | — | — | $1.0M | 2.9% | |
| DFA U.S. Small Cap Portfolio I Mutual fund | — | — | — | $974K | 2.8% | |
| PIMCO Real Return Instl Mutual fund | — | — | — | $947K | 2.7% | |
| MFS Growth Allocation R4 Mutual fund | — | — | — | $945K | 2.7% | |
| T. Rowe Price Retirement 2055 I Mutual fund | — | — | — | $931K | 2.7% | |
| T. Rowe Price Retirement 2050 I Mutual fund | — | — | — | $615K | 1.8% | |
| T. Rowe Price Retirement 2040 I Mutual fund | — | — | — | $576K | 1.7% | |
| American Funds Inc Fund of Amer R6 Mutual fund | — | — | — | $454K | 1.3% | |
| Vanguard Explorer Adm Mutual fund | — | — | — | $431K | 1.2% | |
| Participant loans Interest rates of 4.25% to 9.50% | — | — | — | $313K | 0.9% | |
| Vanguard Total Intl Stock Index Adm Mutual fund | — | — | — | $298K | 0.9% | |
| Vanguard International Growth Inv Mutual fund | — | — | — | $279K | 0.8% | |
| Vanguard Real Estate Index Adm Mutual fund | — | — | — | $248K | 0.7% | |
| T. Rowe Price Retirement 2015 I Mutual fund | — | — | — | $228K | 0.7% | |
| Vanguard Short-Term Invest Grade Adm Mutual fund | — | — | — | $209K | 0.6% | |
| MFS Aggressive Growth Allocation R4 Mutual fund | — | — | — | $203K | 0.6% | |
| DFA Global Equity Portfolio I Mutual fund | — | — | — | $181K | 0.5% | |
| MFS Conservative Allocation R4 Mutual fund | — | — | — | $139K | 0.4% | |
| Lord Abbett High Yield R6 Mutual fund | — | — | — | $138K | 0.4% | |
| JPMorgan Emerging Markets Equity R6 Mutual fund | — | — | — | $130K | 0.4% | |
| DFA Global Real Estate Securities Mutual fund | — | — | — | $114K | 0.3% | |
| Invesco Small Cap Value R6 Mutual fund | — | — | — | $110K | 0.3% | |
| Invesco Intl Small-Mid Company R6 Mutual fund | — | — | — | $99K | 0.3% | |
| DFA Intl Small Cap Value Portf Instl Mutual fund | — | — | — | $97K | 0.3% | |
| American Funds Capital World Bond R6 Mutual fund | — | — | — | $80K | 0.2% | |
| PIMCO Commodity Real Ret Strat Instl Mutual fund | — | — | — | $73K | 0.2% | |
| T. Rowe Price Retirement 2010 I Mutual fund | — | — | — | $57K | 0.2% | |
| MFS Moderate Allocation R4 Mutual fund | — | — | — | $52K | 0.1% | |
| Victory Trivalent Intl Small-Cap R6 Mutual fund | — | — | — | $23K | <0.1% |