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Original filing (PDF)20251114105148NAL0005937794001
BROOK & WHITTLE LIMITED
Form 5500
FILING_RECEIVED
BROOK & WHITTLE LIMITED SECTION 401(K) PROFIT SHARING PLAN
401(k) retirement plan
Signals · 1
No recordkeeper disclosed
Active participants
1,795
Accounts w/ balance
1,959
Plan assets (EOY)
$91.9M
Net assets (EOY)
$91.9M
How this plan invests
This plan
2 pooled trusts
Schedule D
32 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 (10 bps vs 16 bps peer median).
Decision-maker contacts
CFO / Head of HR / Benefits Manager — verified email + LinkedIn for BROOK & WHITTLE LIMITED.
Plan sponsor
Name
BROOK & WHITTLE LIMITED
EIN
06-1452909
Address
20 CARTER DRIVE · GUILFORD, CT · 06437
Phone
(203) 483-5602
Industry
Manufacturingsee all
Plan administrator
Name
SBSF
EIN
27-3232902
City
DULUTH, GA
Phone
(212) 564-2464
Plan characteristics
Plan number
001
Plan year
2024
Plan year begin
2024-01-01
Tax period
2024-12-31
Filed
2025-11-14
Pension benefit codes
2A · Age/service weighted or new comparability
2E · Profit-sharing
2J · 401(k) feature
2K · 401(m) arrangement
2F · ERISA section 404(c)
2G · Total participant-directed accounts
3D · Pre-approved plan (master / prototype / VS)
3H · Sponsor in controlled / affiliated group
2T · Default investment account (QDIA)
Audit & trust (Schedule H)
Auditor
PKF O'CONNOR DAVIES LLP
Trustee / custodian
—
Trustee phone
—
Service providers (Schedule C)
3 rowsAdvisor / Consultant
1| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| ALERA INVESTMENT ADVISORS LLC | 82-1301701 | — | INVESTMENT ADVISORY | $0 | — |
TPA / Administrator
2| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| PRINCIPAL LIFE INSURANCE COMPANY | 42-0127290 | — | CONTRACT ADMINISTRATOR | $81K | — |
| ORENDA RETIREMENT LLC | 36-4877979 | — | CONTRACT ADMINISTRATOR | $8K | — |
Investments
31 direct securities · 2 pooled funds· $100.2M(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
$72.3M
29 holdings
Pooled Separate Account
$10.2M
2 holdings
Mutual Funds
$9.2M
1 holding
Pooled Separate Accounts
$8.5M
1 holding
| PI | Investment | Type | Shares / units | Cost | Current value | % of plan |
|---|---|---|---|---|---|---|
| GROUP ANNUITY CONTRACTS * Principal Guaranteed Option | — | — | — | $19.9M | 21.7% | |
| S SHARES / UNITS Vanguard Growth Index Fund | Mutual Funds | — | $43K | $9.2M | 10.0% | |
| Fidelity US Bond Index | — | — | $834K | $8.5M | 9.3% | |
| S * Principal Core Fixed Income Separate Account-Z | Pooled Separate Accounts | — | $477K | $8.5M | 9.3% | |
| PRIN CORE FIX INC SEP ACCT-Z PRINCIPAL LIFE INSURANCE COMPANY · EIN 42-0127290 / PN 118 | Pooled Separate Account | — | — | $8.5M | 9.3% | |
| Dodge & Cox Stock Fund | — | — | $29K | $7.4M | 8.0% | |
| Fidelity 500 Index Fund | — | — | $31K | $6.2M | 6.8% | |
| Vanguard Emerging Markets Stock Index Fund | — | — | $111K | $4.1M | 4.4% | |
| PGIM High Yield Fund | — | — | $619K | $3.0M | 3.2% | |
| 9.50% with maturities through 2037 | — | — | — | $2.5M | 2.7% | |
| Vanguard Developed Markets Index Fund | — | — | $164K | $2.5M | 2.7% | |
| MFS International Growth Fund | — | — | $60K | $2.5M | 2.7% | |
| DFA International Value Portfolio | — | — | $118K | $2.4M | 2.6% | |
| Fidelity Mid Cap Index Fund | — | — | $55K | $1.9M | 2.0% | |
| Fidelity Small Cap Index Fund | — | — | $64K | $1.8M | 1.9% | |
| PRIN REAL ESTATE SECS SA-Z PRINCIPAL LIFE INSURANCE COMPANY · EIN 42-0127290 / PN 095 | Pooled Separate Account | — | $19K | $1.7M | 1.8% | |
| Undiscovered Managers Behavioral Value Fund | — | — | $19K | $1.6M | 1.7% | |
| American Funds 2030 Target Date Retirement Fund | — | — | $88K | $1.5M | 1.7% | |
| Vanguard Mid-Cap Value Index Fund | — | — | $18K | $1.5M | 1.6% | |
| Putnam Small Cap Growth Fund | — | — | $16K | $1.3M | 1.4% | |
| PGIM Jennison Mid-Cap Growth Fund | — | — | $51K | $1.2M | 1.3% | |
| American Funds 2035 Target Date Retirement Fund | — | — | $46K | $882K | 1.0% | |
| American Funds 2040 Target Date Retirement Fund | — | — | $27K | $550K | 0.6% | |
| American Funds 2045 Target Date Retirement Fund | — | — | $24K | $503K | 0.5% | |
| American Funds 2010 Target Date Retirement Fund | — | — | $27K | $313K | 0.3% | |
| American Funds 2050 Target Date Retirement Fund | — | — | $14K | $299K | 0.3% | |
| Principal Fixed Income Guaranteed Option | — | — | — | $46K | <0.1% | |
| PIMCO Global Bond Opportunities Fund US Dollar-Hedged | — | — | $3K | $32K | <0.1% | |
| American Funds 2065 Target Date Retirement Fund 590 | — | — | — | $10K | <0.1% | |
| American Funds 2055 Target Date Retirement Fund 341 | — | — | — | $9K | <0.1% | |
| American Funds 2060 Target Date Retirement Fund 281 | — | — | — | $5K | <0.1% | |
| American Funds 2025 Target Date Retirement Fund 130 | — | — | — | $2K | <0.1% | |
| (E) | — | — | — | $2K | <0.1% |