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Original filing (PDF)20251014072613NAL0004946082001
ALPS ALPINE
Form 5500
FILING_RECEIVED
ALPS ALPINE NORTH AMERICA, INC. 401(K) PLAN
401(k) retirement plan
Active participants
483
Accounts w/ balance
703
Plan assets (EOY)
$136.2M
Net assets (EOY)
$136.2M
How this plan invests
This plan
2 pooled trusts
Schedule D
34 securities
funds · stocks · CUSIPs
Holdings are itemized directly on this plan's Schedule of Assets, below.
Plan health score (directional)
94
/ 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
75
Vendor stack
100
Participation health
100
Helping the score
- No Schedule C compensation disclosed — likely a small plan or unbundled.
Decision-maker contacts
CFO / Head of HR / Benefits Manager — verified email + LinkedIn for ALPS ALPINE.
Plan sponsor
Name
ALPS ALPINE
EIN
11-2404503
Address
3151 J STREET · SUITE 101 · SANTA CLARA, CA · 95054
Phone
(408) 361-6400
Industry
Manufacturingsee 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
2025-10-14
Pension benefit codes
2F · ERISA section 404(c)
2G · Total participant-directed accounts
3H · Sponsor in controlled / affiliated group
2J · 401(k) feature
2K · 401(m) arrangement
2S · Automatic enrollment
2T · Default investment account (QDIA)
3D · Pre-approved plan (master / prototype / VS)
2R · Participant-directed brokerage (SDBA)
Audit & trust (Schedule H)
Auditor
BAKER TILLY LLP
Trustee / custodian
—
Trustee phone
—
Service providers (Schedule C)
4 rowsRecordkeeper
1| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| FIDELITY INVESTMENTS INSTITUTIONAL | 04-2647786 | — | RECORDKEEPER | -$82K | — |
Advisor / Consultant
3| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| STRATEGIC ADVISORS, INC. | 04-2654524 | — | ADVISOR | $28K | — |
| MERCER INVESTMENTS LLC | 36-2668272 | — | INVESTMENT ADVISOR | $15K | — |
| MORGAN, LEWIS & BROCKIUS LLP | — | CHICAGO, IL | INVESTMENT ADVISOR | $6K | — |
Investments
32 direct securities · 2 pooled funds· $136.2M(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
$127.2M
32 holdings
Common Collective Trust
$9.1M
2 holdings
| PI | Investment | Type | Shares / units | Cost | Current value | % of plan |
|---|---|---|---|---|---|---|
| FID 500 INDEX Registered Investment Company | — | — | — | $19.1M | 14.0% | |
| FID GROWTH CO K6 Registered Investment Company | — | — | — | $18.9M | 13.9% | |
| BROKERAGELINK Self-Directed Brokerage | — | — | — | $15.5M | 11.4% | |
| FID FREEDOM 2035 K Registered Investment Company | — | — | — | $15.1M | 11.1% | |
| FID FREEDOM 2030 K Registered Investment Company | — | — | — | $8.2M | 6.1% | |
| FID FREEDOM 2040 K Registered Investment Company | — | — | — | $7.7M | 5.7% | |
| FID FREEDOM 2045 K Registered Investment Company | — | — | — | $6.8M | 5.0% | |
| MORLEY STABLE VALUE PRINCIPAL GLOBAL INVESTORS TRUST CO · EIN 93-6274329 / PN 001 | Common Collective Trust | — | — | $6.3M | 4.6% | |
| PUTN LG CAP VAL R6 Registered Investment Company | — | — | — | $3.9M | 2.9% | |
| FID INTL DISCOVERY K Registered Investment Company | — | — | — | $3.9M | 2.8% | |
| FID FREEDOM 2025 K Registered Investment Company | — | — | — | $3.7M | 2.7% | |
| FID FREEDOM 2050 K Registered Investment Company | — | — | — | $3.5M | 2.6% | |
| EV AC SMID CAP R6 Registered Investment Company | — | — | — | $3.2M | 2.3% | |
| GALLIARD RET INC 55 GREAT GRAY TRUST COMPANY, LLC · EIN 20-5886387 / PN 082 | Common Collective Trust | — | — | $2.8M | 2.0% | |
| FID FREEDOM 2055 K Registered Investment Company | — | — | — | $2.0M | 1.5% | |
| AMG GW&K ESG BOND I Registered Investment Company | — | — | — | $1.6M | 1.2% | |
| FID LOW PRICED STK K Registered Investment Company | — | — | — | $1.6M | 1.2% | |
| VICTORY S SM CO OP I Registered Investment Company | — | — | — | $1.5M | 1.1% | |
| FID US BOND IDX Registered Investment Company | — | — | — | $1.3M | 1.0% | |
| Participant loans Interest rates ranging from 4.25% to 8.75% - | — | — | — | $1.3M | 0.9% | |
| FID FREEDOM 2020 K Registered Investment Company | — | — | — | $1.2M | 0.9% | |
| FID SM CAP IDX Registered Investment Company | — | — | — | $1.1M | 0.8% | |
| FID TOTAL INTL IDX Registered Investment Company | — | — | — | $1.1M | 0.8% | |
| CONESTOGA SM CAP INV Registered Investment Company | — | — | — | $977K | 0.7% | |
| INVS EQV INTL EQ R6 Registered Investment Company | — | — | — | $885K | 0.6% | |
| FID FREEDOM 2060 K Registered Investment Company | — | — | — | $674K | 0.5% | |
| J H TRITON N Registered Investment Company | — | — | — | $621K | 0.5% | |
| FID FREEDOM INC K Registered Investment Company | — | — | — | $368K | 0.3% | |
| PIONEER STRAT INC Y Registered Investment Company | — | — | — | $293K | 0.2% | |
| FID FREEDOM 2010 K Registered Investment Company | — | — | — | $284K | 0.2% | |
| FID FREEDOM 2065 K Registered Investment Company | — | — | — | $262K | 0.2% | |
| FID GOVT MMKT K6 Registered Investment Company | — | — | — | $251K | 0.2% | |
| VANG INFL PROT ADM Registered Investment Company | — | — | — | $178K | 0.1% | |
| FID FREEDOM 2015 K Registered Investment Company | — | — | — | $89K | <0.1% |