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Original filing (PDF)20251009144023NAL0004002787001
BOARD OF TRUSTEES THE TOPPING OUT FUND OF THE IW LOCALS 40, 361 & 417
Form 5500
FILING_RECEIVED
THE TOPPING OUT FUND OF THE IRON WORKERS LOCALS 40 361 & 417
Health & welfare plan
Signals · 3
100% in single holdingNo recordkeeper disclosed10 service providers
Active participants
1,909
Accounts w/ balance
—
Plan assets (EOY)
$322.1M
Net assets (EOY)
$318.1M
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)
84
/ 100
Grade B
Above-average plan
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
80
Participation health
100
Knocking points off
- Top holding "[DFE: BNYM MELLON CF SL INTL STOCK INDEX (no filing on disk)]" is 100% of plan.
- 23 bps in Schedule C fees — 134% above peer band of 10 bps.
- No recordkeeper disclosed on Schedule C.
Decision-maker contacts
CFO / Head of HR / Benefits Manager — verified email + LinkedIn for BOARD OF TRUSTEES THE TOPPING OUT FUND OF THE IW LOCALS 40, 361 & 417.
Plan sponsor
Name
BOARD OF TRUSTEES THE TOPPING OUT FUND OF THE IW LOCALS 40, 361 & 417
EIN
13-3156507
Address
451 PARK AVENUE SOUTH · NEW YORK, NY · 10016
Phone
(212) 684-1586
Industry
Constructionsee all
Plan administrator
Same as plan sponsor.
Plan characteristics
Plan number
501
Plan year
2024
Plan year begin
2024-01-01
Tax period
2024-12-31
Filed
2025-10-09
Welfare benefit codes
4A · Health (other than dental or vision)
4C · Supplemental Unemployment
4F · Temporary Disability (accident and sickness)
4L · Death Benefits (other than life insurance)
Audit & trust (Schedule H)
Auditor
SCHULTHEIS & PANETTIERI, LLP
Trustee / custodian
—
Trustee phone
—
Service providers (Schedule C)
10 rowsAccountant / Auditor
1| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| SCHULTHEIS & PANETTIERI, LLP | 13-1577780 | — | AUDITOR | $71K | — |
Legal counsel
1| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| COLLERAN, O'HARA & MILLS L.L.P | 11-2940050 | — | ATTORNEY | $14K | — |
Other
8| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| MORGAN STANLEY SMITH BARNEY LLC | 26-4310632 | — | NONE | $204K | — |
| LAZARD ASSET MANAGEMENT LLC | 27-1211194 | — | NONE | $163K | — |
| MANNING & NAPIER ADVISORS LLC | 45-3240790 | — | NONE | $140K | — |
| INSIGHT NORTH AMERICA LLC | 82-0983489 | — | NONE | $107K | — |
| BNY MELLON | 25-1844930 | — | NONE | $22K | — |
| AMALGAMATED BANK | — | NEW YORK, NY | NONE | $13K | — |
| STEVEN N DAVI PLLC | 82-4935807 | — | NONE | $11K | — |
| GRASSI & CO CPA'S PC | 11-3266576 | — | NONE | $9K | — |
Investments
1 pooled fund· $10.5M(3% 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.
| PI | Investment | Type | Shares / units | Cost | Current value | % of plan |
|---|---|---|---|---|---|---|
| BNYM MELLON CF SL INTL STOCK INDEX THE BANK OF NEW YORK MELLON · EIN 25-1844930 / PN 001 | Common Collective Trust | — | — | $10.5M | 3.3% |