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Original filing (PDF)20251009110632NAL0011323024001
BREAN CAPITAL, LLC
Form 5500
FILING_RECEIVED
BREAN CAPITAL, LLC 401(K) PLAN
401(k) retirement plan
Signals · 1
No recordkeeper disclosed
Active participants
173
Accounts w/ balance
152
Plan assets (EOY)
$27.9M
Net assets (EOY)
$27.9M
How this plan invests
This plan
1 pooled trust
Schedule D
35 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
- 38 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 BREAN CAPITAL, LLC.
Plan sponsor
Name
BREAN CAPITAL, LLC
EIN
13-4113323
Address
505 5TH AVENUE, 5TH FLOOR · NEW YORK, NY · 10017
Phone
(212) 702-6500
Industry
Finance & Insurancesee all
Plan administrator
Same as plan sponsor.
Plan characteristics
Plan number
004
Plan year
2024
Plan year begin
2024-01-01
Tax period
2024-12-31
Filed
2025-10-09
Pension benefit codes
2E · Profit-sharing
2F · ERISA section 404(c)
2G · Total participant-directed accounts
2J · 401(k) feature
2K · 401(m) arrangement
2R · Participant-directed brokerage (SDBA)
2T · Default investment account (QDIA)
3D · Pre-approved plan (master / prototype / VS)
Audit & trust (Schedule H)
Auditor
KAMLER, LEWIS & NOREMAN LLP
Trustee / custodian
—
Trustee phone
—
Service providers (Schedule C)
2 rowsOther
2| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| STANCORP FINANCIAL GROUP | 93-1253576 | — | NONE | $64K | — |
| PENSIONMARK FINANCIAL GROUP, LLC | 61-1758632 | — | NONE | $41K | — |
Investments
33 direct securities · 1 pooled fund· $27.3M(98% 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
$25.8M
33 holdings
Common Collective Trust
$1.5M
1 holding
| PI | Investment | Type | Shares / units | Cost | Current value | % of plan |
|---|---|---|---|---|---|---|
| Fidelity 500 Index Adm Mutual Fund | — | — | — | $6.7M | 24.1% | |
| Fidelity Large Cap Growth Index Ins Prm Mutual Fund | — | — | — | $2.0M | 7.2% | |
| Vanguard Equity Income Adm Mutual Fund | — | — | — | $1.8M | 6.4% | |
| JPMorgan Large Cap Growth Fund R6 Mutual Fund | — | — | — | $1.7M | 6.3% | |
| T.Rowe Price Retirement I 2045 Mutual Fund | — | — | — | $1.5M | 5.4% | |
| PUTNAM STABLE VALUE FUND PUTNAM FIDUCIARY TRUST COMPANY · EIN 04-3159710 / PN 202 | Common Collective Trust | — | — | $1.5M | 5.3% | |
| Self-Directed Brokerage Accounts Various | — | — | — | $1.4M | 5.0% | |
| Hartford Schroders International Stk SDR Mutual Fund | — | — | — | $1.4M | 4.9% | |
| T.Rowe Price Retirement I 2035 Mutual Fund | — | — | — | $1.3M | 4.6% | |
| Fidelity Small Cap Index Adm Mutual Fund | — | — | — | $859K | 3.1% | |
| Fidelity Advisor Total Bond Fund Class Z Mutual Fund | — | — | — | $816K | 2.9% | |
| MFS Mid Cap Value R6 Mutual Fund | — | — | — | $739K | 2.6% | |
| Neuberger Berman Mid Cap Growth R6 Mutual Fund | — | — | — | $550K | 2.0% | |
| T.Rowe Price Retirement I 2055 Mutual Fund | — | — | — | $534K | 1.9% | |
| T.Rowe Price Retirement I 2050 Mutual Fund | — | — | — | $466K | 1.7% | |
| Vanguard Balanced Index Adm Mutual Fund | — | — | — | $447K | 1.6% | |
| Fidelity Large Cap Value Index Mutual Fund | — | — | — | $388K | 1.4% | |
| Vanguard Wellesley Income Adm Mutual Fund | — | — | — | $357K | 1.3% | |
| T.Rowe Price Retirement I 2040 Mutual Fund | — | — | — | $354K | 1.3% | |
| T.Rowe Price Retirement I 2025 Mutual Fund | — | — | — | $346K | 1.2% | |
| Fidelity Mid Cap Index Mutual Fund | — | — | — | $305K | 1.1% | |
| American Funds New Perspective R6 Mutual Fund | — | — | — | $284K | 1.0% | |
| T.Rowe Price Retirement I 2030 Mutual Fund | — | — | — | $279K | 1.0% | |
| Vanguard Real Estate Index Adm Mutual Fund | — | — | — | $234K | 0.8% | |
| DFA US Targeted Value I Mutual Fund | — | — | — | $219K | 0.8% | |
| Goldman Sachs Int'l Small Cap Insights R6 Mutual Fund | — | — | — | $186K | 0.7% | |
| Prudential High Yield Z Mutual Fund | — | — | — | $166K | 0.6% | |
| T.Rowe Price Retirement I 2015 Mutual Fund | — | — | — | $153K | 0.5% | |
| Notes receivable from participants Interest rates ranging from 4.25% to 9.25% | — | — | — | $111K | 0.4% | |
| PIMCO Real Return Institutional Mutual Fund | — | — | — | $89K | 0.3% | |
| T.Rowe Price Retirement I 2065 Mutual Fund | — | — | — | $70K | 0.3% | |
| T.Rowe Price Retirement I 2020 Mutual Fund | — | — | — | $32K | 0.1% | |
| T.Rowe Price Retirement I 2060 Mutual Fund | — | — | — | $21K | <0.1% | |
| T.Rowe Price Retirement I 2010 Mutual Fund | — | — | — | $6K | <0.1% |