Back to filter
Original filing (PDF)20260312124046NAL0006823059001
UTICA UNIVERSITY
Form 5500
FILING_RECEIVED
UTICA UNIVERSITY DEFINED CONTRIBUTION RETIREMENT PLAN
403(b) retirement plan
Signals · 1
No recordkeeper disclosed
Active participants
1,079
Accounts w/ balance
1,022
Plan assets (EOY)
$148.0M
Net assets (EOY)
$148.0M
How this plan invests
This plan
1 pooled trust
Schedule D
29 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.
Decision-maker contacts
CFO / Head of HR / Benefits Manager — verified email + LinkedIn for UTICA UNIVERSITY.
Plan sponsor
Name
UTICA UNIVERSITY
EIN
16-1476258
Address
1600 BURRSTONE ROAD · UTICA, NY · 13502
Phone
(315) 792-3024
Industry
Educational Servicessee all
Plan administrator
Same as plan sponsor.
Plan characteristics
Plan number
001
Plan year
2024
Plan year begin
2024-06-01
Tax period
2025-05-31
Filed
2026-03-12
Pension benefit codes
2F · ERISA section 404(c)
2G · Total participant-directed accounts
2L · 403(b)(1) annuity
2M · 403(b)(7) custodial accounts
2T · Default investment account (QDIA)
3D · Pre-approved plan (master / prototype / VS)
Audit & trust (Schedule H)
Auditor
BONADIO & CO., LLP
Trustee / custodian
—
Trustee phone
—
Service providers (Schedule C)
4 rowsOther
4| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| TIAA | 13-1624203 | — | NONE | $85K | — |
| GLOBAL RETIREMENT PARTNERS,LLC-H/O | 47-1411118 | — | NONE | $27K | — |
| BONADIO & CO., LLP | 16-1131146 | — | NONE | $17K | — |
| DR ADVISORY SERVICES LLC | 20-5173405 | — | NONE | $8K | — |
Investments
28 direct securities · 1 pooled fund· $148.0M(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
$145.6M
28 holdings
Pooled Separate Account
$2.4M
1 holding
| PI | Investment | Type | Shares / units | Cost | Current value | % of plan |
|---|---|---|---|---|---|---|
| TIAA TRADITIONAL NON-BENEFIT RESPONSIVE Fixed annuity contracts | — | — | — | $21.5M | 14.5% | |
| TIAA TRADITIONAL BENEFIT RESPONSIVE Fixed annuity contracts | — | — | — | $17.7M | 12.0% | |
| VANGUARD 500 INDEX Mutual fund | — | — | — | $16.8M | 11.3% | |
| CREF STOCK Mutual fund | — | — | — | $16.6M | 11.2% | |
| VANGUARD DEVELOPED MARKETS Mutual fund | — | — | — | $15.8M | 10.7% | |
| VANGUARD SMALL-CAP Mutual fund | — | — | — | $9.1M | 6.1% | |
| CREF GROWTH Mutual fund | — | — | — | $8.8M | 6.0% | |
| CREF EQUITY INDEX Mutual fund | — | — | — | $8.0M | 5.4% | |
| CREF GLOBAL EQUITIES Mutual fund | — | — | — | $7.2M | 4.9% | |
| VANGUARD INFLATION PROTECTED Mutual fund | — | — | — | $4.4M | 3.0% | |
| DODGE & COX INCOME Mutual fund | — | — | — | $4.1M | 2.7% | |
| VANGUARD REAL ESTATE INDEX Mutual fund | — | — | — | $3.2M | 2.2% | |
| TIAA REAL ESTATE TIAA-CREF · EIN 13-1624203 / PN 004 | Pooled Separate Account | — | — | $2.4M | 1.6% | |
| CREF SOCIAL CHOICE Mutual fund | — | — | — | $2.3M | 1.6% | |
| CREF CORE BOND Mutual fund | — | — | — | $2.2M | 1.5% | |
| VANGUARD FEDERAL MONEY MARKET Mutual fund | — | — | — | $1.4M | 0.9% | |
| CREF MONEY MARKET Mutual fund | — | — | — | $1.3M | 0.9% | |
| CREF INFLATION - LINKED BOND Mutual fund | — | — | — | $1.3M | 0.9% | |
| VANGUARD TOTAL STOCK MARKET Mutual fund | — | — | — | $1.0M | 0.7% | |
| VANGUARD EQUITY INCOME Mutual fund | — | — | — | $790K | 0.5% | |
| VANGUARD GROWTH Mutual fund | — | — | — | $495K | 0.3% | |
| 9.50%, various maturity dates | — | — | — | $297K | 0.2% | |
| VANGUARD MID-CAP VALUE Mutual fund | — | — | — | $292K | 0.2% | |
| VANGUARD SHORT-TERM INVESTMENT GD Mutual fund | — | — | — | $238K | 0.2% | |
| VANGUARD EMERGING MARKETS STOCK Mutual fund | — | — | — | $215K | 0.1% | |
| VANGUARD MID-CAP GROWTH Mutual fund | — | — | — | $206K | 0.1% | |
| VANGUARD INTERNATIONAL GROWTH Mutual fund | — | — | — | $194K | 0.1% | |
| VANGUARD SMALL-CAP GROWTH Mutual fund | — | — | — | $135K | <0.1% | |
| PARNASSUS CORE EQUITY Mutual fund | — | — | — | $35K | <0.1% |