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Original filing (PDF)20250821080718NAL0006929056001
RUPP PFALZGRAF LLC
Form 5500
FILING_RECEIVED
RUPP PFALZGRAF LLC 401(K) PROFIT SHARING PLAN
401(k) retirement plan
Signals · 1
6 service providers
Active participants
129
Accounts w/ balance
181
Plan assets (EOY)
$25.9M
Net assets (EOY)
$25.9M
How this plan invests
This plan
41 securities
funds · stocks · CUSIPs
Holdings are itemized directly on this plan's Schedule of Assets, below.
Plan health score (directional)
100
/ 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
100
Participation health
100
Decision-maker contacts
CFO / Head of HR / Benefits Manager — verified email + LinkedIn for RUPP PFALZGRAF LLC.
Plan sponsor
Name
RUPP PFALZGRAF LLC
EIN
16-1583308
Address
1600 LIBERTY BLDG · 424 MAIN STREET · BUFFALO, NY · 14202
Phone
(716) 854-3400
Industry
Law Offices· Professional & Technical Servicessee 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
2025-08-21
Pension benefit codes
2A · Age/service weighted or new comparability
2E · Profit-sharing
2F · ERISA section 404(c)
2G · Total participant-directed accounts
2J · 401(k) feature
2R · Participant-directed brokerage (SDBA)
2T · Default investment account (QDIA)
3B · Covers self-employed individuals
3D · Pre-approved plan (master / prototype / VS)
Audit & trust (Schedule H)
Auditor
CHIMPOU TRAVIS BESAW KERSHNER,LLP
Trustee / custodian
—
Trustee phone
—
Service providers (Schedule C)
6 rowsRecordkeeper
1| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| FIRST GREAT-WEST LIFE & ANNUITY | — | GREENWOOD VILLAGE, CO | RECORDKEEPER | $27K | — |
Advisor / Consultant
1| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| STERLING INVESTMENT COUNSEL | — | BUFFALO, NY | INVESTMENT ADVISOR | $34K | — |
Broker
1| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| CHARLES SCHWAB, INC | — | WESTLAKE, TX | BROKERAGE SERVICES | $0 | — |
TPA / Administrator
1| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| RIMKUS MARCIANO & ASSOCIATES INC | — | ROCHESTER, NY | CONTRACT ADMIN | $9K | — |
Accountant / Auditor
1| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| CHIAMPOU TRAVIS BESAW & | — | AMHERST, NY | AUDITOR | $11K | — |
Other
1| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| EMPOWER ADVISORY GROUP, LLC | — | GREENWOOD VILLAGE, CO | INVESTMENT MGMT | $3K | — |
Investments
41 direct securities· $25.2M(97% of reported assets)
| PI | Investment | Type | Shares / units | Cost | Current value | % of plan |
|---|---|---|---|---|---|---|
| Vanguard 500 Index Admiral | — | — | — | $5.1M | 19.8% | |
| Charles Schwab SDB - Outside Accounts | — | — | — | $4.1M | 15.8% | |
| American Funds American Funds Growth Portfolio R-6 | — | — | — | $2.0M | 7.9% | |
| Vanguard American Funds 2040 Trgt Date Retire R6 | — | — | — | $1.0M | 4.0% | |
| American Funds American Funds AMCAP R6 | — | — | — | $982K | 3.8% | |
| Charles Schwab SDB Roth | — | — | — | $816K | 3.2% | |
| Vanguard Mid Cap Index Fund - Admiral | — | — | — | $805K | 3.1% | |
| American Funds American Funds Gr and Inc Port R-6 | — | — | — | $774K | 3.0% | |
| American Funds American Funds 2050 Trgt Date Retire R6 | — | — | — | $764K | 3.0% | |
| Dimensional Fund Advisors DFA Global Equity I | — | — | — | $742K | 2.9% | |
| Columbia Small Cap Index A | — | — | — | $686K | 2.7% | |
| American Funds American Funds American Balanced R6 | — | — | — | $685K | 2.6% | |
| American Funds American Funds 2030 Trgt Date Retire R6 | — | — | — | $662K | 2.6% | |
| Charles Schwab SDB | — | — | — | $637K | 2.5% | |
| Vanguard FTSE All-Wld ex-US Inx Admiral | — | — | — | $518K | 2.0% | |
| Massachusetts Financial Services MFS Value R6 | — | — | — | $338K | 1.3% | |
| Vanguard Small Cap Index Adm | — | — | — | $328K | 1.3% | |
| American Funds American Funds 2055 Trgt Date Retire R6 | — | — | — | $327K | 1.3% | |
| American Funds Vanguard Interm-Term Bond Index Adm | — | — | — | $297K | 1.2% | |
| Metropolitan West Metropolitan West Total Return Bond Plan | — | — | — | $288K | 1.1% | |
| Dimensional Fund Advisors DFA US Large Cap Value I | — | — | — | $271K | 1.0% | |
| Principal High Yield A | — | — | — | $260K | 1.0% | |
| Dimensional Fund Advisors DFA US Small Cap Value I | — | — | — | $252K | 1.0% | |
| Baron Funds Baron Partners Instl | — | — | — | $234K | 0.9% | |
| Vanguard Growth Index Adm | — | — | — | $231K | 0.9% | |
| American Funds American Funds 2060 Trgt Date Retire R6 | — | — | — | $217K | 0.8% | |
| American Funds American Funds 2010 Trgt Date Retire R6 | — | — | — | $204K | 0.8% | |
| American Funds American Funds 2045 Trgt Date Retire R6 | — | — | — | $194K | 0.8% | |
| American Funds American Funds 2025 Trgt Date Retire R7 | — | — | — | $181K | 0.7% | |
| Invesco Oppenheimer Invesco Oppenheimer Int'l Growth R6 | — | — | — | $176K | 0.7% | |
| Invesco Gold & Special Minerals Y | — | — | — | $163K | 0.6% | |
| Janus Henderson Triton N | — | — | — | $138K | 0.5% | |
| American Funds American Funds New World R6 | — | — | — | $138K | 0.5% | |
| maturing through November 2029 $-0- | — | — | — | $122K | 0.5% | |
| American Funds American Funds 2035 Trgt Date Retire R6 | — | — | — | $102K | 0.4% | |
| Vanguard Real Estate Index Admiral | — | — | — | $75K | 0.3% | |
| Templeton Global Bond R6 | — | — | — | $73K | 0.3% | |
| Empower Life & Annuity Insurance Co Guaranteed Interest Account, at contract value | — | — | — | $69K | 0.3% | |
| Dimensional Fund Advisors DFA World EX US Government FXD Inc I | — | — | — | $66K | 0.3% | |
| American Funds American Funds 2065 Trgt Date Retire R6 | — | — | — | $57K | 0.2% | |
| American Funds American Funds 2020 Trgt Date Retire R6 | — | — | — | $41K | 0.2% |