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Original filing (PDF)20251014143442NAL0001553043001
EXCELSIOR ORTHOPAEDICS LLP
Form 5500
FILING_RECEIVED
EXCELSIOR ORTHOPAEDICS, LLP 401(K) PROFIT SHARING PLAN
401(k) retirement plan
Signals · 3
45% in single holdingNo recordkeeper disclosed9 service providers
Active participants
655
Accounts w/ balance
808
Plan assets (EOY)
$63.0M
Net assets (EOY)
$63.0M
How this plan invests
This plan
40 pooled trusts
Schedule D
11 securities
funds · stocks · CUSIPs
Holdings are itemized directly on this plan's Schedule of Assets, below.
Plan health score (directional)
85
/ 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
77
Total plan cost
65
Vendor stack
80
Participation health
100
Knocking points off
- Top holding "[DFE: MYCOMPASS INDEX MODERATE 2055 FUND (extraction pending)]" is 45% of plan.
- 31 bps in Schedule C fees — 92% above peer band of 16 bps.
- No recordkeeper disclosed on Schedule C.
Decision-maker contacts
CFO / Head of HR / Benefits Manager — verified email + LinkedIn for EXCELSIOR ORTHOPAEDICS LLP.
Plan sponsor
Name
EXCELSIOR ORTHOPAEDICS LLP
EIN
16-1608040
Address
3925 SHERIDAN DRIVE · AMHERST, NY · 14226
Phone
(716) 250-9999
Industry
Offices of Physicians· Health Care & Social Assistancesee 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
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)
2S · Automatic enrollment
2T · Default investment account (QDIA)
3B · Covers self-employed individuals
3D · Pre-approved plan (master / prototype / VS)
3H · Sponsor in controlled / affiliated group
Audit & trust (Schedule H)
Auditor
LUMSDEN & MCCORMICK
Trustee / custodian
—
Trustee phone
—
Service providers (Schedule C)
9 rowsOther
9| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| VOYA RETIREMENT INS AND ANNUITY CO | 71-0294708 | — | NONE | $90K | — |
| RAYMOND JAMES FINANCIAL SERVICES | — | BUFFALO, NY | NONE | $24K | — |
| VALIANT RETIRE INC. | 87-1649469 | — | NONE | $20K | — |
| PRATT COLLARD BUCK ADVISORY GROUP | — | BUFFALO, NY | NONE | $19K | — |
| RAYMOND JAMES & ASSOCIATES | — | BUFFALO, NY | NONE | $12K | — |
| SANDHILL INVESTMENT MANAGEMENT | — | BUFFALO, NY | NONE | $11K | — |
| LANDMARK WEALTH MANAGEMENT | — | GETZVILLE, NY | NONE | $9K | — |
| BURNS/NOWAKOWSKI GROUP | — | BUFFALO, NY | NONE | $9K | — |
| COMMONWEALTH EQUITY SERVICES | 04-2675571 | — | NONE | $0 | — |
Investments
2 direct securities · 40 pooled funds· $18.7M(30% 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.
Common Collective Trust
$17.4M
14 holdings
Uncategorized
$1.3M
2 holdings
Pooled Separate Account
$0
26 holdings
| PI | Investment | Type | Shares / units | Cost | Current value | % of plan |
|---|---|---|---|---|---|---|
| MYCOMPASS IND MOD 2055 FD R WILMINGTON TRUST, N.A. · EIN 38-4097335 / PN 481 | Common Collective Trust | — | — | $7.8M | 12.4% | |
| MYCOMPASS IND MOD 2045 FD R WILMINGTON TRUST, N.A. · EIN 38-4097334 / PN 480 | Common Collective Trust | — | — | $4.2M | 6.6% | |
| MYCOMPASS IND MOD 2035 FD R WILMINGTON TRUST, N.A. · EIN 38-4097333 / PN 479 | Common Collective Trust | — | — | $3.9M | 6.2% | |
| [DFE: MYCOMPASS INDEX MODERATE RETIREMENT FUND (extraction pending)] | — | — | — | $1.3M | 2.1% | |
| MYCOMPASS IND MOD RET FD R WILMINGTON TRUST, N.A. · EIN 38-4097331 / PN 477 | Common Collective Trust | — | — | $1.3M | 2.1% | |
| MYCOMPASS IND AGG 2055 FD R WILMINGTON TRUST, N.A. · EIN 38-4097330 / PN 476 | Common Collective Trust | — | — | $34K | <0.1% | |
| MYCOMPASS IND AGG 2035 FD R WILMINGTON TRUST, N.A. · EIN 38-4097328 / PN 474 | Common Collective Trust | — | — | $33K | <0.1% | |
| MYCOMPASS IND CNS 2035 F R WILMINGTON TRUST, N.A. · EIN 38-4097338 / PN 484 | Common Collective Trust | — | — | $32K | <0.1% | |
| MYCOMPASS IND CNS 2055 F R WILMINGTON TRUST, N.A. · EIN 38-4097340 / PN 486 | Common Collective Trust | — | — | $26K | <0.1% | |
| MYCOMPASS IND MOD 2065 FD R WILMINGTON TRUST FUNDS · EIN 38-7271385 / PN 766 | Common Collective Trust | — | — | $11K | <0.1% | |
| [DFE: MYCOMPASS INDEX CONSERVATIVE RETIREMENT FUND (extraction pending)] | — | — | — | $4K | <0.1% | |
| MYCOMPASS IND CNS RET FD R WILMINGTON TRUST, N.A. · EIN 38-4097336 / PN 482 | Common Collective Trust | — | — | $4K | <0.1% | |
| MYCOMPASS IND CNS 2045 F R WILMINGTON TRUST, N.A. · EIN 38-4097339 / PN 485 | Common Collective Trust | — | — | $638 | <0.1% | |
| DFA US TARGETED VL PORT INS VOYA RETIREMENT INSURANCE AND ANNUITY COMPANY · EIN 71-0294708 / PN 000 | Pooled Separate Account | — | — | $0 | <0.1% | |
| VOYA GV MNY MKT F A VOYA RETIREMENT INSURANCE AND ANNUITY COMPANY · EIN 71-0294708 / PN 000 | Pooled Separate Account | — | — | $0 | <0.1% | |
| MYCOMPASS IND MOD 2025 FD R WILMINGTON TRUST, N.A. · EIN 38-4097332 / PN 478 | Common Collective Trust | — | — | $0 | <0.1% | |
| AB SMALL CAP GRW PORT Z VOYA RETIREMENT INSURANCE AND ANNUITY COMPANY · EIN 71-0294708 / PN 000 | Pooled Separate Account | — | — | $0 | <0.1% | |
| AMCEN MID CAP VALUE FUND R6 VOYA RETIREMENT INSURANCE AND ANNUITY COMPANY · EIN 71-0294708 / PN 000 | Pooled Separate Account | — | — | $0 | <0.1% | |
| AMERICAN FUNDS AM BALANCED R6 VOYA RETIREMENT INSURANCE AND ANNUITY COMPANY · EIN 71-0294708 / PN 000 | Pooled Separate Account | — | — | $0 | <0.1% | |
| AMERICAN FUNDS EUROPACIFIC R6 VOYA RETIREMENT INSURANCE AND ANNUITY COMPANY · EIN 71-0294708 / PN 000 | Pooled Separate Account | — | — | $0 | <0.1% | |
| AMERICAN FUNDS NW PRSPCTV R6 VOYA RETIREMENT INSURANCE AND ANNUITY COMPANY · EIN 71-0294708 / PN 000 | Pooled Separate Account | — | — | $0 | <0.1% | |
| BRANDYWINEGLOBAL HGH YLD FD IS VOYA RETIREMENT INSURANCE AND ANNUITY COMPANY · EIN 71-0294708 / PN 000 | Pooled Separate Account | — | — | $0 | <0.1% | |
| MYCOMPASS IND AGG RET FD R WILMINGTON TRUST, N.A. · EIN 38-4097326 / PN 472 | Common Collective Trust | — | — | $0 | <0.1% | |
| FID US BD ID FD VOYA RETIREMENT INSURANCE AND ANNUITY COMPANY · EIN 71-0294708 / PN 000 | Pooled Separate Account | — | — | $0 | <0.1% | |
| FIDELITY 500 INDEX FUND VOYA RETIREMENT INSURANCE AND ANNUITY COMPANY · EIN 71-0294708 / PN 000 | Pooled Separate Account | — | — | $0 | <0.1% | |
| FIDELITY ADV GRW OPPORT FND Z VOYA RETIREMENT INSURANCE AND ANNUITY COMPANY · EIN 71-0294708 / PN 000 | Pooled Separate Account | — | — | $0 | <0.1% | |
| FIDELITY INTL INDEX FND VOYA RETIREMENT INSURANCE AND ANNUITY COMPANY · EIN 71-0294708 / PN 000 | Pooled Separate Account | — | — | $0 | <0.1% | |
| FIDELITY MID CAP IDX FD VOYA RETIREMENT INSURANCE AND ANNUITY COMPANY · EIN 71-0294708 / PN 000 | Pooled Separate Account | — | — | $0 | <0.1% | |
| FIDELITY RL EST IND FD VOYA RETIREMENT INSURANCE AND ANNUITY COMPANY · EIN 71-0294708 / PN 000 | Pooled Separate Account | — | — | $0 | <0.1% | |
| FIDELITY SM CP IND FD VOYA RETIREMENT INSURANCE AND ANNUITY COMPANY · EIN 71-0294708 / PN 000 | Pooled Separate Account | — | — | $0 | <0.1% | |
| INV DEV MRKTS FD R6 VOYA RETIREMENT INSURANCE AND ANNUITY COMPANY · EIN 71-0294708 / PN 000 | Pooled Separate Account | — | — | $0 | <0.1% | |
| JPMORGAN LGCP GRW FND R6 VOYA RETIREMENT INSURANCE AND ANNUITY COMPANY · EIN 71-0294708 / PN 000 | Pooled Separate Account | — | — | $0 | <0.1% | |
| LOOMIS SAYLES INFL PROT SECS N VOYA RETIREMENT INSURANCE AND ANNUITY COMPANY · EIN 71-0294708 / PN 000 | Pooled Separate Account | — | — | $0 | <0.1% | |
| MFS INTL DIVERSIFICATION FD R6 VOYA RETIREMENT INSURANCE AND ANNUITY COMPANY · EIN 71-0294708 / PN 000 | Pooled Separate Account | — | — | $0 | <0.1% | |
| NUVEEN CORE PLUS BD FD R6 VOYA RETIREMENT INSURANCE AND ANNUITY COMPANY · EIN 71-0294708 / PN 000 | Pooled Separate Account | — | — | $0 | <0.1% | |
| NUVEEN STRATEGIC INCOME FD R6 VOYA RETIREMENT INSURANCE AND ANNUITY COMPANY · EIN 71-0294708 / PN 000 | Pooled Separate Account | — | — | $0 | <0.1% | |
| PGIM JENNISON MD CP GRW FD R6 VOYA RETIREMENT INSURANCE AND ANNUITY COMPANY · EIN 71-0294708 / PN 000 | Pooled Separate Account | — | — | $0 | <0.1% | |
| PGIM JENNISON UTILITY FUND R6 VOYA RETIREMENT INSURANCE AND ANNUITY COMPANY · EIN 71-0294708 / PN 000 | Pooled Separate Account | — | — | $0 | <0.1% | |
| PGIM TOTAL RETURN BOND FUND R6 VOYA RETIREMENT INSURANCE AND ANNUITY COMPANY · EIN 71-0294708 / PN 000 | Pooled Separate Account | — | — | $0 | <0.1% | |
| T. ROWE PRICE NEW ERA FUND I VOYA RETIREMENT INSURANCE AND ANNUITY COMPANY · EIN 71-0294708 / PN 000 | Pooled Separate Account | — | — | $0 | <0.1% | |
| VANGRD WINDSOR II FUND ADM VOYA RETIREMENT INSURANCE AND ANNUITY COMPANY · EIN 71-0294708 / PN 000 | Pooled Separate Account | — | — | $0 | <0.1% | |
| MYCOMPASS IND CNS 2025 F R WILMINGTON TRUST, N.A. · EIN 38-4097337 / PN 483 | Common Collective Trust | — | — | $0 | <0.1% |