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Original filing (PDF)20251008041154NAL0005404241001
THE THIRD FLOOR, INC.
Form 5500
FILING_RECEIVED
THE THIRD FLOOR, INC. 401(K) PLAN
401(k) retirement plan
Active participants
198
Accounts w/ balance
190
Plan assets (EOY)
$15.5M
Net assets (EOY)
$15.5M
How this plan invests
This plan
33 pooled trusts
Schedule D
55 securities
funds · stocks · CUSIPs
Holdings are itemized directly on this plan's Schedule of Assets, below.
Plan health score (directional)
91
/ 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
65
Vendor stack
100
Participation health
100
Knocking points off
- 65 bps in Schedule C fees — 125% above peer band of 29 bps.
Decision-maker contacts
CFO / Head of HR / Benefits Manager — verified email + LinkedIn for THE THIRD FLOOR, INC..
Plan sponsor
Name
THE THIRD FLOOR, INC.
EIN
20-1755197
Address
5700 WILSHIRE BLVD., SUITE 650 · LOS ANGELES, CA · 90036
Phone
(323) 931-6633
Industry
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
2025-10-08
Pension benefit codes
2F · ERISA section 404(c)
2G · Total participant-directed accounts
2J · 401(k) feature
2K · 401(m) arrangement
2S · Automatic enrollment
2T · Default investment account (QDIA)
3D · Pre-approved plan (master / prototype / VS)
Audit & trust (Schedule H)
Auditor
JMK CPA PARTNERS, LLP
Trustee / custodian
—
Trustee phone
—
Service providers (Schedule C)
5 rowsRecordkeeper
1| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| FIDELITY INVESTMENTS INSTITUTIONAL | 04-2647786 | KANSAS CITY, MO | RECORDKEEPER | $38K | — |
Advisor / Consultant
2| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| MONARCH PLAN ADVISORS | 46-3919960 | — | ADVISOR | $35K | — |
| STRATEGIC ADVISORS, INC. | 04-2654524 | — | ADVISOR | $9K | — |
Accountant / Auditor
1| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| JONES & MALHOTRA | 95-4668647 | — | ACCOUNTANT/AUDITOR | $10K | — |
Other
1| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| ASCENSUS HOLDINGS, INC. | 82-3719843 | — | OTHER SERVICES | $9K | — |
Investments
25 direct securities · 33 pooled funds· $28.3M(100% of reported assets)
Rows tagged as a trust or pooled fund hold many underlying securities. Their holdings are itemized on each fund’s own Form 5500.
Pooled Separate Account
$15.3M
33 holdings
Uncategorized
$13.0M
25 holdings
| PI | Investment | Type | Shares / units | Cost | Current value | % of plan |
|---|---|---|---|---|---|---|
| Fidelity Management Trust Company BlackRock LifePath Index 2050 K | — | — | — | $3.5M | 22.8% | |
| BLKRK LP IDX 2050 K FIDELITY INVESTMENTS INSTITUTIONAL OPERATIONS COMPANY, LLC. · EIN 04-2647786 / PN 000 | Pooled Separate Account | — | — | $3.5M | 22.8% | |
| Fidelity Management Trust Company BlackRock LifePath Index 2045 K | — | — | — | $2.5M | 16.0% | |
| BLKRK LP IDX 2045 K FIDELITY INVESTMENTS INSTITUTIONAL OPERATIONS COMPANY, LLC. · EIN 04-2647786 / PN 000 | Pooled Separate Account | — | — | $2.5M | 16.0% | |
| FID 500 INDEX FIDELITY INVESTMENTS INSTITUTIONAL OPERATIONS COMPANY, LLC. · EIN 04-2647786 / PN 000 | Pooled Separate Account | — | — | $1.6M | 10.4% | |
| Fidelity Management Trust Company BlackRock LifePath Index 2040 K | — | — | — | $1.4M | 9.0% | |
| BLKRK LP IDX 2040 K FIDELITY INVESTMENTS INSTITUTIONAL OPERATIONS COMPANY, LLC. · EIN 04-2647786 / PN 000 | Pooled Separate Account | — | — | $1.4M | 9.0% | |
| Fidelity Management Trust Company BlackRock LifePath Index 2035 K | — | — | — | $972K | 6.3% | |
| BLKRK LP IDX 2035 K FIDELITY INVESTMENTS INSTITUTIONAL OPERATIONS COMPANY, LLC. · EIN 04-2647786 / PN 000 | Pooled Separate Account | — | — | $972K | 6.3% | |
| Fidelity Management Trust Company BlackRock LifePath Index 2055 K | — | — | — | $951K | 6.1% | |
| BLKRK LP IDX 2055 K FIDELITY INVESTMENTS INSTITUTIONAL OPERATIONS COMPANY, LLC. · EIN 04-2647786 / PN 000 | Pooled Separate Account | — | — | $951K | 6.1% | |
| Fidelity Management Trust Company BlackRock LifePath Index 2060 K | — | — | — | $690K | 4.4% | |
| BLKRK LP IDX 2060 K FIDELITY INVESTMENTS INSTITUTIONAL OPERATIONS COMPANY, LLC. · EIN 04-2647786 / PN 000 | Pooled Separate Account | — | — | $690K | 4.4% | |
| JPM LG CAP GROWTH R6 FIDELITY INVESTMENTS INSTITUTIONAL OPERATIONS COMPANY, LLC. · EIN 04-2647786 / PN 000 | Pooled Separate Account | — | — | $529K | 3.4% | |
| Fidelity Management Trust Company BlackRock LifePath Index Retirement K | — | — | — | $367K | 2.4% | |
| BLKRK LP IDX RTMT K FIDELITY INVESTMENTS INSTITUTIONAL OPERATIONS COMPANY, LLC. · EIN 04-2647786 / PN 000 | Pooled Separate Account | — | — | $367K | 2.4% | |
| Fidelity Management Trust Company Vanguard Developed Markets Index Adm | — | — | — | $305K | 2.0% | |
| VANG DEV MKT IDX ADM FIDELITY INVESTMENTS INSTITUTIONAL OPERATIONS COMPANY, LLC. · EIN 04-2647786 / PN 000 | Pooled Separate Account | — | — | $305K | 2.0% | |
| Fidelity Management Trust Company BlackRock LifePath Index 2030 K | — | — | — | $297K | 1.9% | |
| BLKRK LP IDX 2030 K FIDELITY INVESTMENTS INSTITUTIONAL OPERATIONS COMPANY, LLC. · EIN 04-2647786 / PN 000 | Pooled Separate Account | — | — | $297K | 1.9% | |
| Fidelity Management Trust Company Allspring Special Mid Cp Value Inst | — | — | — | $269K | 1.7% | |
| AS SPL MID CP VAL IS FIDELITY INVESTMENTS INSTITUTIONAL OPERATIONS COMPANY, LLC. · EIN 04-2647786 / PN 000 | Pooled Separate Account | — | — | $269K | 1.7% | |
| Fidelity Investments Institutional OpOUTSTANDING LOAN BALANCE | — | — | — | $229K | 1.5% | |
| (1) Fidelity Management Trust Company Notes receivable from participants | — | — | — | $229K | 1.5% | |
| MFS RESEARCH INTL R6 FIDELITY INVESTMENTS INSTITUTIONAL OPERATIONS COMPANY, LLC. · EIN 04-2647786 / PN 000 | Pooled Separate Account | — | — | $224K | 1.4% | |
| Fidelity Investments Institutional OpMFS RESEARCH INTL R6 | — | — | — | $224K | 1.4% | |
| Fidelity Management Trust Company PGIM Total Return Bond Z | — | — | — | $210K | 1.4% | |
| PGIM TOTAL RTN BD Z FIDELITY INVESTMENTS INSTITUTIONAL OPERATIONS COMPANY, LLC. · EIN 04-2647786 / PN 000 | Pooled Separate Account | — | — | $210K | 1.4% | |
| JPM EQUITY INCOME R6 FIDELITY INVESTMENTS INSTITUTIONAL OPERATIONS COMPANY, LLC. · EIN 04-2647786 / PN 000 | Pooled Separate Account | — | — | $161K | 1.0% | |
| GS STABLE VALUE INV1 FIDELITY INVESTMENTS INSTITUTIONAL OPERATIONS COMPANY, LLC. · EIN 04-2647786 / PN 000 | Pooled Separate Account | — | — | $155K | 1.0% | |
| Fidelity Management Trust Company Fidelity Small Cap Index | — | — | — | $148K | 1.0% | |
| FID SM CAP IDX FIDELITY INVESTMENTS INSTITUTIONAL OPERATIONS COMPANY, LLC. · EIN 04-2647786 / PN 000 | Pooled Separate Account | — | — | $148K | 1.0% | |
| FID GROWTH STRAT K6 FIDELITY INVESTMENTS INSTITUTIONAL OPERATIONS COMPANY, LLC. · EIN 04-2647786 / PN 000 | Pooled Separate Account | — | — | $148K | 1.0% | |
| Fidelity Management Trust Company Columbia Global Technology Growth Ins 2 | — | — | — | $144K | 0.9% | |
| COL GLB TECH GRTH I2 FIDELITY INVESTMENTS INSTITUTIONAL OPERATIONS COMPANY, LLC. · EIN 04-2647786 / PN 000 | Pooled Separate Account | — | — | $144K | 0.9% | |
| Fidelity Management Trust Company Fidelity US Bond Index | — | — | — | $98K | 0.6% | |
| FID US BOND IDX FIDELITY INVESTMENTS INSTITUTIONAL OPERATIONS COMPANY, LLC. · EIN 04-2647786 / PN 000 | Pooled Separate Account | — | — | $98K | 0.6% | |
| Fidelity Management Trust Company Allspring Special Small Cap Value Inst | — | — | — | $95K | 0.6% | |
| AS SPL SM CAP VAL IS FIDELITY INVESTMENTS INSTITUTIONAL OPERATIONS COMPANY, LLC. · EIN 04-2647786 / PN 000 | Pooled Separate Account | — | — | $95K | 0.6% | |
| FID MID CAP IDX FIDELITY INVESTMENTS INSTITUTIONAL OPERATIONS COMPANY, LLC. · EIN 04-2647786 / PN 000 | Pooled Separate Account | — | — | $93K | 0.6% | |
| Fidelity Management Trust Company T. Rowe Price QM U.S. Small-Cap Growth Equity I | — | — | — | $85K | 0.5% | |
| TRP QM US SMCP GR I FIDELITY INVESTMENTS INSTITUTIONAL OPERATIONS COMPANY, LLC. · EIN 04-2647786 / PN 000 | Pooled Separate Account | — | — | $85K | 0.5% | |
| PIMCO INCOME INST FIDELITY INVESTMENTS INSTITUTIONAL OPERATIONS COMPANY, LLC. · EIN 04-2647786 / PN 000 | Pooled Separate Account | — | — | $75K | 0.5% | |
| DFA REAL EST SEC I FIDELITY INVESTMENTS INSTITUTIONAL OPERATIONS COMPANY, LLC. · EIN 04-2647786 / PN 000 | Pooled Separate Account | — | — | $70K | 0.5% | |
| Fidelity Investments Institutional OpDFA REAL EST SEC I | — | — | — | $70K | 0.5% | |
| VANG LIFEST GROWTH FIDELITY INVESTMENTS INSTITUTIONAL OPERATIONS COMPANY, LLC. · EIN 04-2647786 / PN 000 | Pooled Separate Account | — | — | $67K | 0.4% | |
| Fidelity Management Trust Company Vanguard LifeStrategy Conservative Growth 783 * Fidelity Management Trust Company Vanguard LifeStrategy Growth | — | — | — | $67K | 0.4% | |
| Fidelity Management Trust Company BlackRock Health Science Opp K | — | — | — | $56K | 0.4% | |
| BLKRK HLTH SCI OPP K FIDELITY INVESTMENTS INSTITUTIONAL OPERATIONS COMPANY, LLC. · EIN 04-2647786 / PN 000 | Pooled Separate Account | — | — | $56K | 0.4% | |
| BLKRK LP IDX 2065 K FIDELITY INVESTMENTS INSTITUTIONAL OPERATIONS COMPANY, LLC. · EIN 04-2647786 / PN 000 | Pooled Separate Account | — | — | $21K | 0.1% | |
| Fidelity Management Trust Company BlackRock LifePath Index 2065 K | — | — | — | $21K | 0.1% | |
| Fidelity Management Trust Company Vanguard Utilities Index Adm | — | — | — | $19K | 0.1% | |
| VANG UTIL IDX ADM FIDELITY INVESTMENTS INSTITUTIONAL OPERATIONS COMPANY, LLC. · EIN 04-2647786 / PN 000 | Pooled Separate Account | — | — | $19K | 0.1% | |
| Fidelity Management Trust Company Vanguard LifeStrategy Income | — | — | — | $1K | <0.1% | |
| VANG LIFEST INCOME FIDELITY INVESTMENTS INSTITUTIONAL OPERATIONS COMPANY, LLC. · EIN 04-2647786 / PN 000 | Pooled Separate Account | — | — | $1K | <0.1% | |
| VANG LIFEST CON GRTH FIDELITY INVESTMENTS INSTITUTIONAL OPERATIONS COMPANY, LLC. · EIN 04-2647786 / PN 000 | Pooled Separate Account | — | — | $783 | <0.1% | |
| MM MID CAP GRTH SVC FIDELITY INVESTMENTS INSTITUTIONAL OPERATIONS COMPANY, LLC. · EIN 04-2647786 / PN 000 | Pooled Separate Account | — | — | $0 | <0.1% | |
| BLKRK LP IDX 2025 K FIDELITY INVESTMENTS INSTITUTIONAL OPERATIONS COMPANY, LLC. · EIN 04-2647786 / PN 000 | Pooled Separate Account | — | — | $0 | <0.1% |