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Original filing (PDF)20251204064341NAL0001087299001
BROADVIEW INVESTMENTS, LLC
Form 5500
FILING_RECEIVED
PHARMA TECH INDUSTRIES 401(K) PLAN
401(k) retirement plan
Signals · 2
Late filing · 0.6 moNo recordkeeper disclosed
Active participants
188
Accounts w/ balance
178
Plan assets (EOY)
$9.6M
Net assets (EOY)
$9.6M
How this plan invests
This plan
2 pooled trusts
Schedule D
14 securities
funds · stocks · CUSIPs
Holdings are itemized directly on this plan's Schedule of Assets, below.
Plan health score (directional)
97
/ 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
98
Concentration risk
100
Total plan cost
100
Vendor stack
80
Participation health
100
Knocking points off
- Filed 0.6 months past the 10.5-month grace window.
- No recordkeeper disclosed on Schedule C.
Decision-maker contacts
CFO / Head of HR / Benefits Manager — verified email + LinkedIn for BROADVIEW INVESTMENTS, LLC.
Plan sponsor
Name
BROADVIEW INVESTMENTS, LLC
EIN
20-2971461
Address
545 OLD ELBERT RD · ROYSTON, GA · 30662
Phone
(706) 246-3500
Industry
Manufacturingsee 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
2025-12-04
Pension benefit codes
2E · Profit-sharing
2F · ERISA section 404(c)
2G · Total participant-directed accounts
2J · 401(k) feature
2K · 401(m) arrangement
2T · Default investment account (QDIA)
3D · Pre-approved plan (master / prototype / VS)
3B · Covers self-employed individuals
3H · Sponsor in controlled / affiliated group
Audit & trust (Schedule H)
Auditor
FORVIS MAZARS, LLP
Trustee / custodian
—
Trustee phone
—
Service providers (Schedule C)
4 rowsAdvisor / Consultant
1| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| EMPOWER | 13-5674085 | — | ADVISOR | $7K | — |
TPA / Administrator
1| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| ASCENSUS LLC | 82-3719843 | — | TPA | $4K | — |
Other
2| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| MERRILL LYNCH PIERCE FENNER & SMITH | — | PENNINGTON, NJ | INVESTMENT PROVIDER | $19K | — |
| LINCOLN NATIONAL CORPORATION | 35-0472300 | — | SERVICE PROVIDER | $17K | — |
Investments
14 direct securities · 2 pooled funds· $9.9M(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.
Uncategorized
$9.3M
13 holdings
Guaranteed Income / GIC
$299K
1 holding
Common Collective Trust
$299K
1 holding
Pooled Separate Account
$0
1 holding
| PI | Investment | Type | Shares / units | Cost | Current value | % of plan |
|---|---|---|---|---|---|---|
| Party-in- Identity of Issuer, Borrower, Maturity Date, Rate of Interest, Collateral, (e) interest Lessor or Similar Party Par or Maturity Value Current Value Pooled Separate Accounts IShares US Aggregate Bond Index Class K | — | — | — | $2.2M | 22.9% | |
| BlackRock Liquidity Funds FedFund Premier Shares* | — | — | — | $1.3M | 13.1% | |
| Lincoln Stable Value Account - LNGPA | — | — | — | $1.2M | 12.2% | |
| IShares S&P 500 Index Class K | — | — | — | $998K | 10.4% | |
| IShares MSCI EAFE International Index Class K | — | — | — | $807K | 8.4% | |
| IShares Russell Mid Cap Index Class K | — | — | — | $595K | 6.2% | |
| Vanguard Value Index Admiral Shares | — | — | — | $493K | 5.1% | |
| Vanguard Balanced Index Admiral Shares | — | — | — | $491K | 5.1% | |
| Vanguard Ermerging Markets Stock Index Admiral Shares | — | — | — | $342K | 3.6% | |
| IShares Russell 2000 Small Cap Index Class K | — | — | — | $319K | 3.3% | |
| Vanguard Growth Index Admiral Shares | — | — | — | $317K | 3.3% | |
| Mass Mutual Fixed Account | Guaranteed Income / GIC | — | — | $299K | 3.1% | |
| MASSMUTUAL GUARANTEED INTEREST ACC MASSMUTUAL LIFE INSURANCE CO. · EIN 04-1590850 / PN 000 | Common Collective Trust | — | — | $299K | 3.1% | |
| Cohen and Steers Real Estate Securities Inc Class Z | — | — | — | $181K | 1.9% | |
| Participant Loans** Interest rates from 4.25% - 9.5%, | — | — | — | $137K | 1.4% | |
| SEPARATE ACCOUNT SCAI MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY · EIN 04-1590850 / PN 000 | Pooled Separate Account | — | — | $0 | <0.1% |
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