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Original filing (PDF)20251009150238NAL0011205856001
ROCKY VISTA UNIVERSITY, LLC
Form 5500
FILING_RECEIVED
ROCKY VISTA UNIVERSITY, LLC 401(K) RETIREMENT PLAN
401(k) retirement plan
Signals · 2
27% in single holdingNo recordkeeper disclosed
Active participants
473
Accounts w/ balance
382
Plan assets (EOY)
$26.1M
Net assets (EOY)
$26.1M
How this plan invests
This plan
23 pooled trusts
Schedule D
35 securities
funds · stocks · CUSIPs
Holdings are itemized directly on this plan's Schedule of Assets, below.
Plan health score (directional)
87
/ 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
87
Total plan cost
65
Vendor stack
80
Participation health
100
Knocking points off
- Top holding "Stadion Domestic Equity ETF 1 Stadion 0" is 27% of plan.
- 51 bps in Schedule C fees — 74% above peer band of 29 bps.
- No recordkeeper disclosed on Schedule C.
Decision-maker contacts
CFO / Head of HR / Benefits Manager — verified email + LinkedIn for ROCKY VISTA UNIVERSITY, LLC.
Plan sponsor
Name
ROCKY VISTA UNIVERSITY, LLC
EIN
20-4761077
Address
8401 S. CHAMBERS RD · ENGLEWOOD, CO · 80112
Phone
(720) 874-2486
Industry
Educational 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
2025-10-09
Pension benefit codes
2A · Age/service weighted or new comparability
2E · Profit-sharing
3D · Pre-approved plan (master / prototype / VS)
2G · Total participant-directed accounts
2J · 401(k) feature
2K · 401(m) arrangement
2F · ERISA section 404(c)
2T · Default investment account (QDIA)
Audit & trust (Schedule H)
Auditor
SYMPHONA, LLP
Trustee / custodian
—
Trustee phone
—
Service providers (Schedule C)
5 rowsOther
5| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| STADION MONEY MANAGEMENT | 45-1564286 | — | NONE | $61K | — |
| CAPITAL ASSET MANAGEMENT LLC | — | DENVER, CO | NONE | $42K | — |
| ASCENSUS LLC | 11-3665754 | — | NONE | $13K | — |
| EXPAND FINANCIAL | — | MANSFIELD, OH | NONE | $12K | — |
| UNITED OF OMAHA | 47-0322111 | — | INVESTMENT COMPANY | $5K | — |
Investments
13 direct securities · 23 pooled funds· $26.1M(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.
Common Collective Trust
$23.1M
22 holdings
Uncategorized
$3.0M
13 holdings
Pooled Separate Account
$0
1 holding
| PI | Investment | Type | Shares / units | Cost | Current value | % of plan |
|---|---|---|---|---|---|---|
| STADION DOMESTIC EQUITY ETF 1 STADION (BENEFIT TRUST COMPANY) · EIN 81-6274538 / PN 059 | Common Collective Trust | — | — | $7.0M | 26.9% | |
| STADION INTERNATIONAL EQUITY ETF 1 STADION (BENEFIT TRUST COMPANY) · EIN 81-6274538 / PN 060 | Common Collective Trust | — | — | $3.6M | 13.8% | |
| STATE STREET S&P 500 IDX SEC LEND I STATE STREET GLOBAL ADVISORS · EIN 04-0025081 / PN 078 | Common Collective Trust | — | — | $1.9M | 7.3% | |
| RETIREMENT RIGHT STABLE VALUE I HAND BENEFITS & TRUST · EIN 74-2008758 / PN 227 | Common Collective Trust | — | — | $1.7M | 6.7% | |
| STADION CYCLICAL TREND ETF 1 STADION (BENEFIT TRUST COMPANY) · EIN 81-6274538 / PN 062 | Common Collective Trust | — | — | $1.2M | 4.5% | |
| STADION CORE INCOME ETF 1 STADION (BENEFIT TRUST COMPANY) · EIN 81-6274538 / PN 063 | Common Collective Trust | — | — | $1.1M | 4.4% | |
| STADION DYNAMIC TREND ETF 1 STADION (BENEFIT TRUST COMPANY) · EIN 81-6274538 / PN 062 | Common Collective Trust | — | — | $1.1M | 4.3% | |
| STATE STREET RET RIGHT TARGET 2030 HAND BENEFITS & TRUST · EIN 74-2008758 / PN 231 | Common Collective Trust | — | — | $845K | 3.2% | |
| STATE STREET RET RIGHT TARGET 2040 HAND BENEFITS & TRUST · EIN 74-2008758 / PN 233 | Common Collective Trust | — | — | $812K | 3.1% | |
| DIRECTIONS 2 - MODERATELY CONSERVAT HAND BENEFITS & TRUST · EIN 74-2008758 / PN 242 | Common Collective Trust | — | — | $743K | 2.8% | |
| BlackRock High Yield Portfolio K BlackRock 0 | — | — | — | $608K | 2.3% | |
| T. Rowe Price Growth Stock I T. Rowe Price 0 | — | — | — | $599K | 2.3% | |
| STATE STREET RET RIGHT TARGET 2050 HAND BENEFITS & TRUST · EIN 74-2008758 / PN 235 | Common Collective Trust | — | — | $587K | 2.2% | |
| STATE STREET RET RIGHT TARGET 2020 STATE STREET GLOBAL ADVISORS · EIN 74-2008758 / PN 229 | Common Collective Trust | — | — | $424K | 1.6% | |
| DIRECTIONS 1 - CONSERVATIVE I HAND BENEFITS & TRUST · EIN 74-2008758 / PN 241 | Common Collective Trust | — | — | $412K | 1.6% | |
| DIRECTIONS 4 - MODERATELY AGGRESSIV HAND BENEFITS & TRUST · EIN 74-2008758 / PN 244 | Common Collective Trust | — | — | $397K | 1.5% | |
| T. Rowe Price Spect Mod Grw Alloc I T. Rowe Price 0 | — | — | — | $306K | 1.2% | |
| Vanguard Equity Income Adm Vanguard 0 | — | — | — | $290K | 1.1% | |
| Franklin Growth R6 Franklin 0 | — | — | — | $290K | 1.1% | |
| TCW MetWest Total Return Bond Plan TCW 0 | — | — | — | $260K | 1.0% | |
| STATE STREET RUSS SM CAP VA IND NON STATE STREET GLOBAL ADVISORS · EIN 90-0337987 / PN 223 | Common Collective Trust | — | — | $252K | 1.0% | |
| JHancock III Disc Val Mid Cap R6 John Hancock 0 | — | — | — | $248K | 0.9% | |
| STATE STREET INTL IND SECS LENDING HAND BENEFITS & TRUST · EIN 32-6528132 / PN 010 | Common Collective Trust | — | — | $220K | 0.8% | |
| DIRECTIONS 3 - MODERATE I HAND BENEFITS & TRUST · EIN 74-2008758 / PN 243 | Common Collective Trust | — | — | $210K | 0.8% | |
| DIRECTIONS 5 - AGGRESSIVE I HAND BENEFITS & TRUST · EIN 74-2008758 / PN 245 | Common Collective Trust | — | — | $170K | 0.6% | |
| Various Rates and Maturities Participant's Loan Account 0 | — | — | — | $115K | 0.4% | |
| STATE STREET S&P MIDCAP IDX SEC LEN STATE STREET GLOBAL ADVISORS · EIN 90-0337987 / PN 459 | Common Collective Trust | — | — | $102K | 0.4% | |
| STATE STREET EMERGING MKT IND SL II HAND BENEFITS & TRUST · EIN 32-6528132 / PN 035 | Common Collective Trust | — | — | $98K | 0.4% | |
| STATE STREET RET RIGHT TARGET 2060 STATE STREET GLOBAL ADVISORS · EIN 74-2008758 / PN 237 | Common Collective Trust | — | — | $93K | 0.4% | |
| Hartford Schroders Intl MultCap Val SDR Hartford 0 | — | — | — | $82K | 0.3% | |
| Nationwide Geneva Small Cap Growth R6 Nationwide 0 | — | — | — | $81K | 0.3% | |
| STATE STREET RUSS SM CAP IND SECS L STATE STREET GLOBAL ADVISORS · EIN 32-6528132 / PN 040 | Common Collective Trust | — | — | $61K | 0.2% | |
| T. Rowe Price Spectrum Cons Alloc I T. Rowe Price 0 | — | — | — | $50K | 0.2% | |
| Cohen & Steers Instl Realty Shares Instl Cohen & Steers 0 | — | — | — | $49K | 0.2% | |
| T. Rowe Price Spectrum Mod Alloc I T. Rowe Price 0 | — | — | — | $9K | <0.1% | |
| UNITED OF OMAHA SEPARATE ACCT K UNITED OF OMAHA LIFE INSURANCE COMPANY · EIN 43-1795138 / PN 001 | Pooled Separate Account | — | — | $0 | <0.1% |