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Original filing (PDF)20251015162553NAL0005121105001
THE LOCKWOOD GROUP, LLC
Form 5500
FILING_RECEIVED
THE LOCKWOOD GROUP, LLC 401K PROFIT SHARING PLAN & TRUST
401(k) retirement plan
Active participants
351
Accounts w/ balance
417
Plan assets (EOY)
$45.0M
Net assets (EOY)
$45.0M
How this plan invests
This plan
1 pooled trust
Schedule D
27 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
Helping the score
- Below-peer total fees (1 bps vs 29 bps peer median).
Decision-maker contacts
CFO / Head of HR / Benefits Manager — verified email + LinkedIn for THE LOCKWOOD GROUP, LLC.
Plan sponsor
Name
THE LOCKWOOD GROUP, LLC
EIN
20-8025205
Address
1055 WASHINGTON BLVD, FLOOR 8 · STAMFORD, CT · 06901
Phone
(203) 252-5661
Industry
All Other Professional Services· 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
2025-10-15
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
2K · 401(m) arrangement
2T · Default investment account (QDIA)
3D · Pre-approved plan (master / prototype / VS)
Audit & trust (Schedule H)
Auditor
BDO USA P.C.
Trustee / custodian
—
Trustee phone
—
Service providers (Schedule C)
2 rowsRecordkeeper
2| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| ADP, INC. | 13-3036745 | — | RECORD KEEPER | $6K | — |
| ADP BROKER-DEALER | 22-3319984 | — | RECORD KEEPER | $0 | — |
Investments
26 direct securities · 1 pooled fund· $44.6M(99% 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.
Registered Investment Companies
$44.4M
26 holdings
Common Collective Trust
$155K
1 holding
| PI | Investment | Type | Shares / units | Cost | Current value | % of plan |
|---|---|---|---|---|---|---|
| VAN TARGET RETIRE 2045 | Registered Investment Companies | — | — | $7.4M | 16.4% | |
| VANGUARD 500 INDEX FUND - ADM | Registered Investment Companies | — | — | $5.6M | 12.5% | |
| VAN TARGET RETIRE 2055 | Registered Investment Companies | — | — | $5.0M | 11.1% | |
| VAN TARGET RETIRE 2050 | Registered Investment Companies | — | — | $4.5M | 9.9% | |
| VAN TARGET RETIRE 2040 | Registered Investment Companies | — | — | $4.2M | 9.3% | |
| VAN TARGET RETIRE 2035 | Registered Investment Companies | — | — | $3.2M | 7.2% | |
| VANGUARD LARGE CAP INDEX ADM | Registered Investment Companies | — | — | $2.2M | 4.9% | |
| VANGUARD MID CAP INDEX - ADM | Registered Investment Companies | — | — | $2.0M | 4.4% | |
| VANGUARD SMALL CAP INDEX ADMRL | Registered Investment Companies | — | — | $1.9M | 4.3% | |
| VAN TARGET RETIRE 2030 | Registered Investment Companies | — | — | $1.7M | 3.8% | |
| FIDELITY OTC PORTFOLIO | Registered Investment Companies | — | — | $916K | 2.0% | |
| JOHN HANCOCK DISC VAL R6 | Registered Investment Companies | — | — | $840K | 1.9% | |
| VAN TARGET RETIRE 2025 | Registered Investment Companies | — | — | $743K | 1.7% | |
| VANGUARD FEDERAL MM INV | Registered Investment Companies | — | — | $585K | 1.3% | |
| INVESCO OPP INTL GR R6 | Registered Investment Companies | — | — | $554K | 1.2% | |
| VAN TARGET RETIRE INC | Registered Investment Companies | — | — | $491K | 1.1% | |
| PIMCO INV GRADE CRED BD I2 | Registered Investment Companies | — | — | $488K | 1.1% | |
| DFA INTL CORE EQUITY 2 INST | Registered Investment Companies | — | — | $420K | 0.9% | |
| VANGUARD BAL IDX - ADM | Registered Investment Companies | — | — | $381K | 0.8% | |
| DFA US TARGETED VAL PORT INST | Registered Investment Companies | — | — | $294K | 0.7% | |
| VAN TARG RETIRE 2060 | Registered Investment Companies | — | — | $251K | 0.6% | |
| PUTNAM INTERNATIONAL EQUITY Y | Registered Investment Companies | — | — | $246K | 0.5% | |
| VAN SELECTED VALUE - INV | Registered Investment Companies | — | — | $237K | 0.5% | |
| ALLSPRING SMID CAP GROWTH INST | Registered Investment Companies | — | — | $191K | 0.4% | |
| STATE ST INTL IDX SEC LEND VI STATE STREET BANK & TRUST CO · EIN 90-0337987 / PN 334 | Common Collective Trust | — | — | $155K | 0.3% | |
| TEMPLETON DEVELOPING MARKET R6 | Registered Investment Companies | — | — | $109K | 0.2% | |
| VAN TARGET RETIRE 2020 | Registered Investment Companies | — | — | $28K | <0.1% |