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Original filing (PDF)20251028150551NAL0017694914001
ASCEND ANALYTICS, LLC
Form 5500
FILING_RECEIVED
ASCEND ANALYTICS 401(K) PROFIT SHARING PLAN
401(k) retirement plan
Signals · 2
14% employer stockNo recordkeeper disclosed
Active participants
145
Accounts w/ balance
195
Plan assets (EOY)
$12.0M
Net assets (EOY)
$12.0M
How this plan invests
This plan
14 pooled trusts
Schedule D
29 securities
funds · stocks · CUSIPs
Holdings are itemized directly on this plan's Schedule of Assets, below.
Plan health score (directional)
96
/ 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
88
Total plan cost
100
Vendor stack
80
Participation health
100
Knocking points off
- 14% of plan in employer / sponsor stock.
- No recordkeeper disclosed on Schedule C.
Decision-maker contacts
CFO / Head of HR / Benefits Manager — verified email + LinkedIn for ASCEND ANALYTICS, LLC.
Plan sponsor
Name
ASCEND ANALYTICS, LLC
EIN
20-8214057
Address
1877 BROADWAY, STE. 706 · BOULDER, CO · 80302
Phone
(303) 415-1400
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
2025-10-28
Pension benefit codes
2A · Age/service weighted or new comparability
2E · Profit-sharing
2J · 401(k) feature
2G · Total participant-directed accounts
2F · ERISA section 404(c)
2R · Participant-directed brokerage (SDBA)
2T · Default investment account (QDIA)
3D · Pre-approved plan (master / prototype / VS)
3B · Covers self-employed individuals
Audit & trust (Schedule H)
Auditor
RICHEY MAY & CO
Trustee / custodian
—
Trustee phone
—
Service providers (Schedule C)
2 rowsTPA / Administrator
1| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| HUNTER BENEFITS CONSULTING GROUP IN | 36-4430093 | — | CONTRACT ADMINISTRATOR | $3K | — |
Other
1| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| PRINCIPAL LIFE INSURANCE COMPANY | 42-0127290 | — | CONTACT ADMINISTRATOR | $24K | — |
Investments
17 direct securities · 14 pooled funds· $12.1M(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
$5.6M
9 holdings
Uncategorized
$4.0M
16 holdings
Pooled Separate Account
$2.5M
5 holdings
Mutual Funds
$2K
1 holding
| PI | Investment | Type | Shares / units | Cost | Current value | % of plan |
|---|---|---|---|---|---|---|
| Self Directed Brokerage Accounts Fidelity Investments Self directed brokerage account common stock | — | — | — | $1.7M | 14.0% | |
| PRIN LGCP S&P 500 INDEX SA-Z PRINCIPAL LIFE INSURANCE COMPANY · EIN 42-0127290 / PN 001 | Pooled Separate Account | — | — | $1.5M | 12.7% | |
| PRIN LIFETIME HYBR 2050 CIT Z PRINCIPAL GLOBAL INVESTORS TRUST CO · EIN 26-6447574 / PN 001 | Common Collective Trust | — | — | $1.2M | 9.8% | |
| PRIN LIFETIME HYBR 2055 CIT Z PRINCIPAL GLOBAL INVESTORS TRUST CO · EIN 26-6447574 / PN 001 | Common Collective Trust | — | — | $1.1M | 9.1% | |
| PRIN LIFETIME HYBR 2060 CIT Z PRINCIPAL GLOBAL INVESTORS TRUST CO · EIN 26-6447574 / PN 001 | Common Collective Trust | — | — | $1.0M | 8.7% | |
| JP Morgan Large Cap Growth Fund Class R6 | — | — | — | $655K | 5.5% | |
| PRIN LIFETIME HYBR 2040 CIT Z PRINCIPAL GLOBAL INVESTORS TRUST CO · EIN 26-6447574 / PN 001 | Common Collective Trust | — | — | $601K | 5.0% | |
| PRIN LIFETIME HYBR 2065 CIT Z PRINCIPAL GLOBAL INVESTORS TRUST CO · EIN 26-6447574 / PN 001 | Common Collective Trust | — | — | $559K | 4.7% | |
| PRIN SMCAP S&P 600 INDEX SA-Z PRINCIPAL LIFE INSURANCE COMPANY · EIN 42-0127290 / PN 001 | Pooled Separate Account | — | — | $528K | 4.4% | |
| Fidelity Investments Self directed brokerage account exchange traded funds | — | — | — | $511K | 4.3% | |
| PRINCIPAL STABLE VALUE Z FUND PRINCIPAL GLOBAL INVESTORS TRUST CO · EIN 93-6274328 / PN 001 | Common Collective Trust | — | — | $505K | 4.2% | |
| Principal Life Insurance Mid Cap S&P 400 Index Pooled Separate Account | — | — | — | $344K | 2.9% | |
| PRIN MIDCAP S&P 400 IDX SA-Z PRINCIPAL LIFE INSURANCE COMPANY · EIN 42-0127290 / PN 001 | Pooled Separate Account | — | — | $344K | 2.9% | |
| PRIN LIFETIME HYBR 2045 CIT Z PRINCIPAL GLOBAL INVESTORS TRUST CO · EIN 26-6447574 / PN 001 | Common Collective Trust | — | — | $316K | 2.6% | |
| Vanguard Group Total International Stock Index Admiral Fund | — | — | — | $296K | 2.5% | |
| PRIN LIFETIME HYBR 2035 CIT Z PRINCIPAL GLOBAL INVESTORS TRUST CO · EIN 26-6447574 / PN 001 | Common Collective Trust | — | — | $188K | 1.6% | |
| PRIN LIFETIME HYBR 2030 CIT Z PRINCIPAL GLOBAL INVESTORS TRUST CO · EIN 26-6447574 / PN 001 | Common Collective Trust | — | — | $143K | 1.2% | |
| Vanguard Group Intermediate Term Bond Index Admiral Fund | — | — | — | $138K | 1.2% | |
| PRIN REAL ESTATE SECS SA-Z PRINCIPAL LIFE INSURANCE COMPANY · EIN 42-0127290 / PN 001 | Pooled Separate Account | — | — | $60K | 0.5% | |
| Principal Life Insurance Small Cap Growth I Pooled Separate Account | — | — | — | $60K | 0.5% | |
| PRIN SMCAP GROWTH I SEP ACCT-Z PRINCIPAL LIFE INSURANCE COMPANY · EIN 42-0127290 / PN 001 | Pooled Separate Account | — | — | $60K | 0.5% | |
| Notes receivable from Participant loans secured by the balances in the participants | — | — | — | $50K | 0.4% | |
| Putnam Investments Large Cap Value Fund Class R6 | — | — | — | $44K | 0.4% | |
| Mass Mutual Financial Group Mid Cap Growth I Fund | — | — | — | $41K | 0.3% | |
| Fidelity Investments Self directed brokerage account mutual Funds | — | — | — | $40K | 0.3% | |
| Victory Funds Core Plus Intermediate Bond Fund Class R6 | — | — | — | $39K | 0.3% | |
| Fidelity Investments Self directed brokerage account interest bearing cash | — | — | — | $17K | 0.1% | |
| American Funds New World Fund Class R6 | — | — | — | $17K | 0.1% | |
| Dimensional Fund Advisors Large Cap International I Fund | — | — | — | $16K | 0.1% | |
| JP Morgan Mid Cap Value Fund Class R6 | — | — | — | $10K | <0.1% | |
| American Beacon Funds Small Cap Value Fund Class R5 | Mutual Funds | — | — | $2K | <0.1% |
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