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Original filing (PDF)20251013084550NAL0002116066001
BALLUFF, INC.
Form 5500
FILING_RECEIVED
BALLUFF, INC. 401(K) PROFIT SHARING PLAN
401(k) retirement plan
Active participants
152
Accounts w/ balance
217
Plan assets (EOY)
$34.4M
Net assets (EOY)
$34.4M
How this plan invests
This plan
26 securities
funds · stocks · CUSIPs
Holdings are itemized directly on this plan's Schedule of Assets, below.
Plan health score (directional)
95
/ 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
80
Vendor stack
100
Participation health
100
Knocking points off
- 41 bps in Schedule C fees — modestly above peer band of 29 bps.
Decision-maker contacts
CFO / Head of HR / Benefits Manager — verified email + LinkedIn for BALLUFF, INC..
Plan sponsor
Name
BALLUFF, INC.
EIN
22-2326111
Address
8125 HOLTON DR · FLORENCE, KY · 41042
Phone
(859) 727-2200
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
2025-10-13
Pension benefit codes
2E · Profit-sharing
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)
3F · Sponsor used leased employees
Audit & trust (Schedule H)
Auditor
RODL LANGFORD DE KOCK - VL LLC
Trustee / custodian
—
Trustee phone
—
Service providers (Schedule C)
3 rowsRecordkeeper
1| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| EMPOWER ANNUITY INSURANCE COMPANY O | — | GREENWOOD VILLAGE, CO | RECORDKEEPER | $72K | — |
Advisor / Consultant
1| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| MORGAN STANLEY | — | NEW YORK, NY | INVESTMENT ADVISOR | $61K | — |
Other
1| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| EMPOWER ADVISORY GROUP, LLC | — | GREENWOOD VILLAGE, CO | INVESTMENT MGMT | $8K | — |
Investments
25 direct securities· $33.3M(97% of reported assets)
Uncategorized
$31.5M
24 holdings
Mutual Funds
$1.8M
1 holding
| PI | Investment | Type | Shares / units | Cost | Current value | % of plan |
|---|---|---|---|---|---|---|
| JPMorgan Large Cap Growth | — | — | — | $4.5M | 13.1% | |
| Vanguard Retirement 2030 Fund | — | — | — | $4.5M | 13.0% | |
| Vanguard 500 Index Admiral | — | — | — | $2.9M | 8.3% | |
| Vanguard Retirement 2040 Fund | — | — | — | $2.5M | 7.3% | |
| Vanguard Retirement 2025 Fund | — | — | — | $1.9M | 5.4% | |
| Vanguard Retirement 2035 Fund | — | — | — | $1.8M | 5.2% | |
| American Funds Balanced | Mutual Funds | — | — | $1.8M | 5.2% | |
| Vanguard Intermediate Term Bond Index Fund | — | — | — | $1.5M | 4.4% | |
| DFA Large Cap Value | — | — | — | $1.3M | 3.9% | |
| Funds Held in Insurance Company General Account * Empower Annuity Insurance Key Guaranteed Portfolio Fund | — | — | — | $1.1M | 3.2% | |
| Vanguard Retirement 2050 Fund | — | — | — | $1.1M | 3.2% | |
| Vanguard Retirement 2060 Fund | — | — | — | $1.1M | 3.1% | |
| American Funds Capital World | — | — | — | $1.1M | 3.1% | |
| Vanguard Retirement 2045 Fund | — | — | — | $914K | 2.7% | |
| Vanguard Mid Cap Index Fund | — | — | — | $786K | 2.3% | |
| Vanguard Mid Cap Growth Index Fund | — | — | — | $784K | 2.3% | |
| American Funds EuroPacific Growth Fund | — | — | — | $751K | 2.2% | |
| Vanguard Explorer ADM Fund | — | — | — | $703K | 2.0% | |
| Vanguard Retirement 2055 Fund | — | — | — | $616K | 1.8% | |
| DFA Real Estate Securities | — | — | — | $411K | 1.2% | |
| Franklin Utilities | — | — | — | $352K | 1.0% | |
| PIMCO Real Return Fund | — | — | — | $333K | 1.0% | |
| Vanguard Retirement Income Fund | — | — | — | $248K | 0.7% | |
| Company of America * Participant Loans (Notes Receivable from Participants) 4.25% - 9.50% - | — | — | — | $219K | 0.6% | |
| Self-Directed Brokerage Funds Charles Schwab & Co., Inc. SDBA | — | — | — | $163K | 0.5% |