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Original filing (PDF)20251014121540NAL0001359683001
BARTON MINES CORPORATION
Form 5500
FILING_RECEIVED
THE BARTON GROUP 401(K) PLAN
401(k) retirement plan
Active participants
119
Accounts w/ balance
187
Plan assets (EOY)
$38.4M
Net assets (EOY)
$38.4M
How this plan invests
This plan
5 pooled trusts
Schedule D
22 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
Decision-maker contacts
CFO / Head of HR / Benefits Manager — verified email + LinkedIn for BARTON MINES CORPORATION.
Plan sponsor
Name
BARTON MINES CORPORATION
EIN
23-1624372
Address
SIX WARREN STREET · GLENS FALLS, NY · 12801
Phone
(518) 798-5462
Industry
Mining, Quarrying, Oil & Gassee all
Plan administrator
Same as plan sponsor.
Plan characteristics
Plan number
002
Plan year
2024
Plan year begin
2024-01-01
Tax period
2024-12-31
Filed
2025-10-14
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
3H · Sponsor in controlled / affiliated group
Audit & trust (Schedule H)
Auditor
UHY, LLP
Trustee / custodian
—
Trustee phone
—
Service providers (Schedule C)
5 rowsRecordkeeper
1| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| EMPOWER LIFE & ANNUITY INSURANCE CO | — | GREENWOOD VILLAGE, CO | RECORDKEEPER | $36K | — |
Advisor / Consultant
1| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| FIDUCIENT ADVISORS LLC | — | CHICAGO, IL | INVESTMENT ADVISOR | $29K | — |
Accountant / Auditor
1| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| UHY LLP | — | HOUSTON, TX | AUDITOR | $8K | — |
Other
2| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| BARTON MINES COMPANY LLC DBA BARTON | — | GLENS FALLS, NY | OTHER | $7K | — |
| EMPOWER ADVISORY GROUP, LLC | — | GREENWOOD VILLAGE, CO | INVESTMENT MGMT | $5K | — |
Investments
18 direct securities · 5 pooled funds· $38.4M(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
$34.8M
18 holdings
Pooled Separate Account
$3.6M
5 holdings
| PI | Investment | Type | Shares / units | Cost | Current value | % of plan |
|---|---|---|---|---|---|---|
| Empower Separate Account Guaranteed Interest Contract | — | — | — | $8.4M | 21.9% | |
| Vanguard Instl Target Ret 2030 | — | — | — | $7.0M | 18.2% | |
| Vanguard Instl Target Ret 2035 | — | — | — | $3.8M | 10.0% | |
| Vanguard Instl Target Ret 2025 | — | — | — | $3.0M | 7.9% | |
| Vanguard Instl Target Ret 2040 | — | — | — | $2.7M | 7.0% | |
| Vanguard Instl Target Ret 2045 | — | — | — | $2.0M | 5.3% | |
| VANGUARD 500 INDEX ADMIRAL VANGUARD · EIN 90-0779283 / PN 000 | Pooled Separate Account | — | — | $1.9M | 5.1% | |
| MFS Investment Management MFS Growth Fund | — | — | — | $1.5M | 3.9% | |
| Vanguard Instl Target Ret 2050 | — | — | — | $1.2M | 3.2% | |
| Vanguard Instl Target Ret Inc | — | — | — | $1.1M | 2.8% | |
| Notes receivable from participants Interest rates ranging from 4.25% to 9.50% - | — | — | — | $864K | 2.2% | |
| VANGUARD TOTAL BOND MARKET INDEX AD VANGUARD · EIN 90-0779283 / PN 000 | Pooled Separate Account | — | — | $826K | 2.1% | |
| Vanguard Instl Target Ret 2055 | — | — | — | $675K | 1.8% | |
| American Funds American Funds Wash Mutl Invs Fund | — | — | — | $572K | 1.5% | |
| Vanguard Instl Target Ret 2060 | — | — | — | $464K | 1.2% | |
| VANGUARD SMALL CAP INDEX ADM VANGUARD · EIN 90-0779283 / PN 000 | Pooled Separate Account | — | — | $459K | 1.2% | |
| Vanguard Tot Intl Stck Index Fund | — | — | — | $419K | 1.1% | |
| Vanguard Instl Target Ret 2020 | — | — | — | $399K | 1.0% | |
| VANGUARD MID CAP INDEX ADMIRAL VANGUARD · EIN 90-0779283 / PN 000 | Pooled Separate Account | — | — | $378K | 1.0% | |
| Dodge & Cox Dodge & Cox Income X | — | — | — | $373K | 1.0% | |
| American Funds American Funds EuroPacific Gr Fund | — | — | — | $206K | 0.5% | |
| Vanguard Istl Trgt Ret 2065 Fd | — | — | — | $83K | 0.2% | |
| MASSMUTUAL TOTAL RETURN BOND I MASSMUTUAL · EIN 90-0342299 / PN 000 | Pooled Separate Account | — | — | $0 | <0.1% |