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Original filing (PDF)20251007153848NAL0004996113001
PUTNAM INVESTMENTS, LLC
Form 5500
FILING_RECEIVED
THE PUTNAM RETIREMENT PLAN
401(k) retirement plan
Active participants
0
Accounts w/ balance
1,528
Plan assets (EOY)
$555.8M
Net assets (EOY)
$555.8M
How this plan invests
This plan
20 pooled trusts
Schedule D
63 securities
funds · stocks · CUSIPs
Holdings are itemized directly on this plan's Schedule of Assets, below.
Plan health score (directional)
99
/ 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
90
Knocking points off
- No active participants reported but plan still holds assets.
Helping the score
- Below-peer total fees (1 bps vs 6 bps peer median).
Decision-maker contacts
CFO / Head of HR / Benefits Manager — verified email + LinkedIn for PUTNAM INVESTMENTS, LLC.
Plan sponsor
Name
PUTNAM INVESTMENTS, LLC
EIN
26-1080669
Address
8515 E ORCHARD RD 3T2 · GREENWOOD VILLAGE, CO · 80111
Phone
(303) 737-0696
Industry
Management of Companies / Holdingssee 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
2025-10-07
Pension benefit codes
2E · Profit-sharing
2F · ERISA section 404(c)
2G · Total participant-directed accounts
2J · 401(k) feature
2K · 401(m) arrangement
2R · Participant-directed brokerage (SDBA)
2S · Automatic enrollment
2T · Default investment account (QDIA)
3H · Sponsor in controlled / affiliated group
Audit & trust (Schedule H)
Auditor
DELOITTE & TOUCHE LLP
Trustee / custodian
—
Trustee phone
—
Service providers (Schedule C)
3 rowsRecordkeeper
1| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| EMPOWER ANNUITY INSURANCE COMPANY | — | GREENWOOD VILLAGE, CO | RECORDKEEPER | $0 | — |
Broker
1| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| CHARLES SCHWAB INVESTMENT MNGMT,INC | 94-3106735 | — | BROKERAGE SERVICES | $3K | — |
Accountant / Auditor
1| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| DELOITTE & TOUCHE LLP | — | PHILADELPHIA, PA | AUDITOR | $70K | — |
Investments
42 direct securities · 20 pooled funds· $550.5M(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.
Uncategorized
$377.3M
42 holdings
Common Collective Trust
$173.2M
20 holdings
| PI | Investment | Type | Shares / units | Cost | Current value | % of plan |
|---|---|---|---|---|---|---|
| Putnam Large Cap Growth R6 Mutual funds | — | — | — | $62.8M | 11.3% | |
| Putnam Sustainable Leaders R6 Mutual funds | — | — | — | $56.9M | 10.2% | |
| PUTNAM LARGE CAP VALUE TRUST IA PUTNAM INVESTMENTS CIT · EIN 82-3639536 / PN 000 | Common Collective Trust | — | — | $49.5M | 8.9% | |
| PUTNAM S & P 500 INDEX FUND CLASS M PUTNAM INVESTMENTS · EIN 04-2884233 / PN 201 | Common Collective Trust | — | — | $29.8M | 5.4% | |
| PUTNAM STABLE VALUE FUND PUTNAM INVESTMENTS · EIN 04-3159710 / PN 202 | Common Collective Trust | — | — | $27.0M | 4.9% | |
| Putnam Core Equity Fund R6 Mutual funds | — | — | — | $26.7M | 4.8% | |
| Putnam Dynamic Asset Alloc Growth R6 Mutual funds | — | — | — | $18.5M | 3.3% | |
| Putnam Government Money Market Money market fund | — | — | — | $18.4M | 3.3% | |
| Putnam Small Cap Growth R6 Mutual funds | — | — | — | $14.5M | 2.6% | |
| Putnam Global Technology R6 Mutual funds | — | — | — | $13.2M | 2.4% | |
| Schwab Personal Choice Retirement Account Self-directed brokerage account | — | — | — | $11.7M | 2.1% | |
| STATE STREET US BOND INDEX NON-LEND STATE STREET GLOBAL ADVISORS COLLECTIVE TRUSTS · EIN 90-0337987 / PN 462 | Common Collective Trust | — | — | $11.1M | 2.0% | |
| STATE STREET RUSSELL LRG CAP INDEX STATE STREET GLOBAL ADVISORS COLLECTIVE TRUSTS · EIN 90-0337987 / PN 000 | Common Collective Trust | — | — | $11.0M | 2.0% | |
| Putnam Small Cap Value R6 Mutual funds | — | — | — | $10.8M | 1.9% | |
| Putnam International Equity R6 Mutual funds | — | — | — | $10.7M | 1.9% | |
| Putnam Global Health Care R6 Mutual funds | — | — | — | $10.1M | 1.8% | |
| Putnam Focused Equity R6 Mutual funds | — | — | — | $9.9M | 1.8% | |
| Putnam Emerging Markets Equity R6 Mutual funds | — | — | — | $9.1M | 1.6% | |
| Putnam High Yield R6 Mutual funds | — | — | — | $9.0M | 1.6% | |
| Putnam Research R6 Mutual funds | — | — | — | $8.5M | 1.5% | |
| Putnam Dynamic Asset Allocation Bal R6 Mutual funds | — | — | — | $8.4M | 1.5% | |
| George Putnam Balanced R6 Mutual funds | — | — | — | $7.1M | 1.3% | |
| PUTNAM RETIREMENT ADV TRUST 2040 X PUTNAM INVESTMENTS CIT · EIN 26-1384398 / PN 260 | Common Collective Trust | — | — | $6.8M | 1.2% | |
| Putnam Sustainable Future R6 Mutual funds | — | — | — | $6.7M | 1.2% | |
| Putnam Focused International Equity R6 Mutual funds | — | — | — | $6.5M | 1.2% | |
| Putnam Sustainable Retirement 2035 R6 Mutual funds | — | — | — | $6.5M | 1.2% | |
| PANAGORA RISK PARITY MULTI-ASSET SEI TRUST COMPANY · EIN 47-4947522 / PN 002 | Common Collective Trust | — | — | $6.1M | 1.1% | |
| Putnam International Capital Opp R6 Mutual funds | — | — | — | $5.8M | 1.0% | |
| SSGA GLOBAL ALL CAP EQUITY EX-US IN STATE STREET GLOBAL ADVISORS COLLECTIVE TRUSTS · EIN 90-0337987 / PN 456 | Common Collective Trust | — | — | $5.2M | 0.9% | |
| PUTNAM RETIREMENT ADV TRUST 2035 X PUTNAM INVESTMENTS CIT · EIN 26-0787945 / PN 261 | Common Collective Trust | — | — | $4.7M | 0.9% | |
| Putnam Sustainable Retirement 2030 R6 Mutual funds | — | — | — | $4.4M | 0.8% | |
| Putnam Ultra Short Duration Income R6 Mutual funds | — | — | — | $4.1M | 0.7% | |
| PUTNAM RETIREMENT ADV TRUST 2030 X PUTNAM INVESTMENTS CIT · EIN 26-0788040 / PN 262 | Common Collective Trust | — | — | $4.0M | 0.7% | |
| Putnam Convertible Securities R6 Mutual funds | — | — | — | $3.8M | 0.7% | |
| Putnam Sustainable Retirement 2050 R6 Mutual funds | — | — | — | $3.5M | 0.6% | |
| Putnam Income R6 Mutual funds | — | — | — | $3.2M | 0.6% | |
| Putnam Diversified Income R6 Mutual funds | — | — | — | $3.2M | 0.6% | |
| Putnam Sustainable Retirement 2045 R6 Mutual funds | — | — | — | $3.0M | 0.5% | |
| STATE ST RUSSELL SM CAP INDX NL CL STATE STREET GLOBAL ADVISORS COLLECTIVE TRUSTS · EIN 90-0337987 / PN 000 | Common Collective Trust | — | — | $2.8M | 0.5% | |
| Putnam Multi Asset Income R6 Mutual funds | — | — | — | $2.8M | 0.5% | |
| Putnam Dynamic Asset Allocation Cnsrv R6 Mutual funds | — | — | — | $2.7M | 0.5% | |
| PUTNAM RETIREMENT ADV TRUST 2050 X PUTNAM INVESTMENTS CIT · EIN 26-0787670 / PN 258 | Common Collective Trust | — | — | $2.7M | 0.5% | |
| PUTNAM RETIREMENT ADV TRUST 2025 X PUTNAM INVESTMENTS CIT · EIN 26-0788428 / PN 268 | Common Collective Trust | — | — | $2.6M | 0.5% | |
| PUTNAM RETIREMENT ADV TRUST 2055 X PUTNAM INVESTMENTS CIT · EIN 26-0787670 / PN 272 | Common Collective Trust | — | — | $2.6M | 0.5% | |
| PUTNAM RETIREMENT ADV TRUST 2045 X PUTNAM INVESTMENTS CIT · EIN 26-1208510 / PN 259 | Common Collective Trust | — | — | $2.4M | 0.4% | |
| Putnam Mortgage Securities R6 Mutual funds | — | — | — | $2.4M | 0.4% | |
| Putnam Floating Rate Income R6 Mutual funds | — | — | — | $2.2M | 0.4% | |
| Putnam Sustainable Retirement 2025 R6 Mutual funds | — | — | — | $2.2M | 0.4% | |
| SSGA S&P MIDCAP INDEX FUND CLASS C STATE STREET GLOBAL ADVISORS COLLECTIVE TRUSTS · EIN 90-0337987 / PN 176 | Common Collective Trust | — | — | $1.8M | 0.3% | |
| Putnam Global Income Trust R6 Mutual funds | — | — | — | $1.6M | 0.3% | |
| Putnam Sustainable Retirement 2055 R6 Mutual funds | — | — | — | $1.3M | 0.2% | |
| PANAGORA US LARGE CAP STOCK SELECTO SEI TRUST COMPANY · EIN 01-6217141 / PN 001 | Common Collective Trust | — | — | $1.2M | 0.2% | |
| Putnam Short Duration Bond R6 Mutual funds | — | — | — | $1.2M | 0.2% | |
| Putnam Core Bond Fund R6 Mutual funds | — | — | — | $1.1M | 0.2% | |
| Putnam Sustainable Retirement 2040 R6 Mutual funds | — | — | — | $1.1M | 0.2% | |
| PUTNAM RETIREMENT ADV TRUST MAT X PUTNAM INVESTMENTS CIT · EIN 26-0788428 / PN 268 | Common Collective Trust | — | — | $947K | 0.2% | |
| Putnam Sustainable Retirement Maturity R6 Mutual funds | — | — | — | $609K | 0.1% | |
| PUTNAM RETIREMENT ADV TRUST 2060 X PUTNAM INVESTMENTS CIT · EIN 27-3616920 / PN 273 | Common Collective Trust | — | — | $604K | 0.1% | |
| Putnam Sustainable Retirement 2060 R6 Mutual funds | — | — | — | $494K | <0.1% | |
| Putnam Mortgage Opportunities Fund R6 Mutual funds | — | — | — | $462K | <0.1% | |
| PUTNAM RETIREMENT ADV TRUST 2065 X PUTNAM INVESTMENTS CIT · EIN 85-3582370 / PN 274 | Common Collective Trust | — | — | $297K | <0.1% | |
| Putnam Sustainable Retirement 2065 R6 Mutual funds | — | — | — | $38K | <0.1% |