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Original filing (PDF)20251010072820NAL0004046147001
ALLIANCE FOR SUSTAINABLE ENERGY, LLC
Form 5500
FILING_RECEIVED
NREL 403(B) EMPLOYEE SAVINGS PLAN
403(b) retirement plan
Signals · 1
6 service providers
Active participants
3,584
Accounts w/ balance
5,162
Plan assets (EOY)
$625.1M
Net assets (EOY)
$625.1M
How this plan invests
This plan
10 pooled trusts
Schedule D
50 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
- 9 bps in Schedule C fees — modestly above peer band of 6 bps.
Decision-maker contacts
CFO / Head of HR / Benefits Manager — verified email + LinkedIn for ALLIANCE FOR SUSTAINABLE ENERGY, LLC.
Plan sponsor
Name
ALLIANCE FOR SUSTAINABLE ENERGY, LLC
EIN
26-1939342
Address
15013 DENVER WEST PARKWAY · GOLDEN, CO · 80401
Phone
(303) 384-7584
Industry
All Other Professional Services· Professional & Technical Servicessee 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
2025-10-10
Pension benefit codes
2F · ERISA section 404(c)
2G · Total participant-directed accounts
2K · 401(m) arrangement
2M · 403(b)(7) custodial accounts
2R · Participant-directed brokerage (SDBA)
2S · Automatic enrollment
2T · Default investment account (QDIA)
Audit & trust (Schedule H)
Auditor
FORVIS MAZARS, LLP
Trustee / custodian
—
Trustee phone
—
Service providers (Schedule C)
6 rowsRecordkeeper
1| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| TRANSAMERICA RETIREMENT SOLUTIONS | 13-3689044 | — | RECORDKEEPER | $389K | — |
Advisor / Consultant
2| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| RUSSELL INVESTMENT TRUST CO | 91-1116938 | — | INVESTMENT ADVISOR | $128K | — |
| CAPITAL MGMT SERVICES INC | 43-1410129 | — | INVESTMENT ADVISOR | $11K | — |
Broker
2| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| CHARLES SCHWAB & CO, INC. | 94-1737782 | — | SECURITIES BROKER | $3K | — |
| NATIONAL FINANCIAL SERVICES | 04-3523567 | — | SECURITIES BROKER | $0 | — |
Accountant / Auditor
1| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| FORVIS MAZARS, LLP | 44-0160260 | — | AUDITOR | $14K | — |
Investments
40 direct securities · 10 pooled funds· $636.8M(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.
Uncategorized
$627.0M
40 holdings
Pooled Separate Account
$9.8M
10 holdings
| PI | Investment | Type | Shares / units | Cost | Current value | % of plan |
|---|---|---|---|---|---|---|
| Vanguard Instl Index Mutual Fund | — | — | — | $68.2M | 10.9% | |
| T. Rowe Price Lrg Cp Gr I Mutual Fund | — | — | — | $50.4M | 8.1% | |
| Vanguard Target Retrmnt 2050 Mutual Fund | — | — | — | $41.6M | 6.7% | |
| Empower Gold Sachs Govt Inc Inst Mutual Fund 489 Dodge & Cox Stock I Mutual Fund | — | — | — | $35.8M | 5.7% | |
| Vanguard Target Retrmnt 2040 Mutual Fund | — | — | — | $31.9M | 5.1% | |
| Vanguard Federal Money Market Money Market | — | — | — | $31.5M | 5.0% | |
| Vanguard Target Retrmnt 2035 Mutual Fund | — | — | — | $31.5M | 5.0% | |
| Vanguard Target Retrmnt 2045 Mutual Fund | — | — | — | $31.1M | 5.0% | |
| Vanguard Extended Mkt Index Instl Mutual Fund | — | — | — | $26.3M | 4.2% | |
| Vanguard Target Retrmnt 2055 Mutual Fund | — | — | — | $24.7M | 3.9% | |
| Vanguard Target Retrmnt 2030 Mutual Fund | — | — | — | $22.8M | 3.7% | |
| Goldman Sachs intl Eq Insights Instl Mutual Fund | — | — | — | $22.2M | 3.6% | |
| Vanguard Target Retrmnt 2025 Mutual Fund | — | — | — | $17.9M | 2.9% | |
| JP Morgan US Eq R6 Mutual Fund | — | — | — | $17.4M | 2.8% | |
| Vanguard Total Bond Mkt Index Instl Mutual Fund | — | — | — | $15.8M | 2.5% | |
| Vanguard Russell 2000 Growth Index I Mutual Fund | — | — | — | $14.8M | 2.4% | |
| Vanguard Russell 2000 Value Index I Mutual Fund | — | — | — | $14.8M | 2.4% | |
| Total Guaranteed Annuity Contracts | — | — | — | $11.9M | 1.9% | |
| CREF Stock R2 *** Mutual Fund | — | — | — | $11.6M | 1.9% | |
| Vanguard Target Retrmnt 2060 Mutual Fund | — | — | — | $11.3M | 1.8% | |
| Vanguard Total Intl Stock Idx Instl Mutual Fund | — | — | — | $10.7M | 1.7% | |
| Vanguard FTSE Social Index Admiral Mutual Fund | — | — | — | $10.6M | 1.7% | |
| CREF Growth R2 *** Mutual Fund | — | — | — | $9.7M | 1.6% | |
| Charles Schwab Institutional Self-directed brokerage accounts | — | — | — | $8.5M | 1.4% | |
| PIMCO Total Return Instl Mutual Fund | — | — | — | $8.3M | 1.3% | |
| TIAA Traditional Benefit Responsive Guaranteed annuity contracts | — | — | — | $6.7M | 1.1% | |
| Vanguard Target Retrmnt 2020 Mutual Fund | — | — | — | $5.8M | 0.9% | |
| TIAA Traditional Non Benefit Responsive Guaranteed annuity contracts | — | — | — | $5.2M | 0.8% | |
| CREF Equity Index R2 *** Mutual Fund | — | — | — | $4.8M | 0.8% | |
| Vanguard Target Retrmnt Inc Mutual Fund | — | — | — | $4.3M | 0.7% | |
| CREF Social Choice R2 *** Mutual Fund | — | — | — | $4.2M | 0.7% | |
| CREF Global Equities R2 *** Mutual Fund | — | — | — | $4.2M | 0.7% | |
| STOCK INDEX ACCOUNT EMPOWER TRUST COMPANY, LLC · EIN 06-1050034 / PN 074 | Pooled Separate Account | — | — | $3.5M | 0.6% | |
| Vanguard Target Retrmnt 2065 Inv Mutual Fund | — | — | — | $3.1M | 0.5% | |
| Various maturity dates through 2030; interest * Participant Loans rates ranging from 4.25% to 9.50% | — | — | — | $2.8M | 0.5% | |
| CREF Bond Market R2 *** Mutual Fund | — | — | — | $2.2M | 0.3% | |
| CAPITAL GROWTH ACCOUNT EMPOWER TRUST COMPANY, LLC · EIN 06-1050034 / PN 005 | Pooled Separate Account | — | — | $2.0M | 0.3% | |
| TIAA REAL ESTATE TIAA-CREF · EIN 13-1624203 / PN 004 | Pooled Separate Account | — | — | $1.6M | 0.3% | |
| EQUITY ACCOUNT EMPOWER TRUST COMPANY, LLC · EIN 06-1050034 / PN 072 | Pooled Separate Account | — | — | $1.4M | 0.2% | |
| CREF Inflation-Linked Bond R2 *** Mutual Fund | — | — | — | $1.0M | 0.2% | |
| CREF Money Market R2 Money Market | — | — | — | $848K | 0.1% | |
| FLEXIBLE MANAGED ACCOUNT EMPOWER TRUST COMPANY, LLC · EIN 06-1050034 / PN 089 | Pooled Separate Account | — | — | $494K | <0.1% | |
| GLOBAL ACCOUNT EMPOWER TRUST COMPANY, LLC · EIN 06-1050034 / PN 063 | Pooled Separate Account | — | — | $422K | <0.1% | |
| CONSERVATIVE BALANCED ACCOUNT EMPOWER TRUST COMPANY, LLC · EIN 06-1050034 / PN 088 | Pooled Separate Account | — | — | $250K | <0.1% | |
| DIVERSIFIED BOND ACCOUNT EMPOWER TRUST COMPANY, LLC · EIN 06-1050034 / PN 094 | Pooled Separate Account | — | — | $118K | <0.1% | |
| Empower Guaranteed Income Fund Insurance company general account | — | — | — | $115K | <0.1% | |
| Transamerica Financial Life Ins. Co. Insurance company general account | — | — | — | $102K | <0.1% | |
| GOVERNMENT INCOME ACCOUNT EMPOWER TRUST COMPANY, LLC · EIN 06-1050034 / PN 003 | Pooled Separate Account | — | — | $83K | <0.1% | |
| TIAA Plan Loan Default Fund Guaranteed annuity contracts | — | — | — | $47K | <0.1% | |
| MONEY MARKET ACCOUNT EMPOWER TRUST COMPANY, LLC · EIN 06-1050034 / PN 085 | Pooled Separate Account | — | — | $24K | <0.1% |