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Original filing (PDF)20230921095048NAL0002170419001
FLATONIA INVESTMENTS, LLC
Form 5500
FILING_RECEIVED
FLATONIA INVESTMENTS, LLC 401(K) PLAN
401(k) retirement plan
Active participants
585
Accounts w/ balance
977
Plan assets (EOY)
$51.6M
Net assets (EOY)
$51.6M
How this plan invests
This plan
2 collective trusts
Schedule D
Individual securities
on each trust's filing
This plan doesn't hold securities directly — it invests through trusts. Click a trust below to drill into its securities.
Plan health score (directional)
86
/ 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
75
Total plan cost
65
Vendor stack
100
Participation health
100
Knocking points off
- 25 bps in Schedule C fees — 56% above peer band of 16 bps.
Helping the score
- Concentration not scored — Schedule of Assets PDF not yet parsed for this plan.
Decision-maker contacts
CFO / Head of HR / Benefits Manager — verified email + LinkedIn for FLATONIA INVESTMENTS, LLC.
Plan sponsor
Name
FLATONIA INVESTMENTS, LLC
EIN
26-2522372
Address
10496 KATY FREEWAY, SUITE 250 · HOUSTON, TX · 77043
Phone
(713) 993-4413
Industry
Finance & Insurancesee all
Plan administrator
Same as plan sponsor.
Plan characteristics
Plan number
001
Plan year
2022
Plan year begin
2022-01-01
Tax period
2022-12-31
Filed
2023-09-21
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)
3H · Sponsor in controlled / affiliated group
Audit & trust (Schedule H)
Auditor
RICHEY MAY & CO
Trustee / custodian
—
Trustee phone
—
Service providers (Schedule C)
3 rowsRecordkeeper
2| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| ADP, INC. | 13-3036745 | — | RECORD KEEPER | $92K | — |
| ADP BROKER-DEALER | 22-3319984 | — | RECORD KEEPER | $0 | — |
Other
1| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| ALLIANT INSURANCE AGENCY INC | 33-0785439 | — | INVESTMENT/FINANCIAL ADVI | $37K | — |
Investments
2 pooled funds· $4.3M(8% 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.
| Investment | Type | Current value | % of plan |
|---|---|---|---|
| INVESCO STABLE ASSET - ADPZ INVESCO TRUST COMPANY · EIN 27-3884161 / PN 001 | Common Collective Trust | $3.1M | 6.0% |
| STATE ST CASH SERIES US GOVT L STATE STREET BANK & TRUST CO · EIN 90-0337987 / PN 000 | Common Collective Trust | $1.2M | 2.3% |