Back to filter
Original filing (PDF)20251015170514NAL0010461298001
ALPINE MANAGEMENT SERVICES III LLC
Form 5500
FILING_RECEIVED
AMS III 401(K) PLAN
Defined-contribution retirement plan
Signals · 2
1 failed disclosure100% in single holding
Active participants
184
Accounts w/ balance
139
Plan assets (EOY)
$22.2M
Net assets (EOY)
$22.2M
How this plan invests
This plan
4 securities
funds · stocks · CUSIPs
Holdings are itemized directly on this plan's Schedule of Assets, below.
Plan health score (directional)
91
/ 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
85
Concentration risk
75
Total plan cost
100
Vendor stack
100
Participation health
100
Knocking points off
- 1 Schedule C provider failed to disclose compensation.
- Top holding "Fidelity Conversion Account Interest-bearing cash" is 100% of plan.
Decision-maker contacts
CFO / Head of HR / Benefits Manager — verified email + LinkedIn for ALPINE MANAGEMENT SERVICES III LLC.
Plan sponsor
Name
ALPINE MANAGEMENT SERVICES III LLC
EIN
27-0368581
Address
1 CALIFORNIA STREET · SUITE 2900 · SAN FRANCISCO, CA · 941114016
Phone
(415) 189-1308
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
2025-10-15
Pension benefit codes
2F · ERISA section 404(c)
2G · Total participant-directed accounts
2R · Participant-directed brokerage (SDBA)
2S · Automatic enrollment
2T · Default investment account (QDIA)
2E · Profit-sharing
3D · Pre-approved plan (master / prototype / VS)
Audit & trust (Schedule H)
Auditor
YULISHANA INC
Trustee / custodian
—
Trustee phone
—
Service providers (Schedule C)
2 rowsRecordkeeper
1| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| PAYCHEX, INC. | 16-1124166 | ROCHESTER, NY | RECORDKEEPER | $16K | — |
Advisor / Consultant
1| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| KESTRA ADVISORY SERVICES | 74-2794194 | AUSTIN, TX | ADVISOR | $36K | — |
Failed / refused disclosures (Sched C Part 2)
| Provider | Nondisclosure info |
|---|---|
| — | — |
Investments
4 direct securities· $21.0M(94% of reported assets)
| PI | Investment | Type | Shares / units | Cost | Current value | % of plan |
|---|---|---|---|---|---|---|
| Fidelity Conversion Account Interest-bearing cash | — | — | — | $20.9M | 94.1% | |
| Vanguard Short-Term Bond Index Fund Mutual fund ** 41 * Notes Receivable from Participants (participant loans) Interest rates 4.25% to 9.50% -0- | — | — | — | $37K | 0.2% | |
| Fidelity Freedom 2065 Fund Mutual fund | — | — | — | $13K | <0.1% | |
| John Hancock Income Fund Mutual fund ** 106 Vanguard Federal Money Market Fund Mutual fund | — | — | — | $4K | <0.1% |
Related plans
Other plans using KESTRA ADVISORY SERVICES
UNITED AIRLINES, INC.
UNITED AIRLINES PILOT RETIREMENT ACCOUNT PLAN
$16.8B · 17,444 participants
PAYCHEX RETIREMENT LLC
PAYCHEX POOLED EMPLOYER 401(K) PLAN
$1.8B · 621,703 participants
D.R. HORTON, INC.
D.R. HORTON, INC. PROFIT SHARING PLUS PLAN
$1.4B · 14,645 participants
84 LUMBER COMPANY, L.P.
AMENDED AND RESTATED SAVINGS FUND PLAN FOR EMPLOYEES OF 84 LUMBER COMPANY
$779.5M · 9,227 participants
KOHLBERG KRAVIS ROBERTS & CO. L.P.
KOHLBERG KRAVIS ROBERTS AND CO. 401(K) PROFIT SHARING PLAN
$666.2M · 1,627 participants
PRINCIPAL LIFE INSURANCE COMPANY
PRINCIPAL EASE 401(K) PLAN
$650.9M · 161,040 participants
Similar-size Management of Companies / Holdings plans
SITEWORKS HOLDING CO., INC.
SITEWORKS HOLDING CO., INC. EMPLOYEE STOCK OWNERSHIP PLAN
$22.3M · 120 participants
FRAZIER, INC.
CONKLIN CARS SALARY REDUCTION PLAN
$22.1M · 172 participants
SOUTH JERSEY INDUSTRIES, INC.
SOUTH JERSEY INDUSTRIES, INC. POST-RETIREMENT PLAN FOR ELIZABETHTOWN AND ELKTON GAS EMPLOYEES
$22.3M · 220 participants
MNO-BMADSEN
MB 401(K) PLAN
$22.4M · 306 participants
INNOMOTICS LLC
INNOMOTICS PENSION PLAN
$22.0M · 166 participants
CYMI HOLDINGS LLC
CYMI HOLDINGS 401(K) SAVINGS PLAN
$22.5M · 24 participants
Large plans in California
BLACKROCK INSTITUTIONAL TRUST COMPANY, N.A.
EQUITY INDEX FUND
$215.1B
BLACKROCK INSTITUTIONAL TRUST COMPANY, N.A.
EQUITY INDEX FUND E
$190.9B
BLACKROCK INSTITUTIONAL TRUST COMPANY, N.A.
EQUITY INDEX FUND F
$188.1B
BLACKROCK INSTITUTIONAL TRUST COMPANY, N.A.
RUSSELL 1000 INDEX FUND
$187.7B
BLACKROCK INSTITUTIONAL TRUST COMPANY, N.A.
CASH EQUIVALENT FUND II
$125.0B
BLACKROCK INSTITUTIONAL TRUST COMPANY, N.A.
BLACKROCK MSCI ACWI EX-US IMI INDEX FUND E
$88.3B