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Original filing (PDF)20251015171707NAL0010807442001
GEN II MANAGEMENT, LLC
Form 5500
FILING_RECEIVED
GEN II MANAGEMENT, LLC 401(K) PLAN
401(k) retirement plan
Active participants
1,062
Accounts w/ balance
1,080
Plan assets (EOY)
$61.3M
Net assets (EOY)
$61.3M
How this plan invests
This plan
42 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
100
Concentration risk
100
Total plan cost
65
Vendor stack
100
Participation health
100
Knocking points off
- 26 bps in Schedule C fees — 65% above peer band of 16 bps.
Decision-maker contacts
CFO / Head of HR / Benefits Manager — verified email + LinkedIn for GEN II MANAGEMENT, LLC.
Plan sponsor
Name
GEN II MANAGEMENT, LLC
EIN
27-0743067
Address
1675 BROADWAY 4TH FLOOR · NEW YORK, NY · 10019
Phone
(212) 408-4550
Industry
Professional & Technical Servicessee 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
2E · Profit-sharing
2F · ERISA section 404(c)
2G · Total participant-directed accounts
2J · 401(k) feature
2K · 401(m) arrangement
2T · Default investment account (QDIA)
3D · Pre-approved plan (master / prototype / VS)
3H · Sponsor in controlled / affiliated group
Audit & trust (Schedule H)
Auditor
BDO USA, P.C.
Trustee / custodian
—
Trustee phone
—
Service providers (Schedule C)
3 rowsRecordkeeper
1| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| EMPOWER LIFE & ANNUITY INSURANCE CO | — | GREENWOOD VILLAGE, CO | RECORDKEEPER | $73K | — |
Advisor / Consultant
1| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| ALPHA CAPITAL MANAGEMENT GROUP LLC | — | CENTENNIAL, CO | INVESTMENT ADVISOR | $77K | — |
Other
1| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| EMPOWER ADVISORY GROUP, LLC | — | GREENWOOD VILLAGE, CO | INVESTMENT MGMT | $11K | — |
Investments
42 direct securities· $60.2M(98% of reported assets)
Uncategorized
$59.9M
41 holdings
Mutual Funds
$285K
1 holding
| PI | Investment | Type | Shares / units | Cost | Current value | % of plan |
|---|---|---|---|---|---|---|
| Vanguard TARGET RETIREMENT 2050 INV | — | — | — | $7.1M | 11.5% | |
| Vanguard TARGET RETIREMENT 2055 INV | — | — | — | $6.2M | 10.1% | |
| Vanguard 500 INDEX ADMIRAL | — | — | — | $5.8M | 9.5% | |
| Vanguard TARGET RETIREMENT 2040 INV | — | — | — | $5.7M | 9.2% | |
| Vanguard TARGET RETIREMENT 2045 INV | — | — | — | $4.8M | 7.8% | |
| Vanguard TARGET RETIREMENT 2060 INV | — | — | — | $4.0M | 6.6% | |
| Vanguard TARGET RETIREMENT 2035 INV | — | — | — | $4.0M | 6.5% | |
| Vanguard GROWTH INDEX ADM | — | — | — | $2.3M | 3.7% | |
| JPMorgan LARGE CAP GROWTH R6 | — | — | — | $1.9M | 3.1% | |
| Vanguard TOTAL INTL STOCK INDEX ADMIRAL | — | — | — | $1.7M | 2.8% | |
| Vanguard TARGET RETIREMENT 2065 INV | — | — | — | $1.6M | 2.6% | |
| Vanguard GROWTH & INCOME ADM | — | — | — | $1.2M | 2.0% | |
| Fixed Annuity Contract * Empower Investments FIXED ACCOUNT - SERIES CLASS I | — | — | — | $1.2M | 1.9% | |
| Vanguard TARGET RETIREMENT 2030 INV | — | — | — | $1.2M | 1.9% | |
| Vanguard SMALL CAP INDEX ADM | — | — | — | $994K | 1.6% | |
| Hartford INTERNATIONAL OPPORTUNITIES R6 | — | — | — | $902K | 1.5% | |
| Vanguard HIGH DIVIDEND YIELD INDEX ADM | — | — | — | $840K | 1.4% | |
| JPMorgan MID CAP GROWTH R6 | — | — | — | $837K | 1.4% | |
| Pioneer GLOBAL SUSTAINABLE EQUITY K | — | — | — | $788K | 1.3% | |
| Vanguard SHORT-TERM INVESTMENT-GRADE ADM | — | — | — | $695K | 1.1% | |
| Vanguard TOTAL BOND MARKET INDEX ADMIRAL | — | — | — | $684K | 1.1% | |
| JHancock DISCIPLINED VALUE | — | — | — | $613K | 1.0% | |
| Vanguard MID CAP INDEX FUND - ADMIRAL | — | — | — | $577K | 0.9% | |
| Hartford INVESCO MAIN STREET SMALL CAP | — | — | — | $535K | 0.9% | |
| Vanguard TARGET RETIREMENT 2025 INV | — | — | — | $503K | 0.8% | |
| Invesco SMALL CAP VALUE R6 | — | — | — | $493K | 0.8% | |
| Cohen & Steers REALTY SHARES Z | — | — | — | $425K | 0.7% | |
| Federated Hermes MID-CAP INDEX SS | — | — | — | $412K | 0.7% | |
| Blackrock CORE BOND K | — | — | — | $408K | 0.7% | |
| Putnam SMALL CAP GROWTH R6 | — | — | — | $334K | 0.5% | |
| Aristotle STRATEGIC INCOME I | Mutual Funds | — | — | $285K | 0.5% | |
| Invesco VALUE OPPORTUNITIES | — | — | — | $228K | 0.4% | |
| Vanguard TARGET RETIREMENT 2020 INV | — | — | — | $228K | 0.4% | |
| Vanguard HIGH YIELD CORPORATE FUND | — | — | — | $213K | 0.3% | |
| Hartford CORE EQUITY R6 | — | — | — | $105K | 0.2% | |
| JHancock DISCIPLINED VALUE INTL R6 | — | — | — | $92K | 0.2% | |
| Federated Hermes INSTL HIGH YIELD BD R6 | — | — | — | $88K | 0.1% | |
| Vanguard TARGET RETIREMENT INCOME INV | — | — | — | $85K | 0.1% | |
| Nuveen SMALL CAP GROWTH OPP I | — | — | — | $74K | 0.1% | |
| Nuveen REAL ESTATE SECURITIES I | — | — | — | $70K | 0.1% | |
| Nuveen SMALL CAP VALUE I | — | — | — | $54K | <0.1% | |
| DODGE & COX DODGE & COX INCOME- I | — | — | — | $1K | <0.1% |
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