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Original filing (PDF)20251013120050NAL0000567091001
EASTER SEALS TRISTATE LLC
Form 5500
FILING_RECEIVED
EASTER SEALS TRISTATE LLC 401(K) RETIREMENT PLAN
401(k) retirement plan
Signals · 2
30% in single holding~112 bps in Sched C fees
Active participants
625
Accounts w/ balance
403
Plan assets (EOY)
$11.2M
Net assets (EOY)
$11.2M
How this plan invests
This plan
1 pooled trust
Schedule D
18 securities
funds · stocks · CUSIPs
Holdings are itemized directly on this plan's Schedule of Assets, below.
Plan health score (directional)
85
/ 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
85
Total plan cost
65
Vendor stack
100
Participation health
80
Knocking points off
- Top holding "DFA Global Allocation 60/40 Port Fund Mutual Fund" is 30% of plan.
- 112 bps in Schedule C fees — 287% above peer band of 29 bps.
- 64% balance-to-active ratio — below typical for a healthy 401(k).
Decision-maker contacts
CFO / Head of HR / Benefits Manager — verified email + LinkedIn for EASTER SEALS TRISTATE LLC.
Plan sponsor
Name
EASTER SEALS TRISTATE LLC
EIN
31-0873433
Address
2901 GILBERT AVENUE · CINCINNATI, OH · 45206
Phone
(513) 281-2316
Industry
Health Care & Social Assistancesee 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
2025-10-13
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)
Audit & trust (Schedule H)
Auditor
BLUE & CO., LLC
Trustee / custodian
—
Trustee phone
—
Service providers (Schedule C)
4 rowsRecordkeeper
1| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| EMPOWER ANNUITY INSURANCE COMPANY | — | GREENWOOD VILLAGE, CO | RECORDKEEPER | $75K | — |
Advisor / Consultant
1| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| TRUEPOINT INC | — | CINCINNATI, OH | INVESTMENT ADVISOR | $45K | — |
TPA / Administrator
1| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| SCHNEIDER MALE & STRAKOWSKI | — | MIAMITOWN, OH | CONTRACT ADMIN | $5K | — |
Other
1| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| EMPOWER ADVISORY GROUP, LLC | — | GREENWOOD VILLAGE, CO | INVESTMENT MGMT | $2K | — |
Investments
18 direct securities · 1 pooled fund· $11.2M(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
$11.2M
18 holdings
Common Collective Trust
$0
1 holding
| PI | Investment | Type | Shares / units | Cost | Current value | % of plan |
|---|---|---|---|---|---|---|
| DFA Global Allocation 60/40 Port Fund Mutual Fund | — | — | — | $3.4M | 30.5% | |
| Ishares S&P 500 Index Fund Mutual Fund | — | — | — | $1.8M | 16.2% | |
| Fidelity Large Cap Growth Index Fund Mutual Fund | — | — | — | $1.2M | 10.6% | |
| Federated Hermes Govt Obl Advisor Mutual Fund | — | — | — | $675K | 6.0% | |
| Ishares MSCI EAFE International Index Fund Mutual Fund | — | — | — | $654K | 5.8% | |
| Blackrock 80/20 Target Allocation K Fund Mutual Fund | — | — | — | $591K | 5.3% | |
| DFA Investment Grade I Fund Mutual Fund | — | — | — | $535K | 4.8% | |
| Avantis US Small Cap Value Fund Mutual Fund | — | — | — | $491K | 4.4% | |
| Fidelity Mid Cap Growth Index Fund Mutual Fund | — | — | — | $443K | 3.9% | |
| DFA US Large Cap Value I Fund Mutual Fund | — | — | — | $396K | 3.5% | |
| Blackrock 40/60 Target Allocation K Fund Mutual Fund | — | — | — | $357K | 3.2% | |
| various maturities through * Participant Loans December 2029). | — | — | — | $176K | 1.6% | |
| DFA Global Equity I Fund Mutual Fund | — | — | — | $128K | 1.1% | |
| Fidelity Short Term Bond IDX Fund Mutual Fund | — | — | — | $115K | 1.0% | |
| DFA Emerging Markets Core Equity Fund Mutual Fund | — | — | — | $77K | 0.7% | |
| Fidelity Mid Cap Index Fund Mutual Fund | — | — | — | $69K | 0.6% | |
| Fidelity Small Cap Index Fund Mutual Fund | — | — | — | $62K | 0.6% | |
| DFA International Vector Equity Fund Mutual Fund | — | — | — | $33K | 0.3% | |
| GOLDMAN SACHS STABLE VALUE INV CL 1 GOLDMAN SACHS CT OR SVF · EIN 13-4166989 / PN 025 | Common Collective Trust | — | — | $0 | <0.1% |
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