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Original filing (PDF)20250904140555NAL0016353313001
RICK CASE ENTERPRISES, INC.
Form 5500
FILING_RECEIVED
RICK CASE ENTERPRISES, INC. 401(K) PLAN
401(k) retirement plan
Signals · 1
No recordkeeper disclosed
Active participants
1,251
Accounts w/ balance
1,380
Plan assets (EOY)
$35.2M
Net assets (EOY)
$35.2M
How this plan invests
This plan
13 pooled trusts
Schedule D
38 securities
funds · stocks · CUSIPs
Holdings are itemized directly on this plan's Schedule of Assets, below.
Plan health score (directional)
93
/ 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
80
Participation health
100
Knocking points off
- 35 bps in Schedule C fees — modestly above peer band of 29 bps.
- No recordkeeper disclosed on Schedule C.
Decision-maker contacts
CFO / Head of HR / Benefits Manager — verified email + LinkedIn for RICK CASE ENTERPRISES, INC..
Plan sponsor
Name
RICK CASE ENTERPRISES, INC.
EIN
31-1172396
Address
14500 WEST SUNRISE BLVD · SUNRISE, FL · 333233212
Phone
(954) 622-1745
Industry
Retail Tradesee 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
2025-09-04
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)
Audit & trust (Schedule H)
Auditor
HENDERSON, HUTCHERSON, & MCCULLOUGH
Trustee / custodian
—
Trustee phone
—
Service providers (Schedule C)
3 rowsAdvisor / Consultant
1| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| UBS FINANCIAL SERVICES INC | 13-2638166 | — | INVESTMENT ADVISORY | $0 | — |
TPA / Administrator
1| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| PRINCIPAL LIFE INSURANCE COMPANY | 42-0127290 | — | CONTRACT ADMINISTRATOR | $125K | — |
Other
1| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| MORNINGSTAR INVESTMENT MANAGEMENT L | 36-4317381 | — | INV ADV, PARTICIPANTS | $0 | — |
Investments
27 direct securities · 13 pooled funds· $37.9M(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
$32.9M
27 holdings
Pooled Separate Account
$4.9M
13 holdings
| PI | Investment | Type | Shares / units | Cost | Current value | % of plan |
|---|---|---|---|---|---|---|
| Principal Life Insurance Company Guaranteed Option | — | — | — | $8.1M | 22.9% | |
| Fidelity Investments International Index Fund | — | — | — | $4.2M | 11.9% | |
| Vanguard Group Growth Fund | — | — | — | $3.6M | 10.3% | |
| Principal Life Insurance Company Core Fixed Income Fund | — | — | — | $3.2M | 9.0% | |
| PRIN CORE FIX INC SEP ACCT-Z PRINCIPAL LIFE INSURANCE COMPANY · EIN 42-0127290 / PN 118 | Pooled Separate Account | — | — | $3.2M | 9.0% | |
| Fidelity Investments US Bond Index Fund | — | — | — | $3.1M | 8.7% | |
| Vanguard Group Value Index Fund | — | — | — | $3.0M | 8.6% | |
| Fidelity Investments 500 Index Fund | — | — | — | $2.4M | 6.8% | |
| PRIN BLUE CHIP SA-Z PRINCIPAL LIFE INSURANCE COMPANY · EIN 42-0127290 / PN 133 | Pooled Separate Account | — | — | $1.5M | 4.3% | |
| Vanguard Group Small-Cap Value Index Fund | — | — | — | $895K | 2.5% | |
| Vanguard Group Mid-Cap Value Index Fund | — | — | — | $887K | 2.5% | |
| Fidelity Investments Mid-Cap Index Fund | — | — | — | $785K | 2.2% | |
| Fidelity Investments Small-Cap Index Fund | — | — | — | $747K | 2.1% | |
| BlackRock Mid-Cap Growth Equity Fund | — | — | — | $564K | 1.6% | |
| Lord Abbett Developing Growth Fund | — | — | — | $517K | 1.5% | |
| JP Morgan Funds US Equity Fund | — | — | — | $346K | 1.0% | |
| American Funds New Perspective Fund | — | — | — | $124K | 0.4% | |
| PRIN LIFETIME 2030 SEP ACCT-Z PRINCIPAL LIFE INSURANCE COMPANY · EIN 42-0127290 / PN 077 | Pooled Separate Account | — | — | $101K | 0.3% | |
| American Funds New World Fund | — | — | — | $81K | 0.2% | |
| JP Morgan Funds Government Bond Fund | — | — | — | $80K | 0.2% | |
| Fidelity Investments High Income Advantage Fund | — | — | — | $75K | 0.2% | |
| Vanguard Group Balanced Index Fund | — | — | — | $71K | 0.2% | |
| PRIN LIFETIME 2065 SEP ACCT-Z PRINCIPAL LIFE INSURANCE COMPANY · EIN 42-0127290 / PN 173 | Pooled Separate Account | — | — | $70K | 0.2% | |
| (E) | — | — | $80K | $58K | 0.2% | |
| MFS International Diversification R6 Fund | — | — | — | $58K | 0.2% | |
| PRIN LIFETIME 2035 SEP ACT-Z PRINCIPAL LIFE INSURANCE COMPANY · EIN 42-0127290 / PN 112 | Pooled Separate Account | — | — | $34K | <0.1% | |
| PRIN LIFETIME 2040 SEP ACCT-Z PRINCIPAL LIFE INSURANCE COMPANY · EIN 42-0127290 / PN 078 | Pooled Separate Account | — | — | $31K | <0.1% | |
| PGIM Investments Global Total Return Fund | — | — | — | $30K | <0.1% | |
| Vanguard Group RE Index Fund | — | — | — | $26K | <0.1% | |
| BlackRock Global Allocation Fund | — | — | — | $24K | <0.1% | |
| Vanguard Group Inflation-Protected Securities Fund | — | — | — | $20K | <0.1% | |
| PRIN LIFETIME 2055 SEP ACCT-Z PRINCIPAL LIFE INSURANCE COMPANY · EIN 42-0127290 / PN 114 | Pooled Separate Account | — | — | $19K | <0.1% | |
| Vanguard Group International Growth Fund | — | — | — | $11K | <0.1% | |
| Principal Life Insurance Company Lifetime 2070 | — | — | — | $10K | <0.1% | |
| PRIN LIFETM 2070 SEP ACCT-Z PRINCIPAL LIFE INSURANCE COMPANY · EIN 42-0127290 / PN 179 | Pooled Separate Account | — | — | $10K | <0.1% | |
| PRIN LIFETIME 2045 SEP ACCT-Z PRINCIPAL LIFE INSURANCE COMPANY · EIN 42-0127290 / PN 113 | Pooled Separate Account | — | — | $7K | <0.1% | |
| PRIN EQUITY INCOME SA-Z PRINCIPAL LIFE INSURANCE COMPANY · EIN 42-0127290 / PN 120 | Pooled Separate Account | — | — | $6K | <0.1% | |
| PRIN LIFETIME STRAT INC SA-Z PRINCIPAL LIFE INSURANCE COMPANY · EIN 42-0127290 / PN 080 | Pooled Separate Account | — | — | $6K | <0.1% | |
| PRIN LIFETIME 2015 SEP ACCT-Z PRINCIPAL LIFE INSURANCE COMPANY · EIN 42-0127290 / PN 110 | Pooled Separate Account | — | — | $6K | <0.1% | |
| PRIN LIFETIME 2060 SEP ACCT-Z PRINCIPAL LIFE INSURANCE COMPANY · EIN 42-0127290 / PN 130 | Pooled Separate Account | — | — | $4K | <0.1% |