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Original filing (PDF)20250925103308NAL0009069264001
LEGACY PROFESSIONALS LLP
Form 5500
FILING_RECEIVED
LEGACY PROFESSIONALS LLP 401(K) PLAN
401(k) retirement plan
Signals · 1
1 failed disclosure
Active participants
174
Accounts w/ balance
219
Plan assets (EOY)
$52.9M
Net assets (EOY)
$52.9M
How this plan invests
This plan
1 pooled trust
Schedule D
31 securities
funds · stocks · CUSIPs
Holdings are itemized directly on this plan's Schedule of Assets, below.
Plan health score (directional)
96
/ 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
100
Total plan cost
100
Vendor stack
100
Participation health
100
Knocking points off
- 1 Schedule C provider failed to disclose compensation.
Helping the score
- Below-peer total fees (11 bps vs 16 bps peer median).
Decision-maker contacts
CFO / Head of HR / Benefits Manager — verified email + LinkedIn for LEGACY PROFESSIONALS LLP.
Plan sponsor
Name
LEGACY PROFESSIONALS LLP
EIN
32-0043599
Address
4 WESTBROOK CORPORATE CENTER · SUITE 700 · WESTCHESTER, IL · 60154
Phone
(312) 368-0500
Industry
CPA Offices· 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
2025-09-25
Pension benefit codes
2G · Total participant-directed accounts
2J · 401(k) feature
2K · 401(m) arrangement
2T · Default investment account (QDIA)
3B · Covers self-employed individuals
2F · ERISA section 404(c)
3D · Pre-approved plan (master / prototype / VS)
Audit & trust (Schedule H)
Auditor
L. M. HENDERSON & COMPANY LLP
Trustee / custodian
—
Trustee phone
—
Service providers (Schedule C)
3 rowsRecordkeeper
1| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| FIDELITY INVESTMENTS INSTITUTIONAL | 04-2647786 | — | RECORDKEEPER | $34K | — |
Advisor / Consultant
2| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| OSAIC WEALTH INC | 93-0987232 | — | ADVISOR | $11K | — |
| CLOSED DLR-WOODBURY FINANCIAL | 41-0944586 | — | ADVISOR | $11K | — |
Failed / refused disclosures (Sched C Part 2)
| Provider | Nondisclosure info |
|---|---|
| — | — |
Investments
31 direct securities · 1 pooled fund· $52.4M(99% 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
$51.7M
30 holdings
Mutual Funds
$507K
1 holding
Common Collective Trust
$182K
1 holding
| PI | Investment | Type | Shares / units | Cost | Current value | % of plan |
|---|---|---|---|---|---|---|
| The Vanguard Group, Inc. Vanguard 500 Index Fund | — | — | — | $11.4M | 21.6% | |
| Fidelity Investments Fidelity Contrafund Fund | — | — | — | $7.8M | 14.8% | |
| The Vanguard Group, Inc. Vanguard Target Retirement 2025 Fund | — | — | — | $3.6M | 6.8% | |
| J.P. Morgan Investment Management Inc. JPMorgan Large Cap Value Fund | — | — | — | $2.8M | 5.4% | |
| Money Market Fund The Vanguard Group, Inc. Vanguard Treasury Money Market Fund | — | — | — | $2.7M | 5.1% | |
| The Vanguard Group, Inc. Vanguard Mid-Cap Index Fund | — | — | — | $2.6M | 4.9% | |
| The Vanguard Group, Inc. Vanguard Target Retirement 2035 Fund | — | — | — | $2.1M | 3.9% | |
| Janus Henderson Janus Henderson Enterprise Fund | — | — | — | $1.9M | 3.6% | |
| The Vanguard Group, Inc. Vanguard International Growth Fund | — | — | — | $1.4M | 2.7% | |
| Fidelity Investments Fidelity Small Cap Growth Fund | — | — | — | $1.3M | 2.4% | |
| The Vanguard Group, Inc. Vanguard Target Retirement 2045 Fund | — | — | — | $1.2M | 2.3% | |
| The Vanguard Group, Inc. Vanguard Target Retirement 2055 Fund | — | — | — | $1.2M | 2.2% | |
| The Vanguard Group, Inc. Vanguard Target Retirement 2030 Fund | — | — | — | $1.1M | 2.2% | |
| Victory Capital Victory Core Plus Intermediate Bond Fund | — | — | — | $1.1M | 2.1% | |
| The Vanguard Group, Inc. Vanguard Target Retirement 2060 Fund | — | — | — | $1.1M | 2.1% | |
| PIMCO Income Fund | — | — | — | $1.0M | 2.0% | |
| Fidelity Investments Fidelity International Index Fund | — | — | — | $1.0M | 1.9% | |
| The Vanguard Group, Inc. Vanguard Total Bond Market Index Fund | — | — | — | $995K | 1.9% | |
| The Vanguard Group, Inc. Vanguard Small-Cap Index Fund | — | — | — | $960K | 1.8% | |
| The Vanguard Group, Inc. Vanguard Target Retirement 2020 Fund | — | — | — | $958K | 1.8% | |
| The Vanguard Group, Inc. Vanguard Target Retirement 2050 Fund | — | — | — | $864K | 1.6% | |
| The Vanguard Group, Inc. Vanguard Target Retirement 2040 Fund | — | — | — | $687K | 1.3% | |
| DoubleLine Funds Trust DoubleLine Low Duration Bond Fund | — | — | — | $546K | 1.0% | |
| Allspring Global Investments Allspring Special Mid Cap Value Fund | Mutual Funds | — | — | $507K | 1.0% | |
| Eaton Vance Mutual Funds Trust Eaton Vance Floating Rate Advantage Fund | — | — | — | $330K | 0.6% | |
| The Vanguard Group, Inc. Vanguard Target Retirement Income Fund | — | — | — | $237K | 0.4% | |
| Common Collective Trust Fund * Fidelity Investments Managed Income Portfolio Class 2 | — | — | — | $182K | 0.3% | |
| MIP CL 2 FIDELITY MANAGEMENT TRUST COMPANY · EIN 04-3022712 / PN 024 | Common Collective Trust | — | — | $182K | 0.3% | |
| participants n/a | — | — | — | $166K | 0.3% | |
| The Vanguard Group, Inc. Vanguard Target Retirement 2065 Fund | — | — | — | $140K | 0.3% | |
| Fidelity Investments Fidelity Inflation Protected Bond Index Fund | — | — | — | $105K | 0.2% | |
| Brandywine Global Investment Management, LLC Brandywine Global - Global Opportunities Bond Fund | — | — | — | $11K | <0.1% |
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