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Original filing (PDF)20251015174632NAL0010586498001
SMITH MICRO SOFTWARE, INC.
Form 5500
FILING_RECEIVED
SMITH MICRO SOFTWARE, INC. 401(K) PROFIT SHARING PLAN
401(k) retirement plan
Active participants
91
Accounts w/ balance
282
Plan assets (EOY)
$33.8M
Net assets (EOY)
$33.8M
How this plan invests
This plan
56 securities
funds · stocks · CUSIPs
Holdings are itemized directly on this plan's Schedule of Assets, below.
Plan health score (directional)
100
/ 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
100
Vendor stack
100
Participation health
100
Decision-maker contacts
CFO / Head of HR / Benefits Manager — verified email + LinkedIn for SMITH MICRO SOFTWARE, INC..
Plan sponsor
Name
SMITH MICRO SOFTWARE, INC.
EIN
33-0029027
Address
5800 CORPORATE DRIVE, 5TH FLOOR · PITTSBURGH, PA · 15237
Phone
(412) 837-5300
Industry
Custom Computer Programming· 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
3D · Pre-approved plan (master / prototype / VS)
3F · Sponsor used leased employees
Audit & trust (Schedule H)
Auditor
BAKER TILLY US, LLP
Trustee / custodian
—
Trustee phone
—
Service providers (Schedule C)
3 rowsRecordkeeper
1| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| VOYA RETIREMENT INSURANCE & ANNUITY | 71-0294708 | — | RECORD KEEPER | $73K | — |
Broker
1| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| MORGAN STANLEY SMITH BARNEY LLC | — | NEW YORK, NY | BROKER/DEALER | $0 | — |
Other
1| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| CETERA INVESTMENT ADVISERS LLC | 36-3258176 | — | SERVICE PROVIDER | $0 | — |
Investments
39 direct securities· $37.4M(100% of reported assets)
Uncategorized
$31.2M
38 holdings
Mutual Funds
$6.1M
1 holding
| PI | Investment | Type | Shares / units | Cost | Current value | % of plan |
|---|---|---|---|---|---|---|
| Franklin Templeton Inv Franklin DynaTech Fund Class R6 N/R | Mutual Funds | — | — | $6.1M | 18.2% | |
| Vanguard Large Cap Index Fund Admiral Shares N/R | — | — | — | $3.7M | 10.8% | |
| Fully Benefit-Responsive Investment Contracts * Voya Fixed Account N/R | — | — | — | $3.0M | 8.9% | |
| Fidelity New Millenium Fund N/R | — | — | — | $2.3M | 6.7% | |
| Vanguard Mid-Cap Index Fund Admiral Shares N/R | — | — | — | $1.8M | 5.4% | |
| TRwPr Retirement 2045 Fund I Registered Investment Company | — | — | — | $1.5M | 4.6% | |
| T. Rowe Price T. Rowe Price Retirement I 2035 Fund I Class N/R | — | — | — | $1.5M | 4.5% | |
| Voya Fixed Account A N/R | — | — | — | $1.4M | 4.0% | |
| Vanguard Small-Cap Index Fund Admiral Shares N/R | — | — | — | $1.4M | 4.0% | |
| American Funds American Funds EuroPacific Growth Fund Cl R-6 N/R | — | — | — | $1.0M | 3.1% | |
| party date,rate of interest, collateral, par, or maturity date American Funds Con G&I Pt R6 Registered Investment Company | — | — | — | $1.0M | 3.1% | |
| T. Rowe Price T. Rowe Price Retirement I 2055 Fund I Class N/R | — | — | — | $995K | 2.9% | |
| Baron Growth Fund R6 Registered Investment Company | — | — | — | $860K | 2.5% | |
| T. Rowe Price T. Rowe Price Retirement I 2050 Fund I Calss N/R | — | — | — | $852K | 2.5% | |
| T. Rowe Price T. Rowe Price Retirement I 2040 Fund I Class N/R | — | — | — | $807K | 2.4% | |
| American Funds EuroPacific R6 Registered Investment Company | — | — | — | $799K | 2.4% | |
| American Century Inv American Century Equity Income Fund R6 Class N/R | — | — | — | $799K | 2.4% | |
| T. Rowe Price T. Rowe Price Retirement I 2025 Fund I Class N/R | — | — | — | $748K | 2.2% | |
| American Funds American Funds New Perspective Fund Cl R-6 N/R | — | — | — | $718K | 2.1% | |
| American Funds Nw Prspctv R6 Registered Investment Company | — | — | — | $718K | 2.1% | |
| Vangrd FTSE Social Ind Fd Adm Registered Investment Company | — | — | — | $638K | 1.9% | |
| TRwPr Retirement 2020 Fund I Registered Investment Company | — | — | — | $628K | 1.9% | |
| MassMutual High Yield I N/R | — | — | — | $515K | 1.5% | |
| MssMtl High Yld Fd I Registered Investment Company | — | — | — | $515K | 1.5% | |
| T. Rowe Price T. Rowe Price Retirement I 2030 Fund I Class N/R | — | — | — | $479K | 1.4% | |
| TRwPr Retirement 2060 Fund I Registered Investment Company | — | — | — | $476K | 1.4% | |
| Goldman Sachs Goldman Sachs Infl Protected Secs R6 N/R | — | — | — | $446K | 1.3% | |
| Amundi US Pioneer Strategic Income Fund Class K N/R | — | — | — | $315K | 0.9% | |
| Fid Sust Bd Idx Fund Ins Cl Registered Investment Company | — | — | — | $223K | 0.7% | |
| Fidelity Investments Fidelity Sustainable Multi-Asset Retail N/R | — | — | — | $223K | 0.7% | |
| Inv Dev Mrkts Fd R6 Registered Investment Company | — | — | — | $200K | 0.6% | |
| Invesco International Bond R6 N/R | — | — | — | $200K | 0.6% | |
| contracts Participant Loans * Participant Loans Interest rate: 4.25%-10% | — | — | — | $98K | 0.3% | |
| T. Rowe Price T. Rowe Price Retirement I 2065 Fund I Class N/R | — | — | — | $88K | 0.3% | |
| TRwPr Retirement 2015 Fund I Registered Investment Company | — | — | — | $76K | 0.2% | |
| Inv Intl Bond Fd R6 Registered Investment Company | — | — | — | $63K | 0.2% | |
| Invesco International Bond R6 N/R | — | — | — | $63K | 0.2% | |
| Voya Gv Mny Mkt F A (Hld Acct) Registered Investment Company | — | — | — | $25K | <0.1% | |
| Voya Government Money Market Fund N/R | — | — | — | $25K | <0.1% |