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Original filing (PDF)20251015193924NAL0011256962001
KOELLER NEBEKER CARLSON HALUCK
Form 5500
FILING_RECEIVED
KOELLER NEBEKER CARLSON & HALUCK, LLP 401(K) PLAN
401(k) retirement plan
Active participants
136
Accounts w/ balance
219
Plan assets (EOY)
$28.1M
Net assets (EOY)
$28.1M
How this plan invests
This plan
8 pooled trusts
Schedule D
26 securities
funds · stocks · CUSIPs
Holdings are itemized directly on this plan's Schedule of Assets, below.
Plan health score (directional)
95
/ 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
100
Participation health
100
Knocking points off
- 42 bps in Schedule C fees — modestly above peer band of 29 bps.
Decision-maker contacts
CFO / Head of HR / Benefits Manager — verified email + LinkedIn for KOELLER NEBEKER CARLSON HALUCK.
Plan sponsor
Name
KOELLER NEBEKER CARLSON HALUCK
EIN
33-0203014
Address
3 PARK PLAZA SUITE 1500 · IRVINE, CA · 926148558
Phone
(949) 864-3400
Industry
Law 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
2025-10-15
Pension benefit codes
2A · Age/service weighted or new comparability
2E · Profit-sharing
2F · ERISA section 404(c)
2G · Total participant-directed accounts
2J · 401(k) feature
2K · 401(m) arrangement
2R · Participant-directed brokerage (SDBA)
2S · Automatic enrollment
3B · Covers self-employed individuals
3D · Pre-approved plan (master / prototype / VS)
Audit & trust (Schedule H)
Auditor
ARMANINO LLP
Trustee / custodian
—
Trustee phone
—
Service providers (Schedule C)
3 rowsRecordkeeper
1| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| EMPOWER ANNUITY INSURANCE COMPANY O | — | GREENWOOD VILLAGE, CO | RECORDKEEPER | $45K | — |
Advisor / Consultant
1| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| ARCWOOD FINANCIAL LLC | — | PHOENIX, AZ | INVESTMENT ADVISOR | $71K | — |
Other
1| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| EMPOWER ADVISORY GROUP, LLC | — | GREENWOOD VILLAGE, CO | INVESTMENT MGMT | $1K | — |
Investments
19 direct securities · 8 pooled funds· $28.1M(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.
Common Collective Trust
$16.8M
5 holdings
Uncategorized
$9.3M
19 holdings
Pooled Separate Account
$2.0M
3 holdings
| PI | Investment | Type | Shares / units | Cost | Current value | % of plan |
|---|---|---|---|---|---|---|
| INDEXSELECT MODERATE 2035 FUND CL R GREAT GRAY · EIN 81-4457845 / PN 307 | Common Collective Trust | — | — | $6.0M | 21.3% | |
| INDEXSELECT MODERATE RETIRE FUND CL GREAT GRAY · EIN 81-4430771 / PN 305 | Common Collective Trust | — | — | $4.9M | 17.3% | |
| INDEXSELECT MODERATE 2045 FUND CL R GREAT GRAY · EIN 81-4470950 / PN 308 | Common Collective Trust | — | — | $4.3M | 15.4% | |
| SAGIC Diversified Bond II Group annuity contract | — | — | — | $2.4M | 8.4% | |
| Fidelity 500 Index Fund Mutual fund | — | — | — | $2.3M | 8.2% | |
| INDEXSELECT MODERATE 2055 FUND CL R GREAT GRAY · EIN 81-4484368 / PN 309 | Common Collective Trust | — | — | $1.6M | 5.6% | |
| PIMCO Income Fund Mutual fund | — | — | — | $1.2M | 4.2% | |
| COLUMBIA DIVIDEND VALUE (IS PLATFOR EMPOWER ANNUITY INSURANCE COMPANY · EIN 06-1050034 / PN 785 | Pooled Separate Account | — | — | $1.1M | 4.1% | |
| LARGE CAP GROWTH / JP MORGAN INVST EMPOWER ANNUITY INSURANCE COMPANY · EIN 06-1050034 / PN 141 | Pooled Separate Account | — | — | $776K | 2.8% | |
| DFA Large Cap International Fund Mutual fund | — | — | — | $775K | 2.8% | |
| Schwab SDB Self-directed brokerage accounts | — | — | — | $453K | 1.6% | |
| American Funds New World Fund Mutual fund | — | — | — | $401K | 1.4% | |
| Fidelity Small Cap Index Fund Mutual fund | — | — | — | $362K | 1.3% | |
| Fidelity Mid Cap Index Fund Mutual fund | — | — | — | $293K | 1.0% | |
| Janus Henderson Enterprise Fund Mutual fund | — | — | — | $258K | 0.9% | |
| Invesco Discovery Fund Mutual fund | — | — | — | $251K | 0.9% | |
| DFA Global Real Estate Secs Fund Mutual fund | — | — | — | $205K | 0.7% | |
| DFA US Targeted Value Fund Mutual fund | — | — | — | $177K | 0.6% | |
| Allspring Spec Mid Cp Val Fd Mutual fund | — | — | — | $155K | 0.6% | |
| CORE PLUS BOND / PGIM FUND EMPOWER ANNUITY INSURANCE COMPANY · EIN 06-1050034 / PN 299 | Pooled Separate Account | — | — | $121K | 0.4% | |
| With varying maturity dates through 2028 and interest rates * Notes receivable from participants ranging from 5.25% to 10.50% -- | — | — | — | $70K | 0.2% | |
| MassMutual US Government Money Market Fund Money market fund | — | — | — | $32K | 0.1% | |
| DFA Infl-Prot Secs Fund Mutual fund | — | — | — | $19K | <0.1% | |
| Parnassus Fixed Income Inst Mutual fund | — | — | — | $16K | <0.1% | |
| Parnassus Core Equity - Inst Mutual fund | — | — | — | $8K | <0.1% | |
| Vanguard Materials Index Fund Mutual fund | — | — | — | $6K | <0.1% | |
| INDEXSELECT MODERATE 2025 FUND CL R GREAT GRAY · EIN 81-4447624 / PN 306 | Common Collective Trust | — | — | $0 | <0.1% |