Original filing (PDF)20251015162306NAL0002624227001

AERIES SOFTWARE, INC.

Name: AERIES SOFTWARE, INC. — AERIES SOFTWARE, INC. 401(K) PROFIT SHARING PLAN, Form 5500 (2024)
Creator: AERIES SOFTWARE, INC.

Form 5500

FILING_RECEIVED

AERIES SOFTWARE, INC. 401(K) PROFIT SHARING PLAN

401(k) retirement plan

Signals · 1

9 service providers

Active participants

115

Accounts w/ balance

156

Plan assets (EOY)

$11.5M

Net assets (EOY)

$11.5M

How this plan invests

This plan

41 pooled trusts

Schedule D

23 securities

funds · stocks · CUSIPs

Holdings are itemized directly on this plan's Schedule of Assets, below.

Plan health score (directional)

/ 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

Vendor stack

100

Participation health

100

Knocking points off

45 bps in Schedule C fees — 57% above peer band of 29 bps.

Decision-maker contacts

CFO / Head of HR / Benefits Manager — verified email + LinkedIn for AERIES SOFTWARE, INC..

Plan sponsor

Name

AERIES SOFTWARE, INC.

EIN

33-0427993

Address

770 THE CITY DRIVE SOUTH · SUITE 6500 · ORANGE, CA · 92868

Phone

(888) 487-7555

Industry

Custom Computer Programming· Professional & Technical Servicessee 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

2025-10-15

Pension benefit codes

3D · Pre-approved plan (master / prototype / VS)

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)

Audit & trust (Schedule H)

Auditor

WALLACE PLESES & DREHER LLP

Trustee / custodian

—

Trustee phone

—

Service providers (Schedule C)

9 rows

Recordkeeper

Name	EIN	Location	Relation	Direct comp	Indirect comp
EMPOWER ANNUITY INSURANCE COMPANY O	04-3159710	—	RECORDKEEPER	$5K	—
TRANSAMERICA LIFE INSURANCE COMPANY	39-0989781	—	RECORDKEEPER	$4K	—
BENEFIT EQUITY INC.	33-0384246	—	RECORDKEEPER	$2K	—

Advisor / Consultant

Name	EIN	Location	Relation	Direct comp	Indirect comp
VALMARK ADVISERS, INC.	31-1509466	—	INVESTMENT ADVISORY - PLA	$22K	—
VALMARK ADVISERS INC	31-1509466	—	INVESTMENT ADVISOR	$9K	—
MESIROW FINANCIAL, INC.	36-3194849	—	INVESTMENT ADVISORY - PLA	$1K	—

TPA / Administrator

Name	EIN	Location	Relation	Direct comp	Indirect comp
CROSSPLANS	20-4536537	—	TPA	$8K	—
CROSSPLANS	20-4536537	—	TPA	$570	—

Other

Name	EIN	Location	Relation	Direct comp	Indirect comp
ADVISED ASSETS GROUP, LLC	—	—	INVESTMENT MGMT	$46	—

Investments

21 direct securities · 41 pooled funds· $11.1M(96% 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

$8.1M

20 holdings

Common Collective Trust

$2.9M

2 holdings

Mutual Funds

$20K

1 holding

Pooled Separate Account

39 holdings

Investment	Type	Shares / units	Cost	Current value	% of plan
BLACKROCK EQUITY INDEX FUND R GREAT GRAY TRUST · EIN 20-3802168 / PN 001	Common Collective Trust	—	—	$2.0M	17.8%
JP Morgan Large Cap Growth R6	—	—	—	$1.4M	12.1%
Fidelity Small Cap Index	—	—	—	$1.2M	10.1%
American Funds Washington Mutual R6	—	—	—	$1.1M	9.2%
American Funds Bond Fund Of Amer R6	—	—	—	$952K	8.3%
BLACKROCK EAFE EQUITY INDEX FEE C GREAT GRAY TRUST · EIN 20-3802495 / PN 007	Common Collective Trust	—	—	$855K	7.4%
Fidelity US Bond Index	—	—	—	$818K	7.1%
Fidelity Mid Cap Index	—	—	—	$808K	7.0%
Fixed Annuities * Empower Fixed Account - Series Class I	—	—	—	$576K	5.0%
American Funds New Perspective R6	—	—	—	$568K	4.9%
Fidelity Emerging Markets Index	—	—	—	$399K	3.5%
varying maturity dates through October 2030 -	—	—	—	$188K	1.6%
American Funds Moderate G/I Portfolio R6	—	—	—	$144K	1.3%
American Funds 2040 Target Date Retire R6	—	—	—	$28K	0.2%
American Funds Conservative G/I Portfolio R6	Mutual Funds	—	—	$20K	0.2%
American Funds 2025 Target Date Retire R6 ** 905 American Funds 2030 Target Date Retire R6	—	—	—	$12K	0.1%
American Funds 2035 Target Date Retire R6	—	—	—	$12K	0.1%
American Funds 2050 Target Date Retire R6 ** 601 American Funds 2055 Target Date Retire R6	—	—	—	$11K	<0.1%
American Funds 2060 Target Date Retire R6	—	—	—	$7K	<0.1%
American Funds 2045 Target Date Retire R6	—	—	—	$4K	<0.1%
American Funds 2020 Target Date Retire R6	—	—	—	$3K	<0.1%
American Funds 2065 Target Date Retire R6	—	—	—	$2K	<0.1%
American Funds 2015 Target Date Retire R6	—	—	—	$2K	<0.1%
DFA U.S. TARGETED VALUE PORTFOLIO R TRANSAMERICA LIFE INS CO · EIN 39-0989781 / PN 527	Pooled Separate Account	—	—	$0	<0.1%
BLACKROCK HIGH YIELD PORTFOLIO RET TRANSAMERICA LIFE INS CO · EIN 39-0989781 / PN 757	Pooled Separate Account	—	—	$0	<0.1%
STATE STREET INTL INDEX RET OPT TRANSAMERICA LIFE INS CO · EIN 39-0989781 / PN 035	Pooled Separate Account	—	—	$0	<0.1%
STATE STREET S&P MID CAP INDEX RET TRANSAMERICA LIFE INS CO · EIN 39-0989781 / PN 036	Pooled Separate Account	—	—	$0	<0.1%
AMER FUNDS EUROPACIFIC GROWTH RET O TRANSAMERICA LIFE INS CO · EIN 39-0989781 / PN 068	Pooled Separate Account	—	—	$0	<0.1%
LOOMIS SAYLES INVESTMENT GRADE BOND TRANSAMERICA LIFE INS CO · EIN 39-0989781 / PN 086	Pooled Separate Account	—	—	$0	<0.1%
VANGUARD SMALL-CAP INDEX RET OPT TRANSAMERICA LIFE INS CO · EIN 39-0989781 / PN 107	Pooled Separate Account	—	—	$0	<0.1%
TA VANGUARD TOTAL STOCK MARKET INDE TRANSAMERICA LIFE INS CO · EIN 39-0989781 / PN 114	Pooled Separate Account	—	—	$0	<0.1%
STATE STREET RUSSELL LRG CAP GR IND TRANSAMERICA LIFE INS CO · EIN 39-0989781 / PN 122	Pooled Separate Account	—	—	$0	<0.1%
STATE STREET RUSSELL SM CAP GR INDE TRANSAMERICA LIFE INS CO · EIN 39-0989781 / PN 121	Pooled Separate Account	—	—	$0	<0.1%
TRANSAMERICA PARTNERS STOCK INDEX R TRANSAMERICA LIFE INS CO · EIN 39-0989781 / PN 587	Pooled Separate Account	—	—	$0	<0.1%
MFS MASSACHUSETTS INV GR STK TRANSAMERICA LIFE INS CO · EIN 39-0989781 / PN 666	Pooled Separate Account	—	—	$0	<0.1%
AEGON US CORE PLUS RET OPT TRANSAMERICA LIFE INS CO · EIN 39-0989781 / PN 719	Pooled Separate Account	—	—	$0	<0.1%
PIONEER SELECT MID CAP GROWTH RET O TRANSAMERICA LIFE INS CO · EIN 39-0989781 / PN 741	Pooled Separate Account	—	—	$0	<0.1%
BLACKROCK HIGH YIELD PORTFOLIO RET TRANSAMERICA LIFE INS CO · EIN 39-0989781 / PN 757	Pooled Separate Account	—	—	$0	<0.1%
BNY MELLON GLOBAL FIXED INCOME RET TRANSAMERICA LIFE INS CO · EIN 39-0989781 / PN 764	Pooled Separate Account	—	—	$0	<0.1%
AMERICAN FUNDS NEW PERSPECTIVE RET TRANSAMERICA LIFE INS CO · EIN 39-0989781 / PN 259	Pooled Separate Account	—	—	$0	<0.1%
DFA EMERGING MARKETS PORTFOLIO RET TRANSAMERICA LIFE INS CO · EIN 39-0989781 / PN 525	Pooled Separate Account	—	—	$0	<0.1%
DFA INFL-PROTECTED SEC PORTFOLIO RE TRANSAMERICA LIFE INS CO · EIN 39-0989781 / PN 526	Pooled Separate Account	—	—	$0	<0.1%
DFA U.S. TARGETED VALUE PORTFOLIO R TRANSAMERICA LIFE INS CO · EIN 39-0989781 / PN 527	Pooled Separate Account	—	—	$0	<0.1%
VICTORY SYCAMORE ESTABLISHED VALUE TRANSAMERICA LIFE INS CO · EIN 39-0989781 / PN 613	Pooled Separate Account	—	—	$0	<0.1%
TRANSAMERICA PARTNERS STOCK INDEX R TRANSAMERICA LIFE INS CO · EIN 39-0989781 / PN 587	Pooled Separate Account	—	—	$0	<0.1%
STATE STREET S&P MID CAP INDEX RET TRANSAMERICA LIFE INS CO · EIN 39-0989781 / PN 036	Pooled Separate Account	—	—	$0	<0.1%
AMER FUNDS EUROPACIFIC GROWTH RET O TRANSAMERICA LIFE INS CO · EIN 39-0989781 / PN 068	Pooled Separate Account	—	—	$0	<0.1%
LOOMIS SAYLES INVESTMENT GRADE BOND TRANSAMERICA LIFE INS CO · EIN 39-0989781 / PN 086	Pooled Separate Account	—	—	$0	<0.1%
TA VANGUARD TOTAL STOCK MARKET INDE TRANSAMERICA LIFE INS CO · EIN 39-0989781 / PN 114	Pooled Separate Account	—	—	$0	<0.1%
STATE STREET RUSSELL LRG CAP GR IND TRANSAMERICA LIFE INS CO · EIN 39-0989781 / PN 122	Pooled Separate Account	—	—	$0	<0.1%
STATE STREET RUSSELL SM CAP GR INDE TRANSAMERICA LIFE INS CO · EIN 39-0989781 / PN 121	Pooled Separate Account	—	—	$0	<0.1%
DWS RREEF REAL ESTATE SECURITIES RE TRANSAMERICA LIFE INS CO · EIN 39-0989781 / PN 637	Pooled Separate Account	—	—	$0	<0.1%
PIONEER SELECT MID CAP GROWTH RET O TRANSAMERICA LIFE INS CO · EIN 39-0989781 / PN 741	Pooled Separate Account	—	—	$0	<0.1%
DFA INFL-PROTECTED SEC PORTFOLIO RE TRANSAMERICA LIFE INS CO · EIN 39-0989781 / PN 526	Pooled Separate Account	—	—	$0	<0.1%
BNY MELLON GLOBAL FIXED INCOME RET TRANSAMERICA LIFE INS CO · EIN 39-0989781 / PN 764	Pooled Separate Account	—	—	$0	<0.1%
VICTORY SYCAMORE ESTABLISHED VALUE TRANSAMERICA LIFE INS CO · EIN 39-0989781 / PN 613	Pooled Separate Account	—	—	$0	<0.1%
JPMORGAN EQUITY INCOME RET OPT TRANSAMERICA LIFE INS CO · EIN 39-0989781 / PN 584	Pooled Separate Account	—	—	$0	<0.1%
AMERICAN FUNDS BALANCED RET OPT TRANSAMERICA LIFE INS CO · EIN 39-0989781 / PN 232	Pooled Separate Account	—	—	$0	<0.1%
AMERICAN FUNDS NEW PERSPECTIVE RET TRANSAMERICA LIFE INS CO · EIN 39-0989781 / PN 259	Pooled Separate Account	—	—	$0	<0.1%
JPMORGAN U.S. EQUITY RET OPT TRANSAMERICA LIFE INS CO · EIN 39-0989781 / PN 297	Pooled Separate Account	—	—	$0	<0.1%
DFA EMERGING MARKETS PORTFOLIO RET TRANSAMERICA LIFE INS CO · EIN 39-0989781 / PN 525	Pooled Separate Account	—	—	$0	<0.1%
DWS RREEF REAL ESTATE SECURITIES RE TRANSAMERICA LIFE INS CO · EIN 39-0989781 / PN 637	Pooled Separate Account	—	—	$0	<0.1%