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Original filing (PDF)20251015114644NAL0005978704001
WALTER & HAVERFIELD LLP
Form 5500
FILING_RECEIVED
WALTER & HAVERFIELD LLP PROFIT SHARING RETIREMENT PLAN
401(k) retirement plan
Active participants
102
Accounts w/ balance
201
Plan assets (EOY)
$32.1M
Net assets (EOY)
$32.1M
How this plan invests
This plan
1 pooled trust
Schedule D
93 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
Helping the score
- Below-peer total fees (5 bps vs 29 bps peer median).
Decision-maker contacts
CFO / Head of HR / Benefits Manager — verified email + LinkedIn for WALTER & HAVERFIELD LLP.
Plan sponsor
Name
WALTER & HAVERFIELD LLP
EIN
34-0602148
Address
1500 WEST 3RD STREET · SUITE 300 · CLEVELAND, OH · 44113
Phone
(216) 781-1212
Industry
Law Offices· Professional & Technical Servicessee all
Plan administrator
Same as plan sponsor.
Plan characteristics
Plan number
003
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
2R · Participant-directed brokerage (SDBA)
2S · Automatic enrollment
2T · Default investment account (QDIA)
3B · Covers self-employed individuals
2A · Age/service weighted or new comparability
3D · Pre-approved plan (master / prototype / VS)
Audit & trust (Schedule H)
Auditor
HOBE AND LUCAS CPAS INC
Trustee / custodian
—
Trustee phone
—
Service providers (Schedule C)
1 rowsRecordkeeper
1| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| FIDELITY INVESTMENTS INSTITUTIONAL | 04-2647786 | — | RECORDKEEPER | $15K | — |
Investments
92 direct securities · 1 pooled fund· $65.7M(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
$65.4M
90 holdings
Common Collective Trust
$216K
1 holding
Mutual Funds
$26K
2 holdings
| PI | Investment | Type | Shares / units | Cost | Current value | % of plan |
|---|---|---|---|---|---|---|
| T. Rowe Price T. Rowe Price Retirement Blend 2020 | — | — | — | $5.2M | 16.1% | |
| Nationwide Fixed Select Option Group annuity contract | — | — | — | $4.5M | 14.1% | |
| Janus Henderson Janus Henderson Balanced | — | — | — | $4.4M | 13.7% | |
| T. Rowe Price T. Rowe Price Retirement Blend 2035 | — | — | — | $4.1M | 12.7% | |
| T. Rowe Price T. Rowe Price Retirement Blend 2040 | — | — | — | $3.1M | 9.6% | |
| T. Rowe Price T. Rowe Price Retirement Blend 2045 | — | — | — | $2.8M | 8.8% | |
| Vanguard Equity Income | — | — | — | $2.1M | 6.6% | |
| Nationwide S&P 500 Index | — | — | — | $2.0M | 6.2% | |
| Fidelity Large Cap Growth Index | — | — | — | $1.9M | 5.8% | |
| T. Rowe Price T. Rowe Price Retirement Blend 2030 | — | — | — | $1.8M | 5.7% | |
| T. Rowe Price T. Rowe Price Retirement Blend 2025 | — | — | — | $1.7M | 5.3% | |
| Party Identity of issue, Description of investment including In borrower, lessor, maturity date, rate of interest, (e) Interest or similar party collateral, par or maturity value Fair Value * National Financial Services Self-directed brokerage account | — | — | — | $1.7M | 5.3% | |
| Fidelity 500 Index | — | — | — | $1.7M | 5.2% | |
| Ameritrade Institutional Self-directed brokerage account | — | — | — | $1.6M | 5.0% | |
| JPMorgan Large Cap Growth Fund Class R6 | — | — | — | $1.6M | 4.9% | |
| Columbia Global Technology Growth | — | — | — | $1.5M | 4.8% | |
| T. Rowe Price T. Rowe Price Retirement Blend 2050 | — | — | — | $1.4M | 4.5% | |
| MFS Mid Cap Value Fund Class R6 | — | — | — | $1.4M | 4.2% | |
| Standard Insurance Company APEX Guaranteed Fixed Int Y | — | — | — | $1.3M | 4.2% | |
| American Funds American Funds EuroPacific Growth | — | — | — | $1.1M | 3.5% | |
| American Funds American Funds Cap World Growth & Income | — | — | — | $1.1M | 3.3% | |
| JPMorgan Growth Advantage Fund Class R6 | — | — | — | $941K | 2.9% | |
| American Funds American Funds International Growth Income | — | — | — | $934K | 2.9% | |
| Nationwide Mid-Cap Market Index | — | — | — | $873K | 2.7% | |
| BlackRock Mid-Cap Growth Equity | — | — | — | $838K | 2.6% | |
| T. Rowe Price T. Rowe Price Retirement Blend 2055 | — | — | — | $827K | 2.6% | |
| Nationwide Geneva Small-Cap Growth | — | — | — | $776K | 2.4% | |
| Fidelity US Bond Index | — | — | — | $709K | 2.2% | |
| T. Rowe Price T. Rowe Price Retirement Blend 2015 | — | — | — | $640K | 2.0% | |
| T. Rowe Price T. Rowe Price Retirement Blend 2005 | — | — | — | $611K | 1.9% | |
| American Funds American Funds American Mutual | — | — | — | $593K | 1.9% | |
| Delaware Ivy High Income | — | — | — | $582K | 1.8% | |
| Vanguard Federal Money Market | — | — | — | $567K | 1.8% | |
| Nuveen Real Estate Securities | — | — | — | $468K | 1.5% | |
| Pioneer Bond | — | — | — | $432K | 1.3% | |
| Vanguard Info Tech Index Admiral Shares | — | — | — | $408K | 1.3% | |
| Vanguard Info Tech Index | — | — | — | $357K | 1.1% | |
| Vanguard Total Bond Market Index | — | — | — | $337K | 1.1% | |
| PIMCO Income | — | — | — | $318K | 1.0% | |
| Wells Fargo Wells Fargo Special Mid-Cap Value | — | — | — | $288K | 0.9% | |
| Fidelity Mid Cap Index | — | — | — | $277K | 0.9% | |
| PIMCO Long-Term Credit Bond | — | — | — | $272K | 0.8% | |
| American Funds American Funds New World | — | — | — | $271K | 0.8% | |
| Fidelity International Index | — | — | — | $268K | 0.8% | |
| T. Rowe Price T. Rowe Price Retirement Blend 2060 | — | — | — | $248K | 0.8% | |
| PIMCO Intl Bond USD Holding Institution | — | — | — | $245K | 0.8% | |
| JPMorgan Small Cap Equity Fund Class R5 | — | — | — | $242K | 0.8% | |
| Carillon Eagle Mid Cap Growth | — | — | — | $239K | 0.7% | |
| American Funds American Funds Inflation Linked Bonds | — | — | — | $230K | 0.7% | |
| T. Rowe Price T. Rowe Price Financial Services Fund | — | — | — | $221K | 0.7% | |
| AB US LG GR W CIT G GREAT GRAY TRUST COMPANY, LLC · EIN 38-4116831 / PN 509 | Common Collective Trust | — | — | $216K | 0.7% | |
| Invesco Corp Bond R5 | — | — | — | $215K | 0.7% | |
| PGIM High Yield | — | — | — | $212K | 0.7% | |
| Victory INCORE Victory INCORE Fund for Income I | — | — | — | $211K | 0.7% | |
| Baird Core Plus Bond Fund Class Institutional | — | — | — | $203K | 0.6% | |
| PIMCO St Institution | — | — | — | $196K | 0.6% | |
| Wells Fargo Wells Fargo Utility & Telecomms | — | — | — | $192K | 0.6% | |
| LeggMason Western Asset Corporate Bond | — | — | — | $179K | 0.6% | |
| T. Rowe Price T. Rowe Communications & Technology | — | — | — | $168K | 0.5% | |
| Fidelity Small Cap Growth K6 | — | — | — | $163K | 0.5% | |
| Notes Receivable From Notes Receivable from Participants (interest rate of 4.25% to 9.5%) | — | — | — | $159K | 0.5% | |
| Fidelity Small Cap Index | — | — | — | $132K | 0.4% | |
| Vanguard Small-Cap Index | — | — | — | $115K | 0.4% | |
| PIMCO Global Bond Opportunities Inst Class | — | — | — | $114K | 0.4% | |
| Invesco Gold & Special Minerals | — | — | — | $112K | 0.3% | |
| Morgan Stanley Morgan Stanley Institutional Fund | — | — | — | $99K | 0.3% | |
| Vanguard Real Estate Index | — | — | — | $95K | 0.3% | |
| T. Rowe Price T. Rowe Price Retirement Blend 2010 | — | — | — | $94K | 0.3% | |
| Fidelity Advisor Small Cap Value | — | — | — | $93K | 0.3% | |
| Fidelity Advisor New Insights | — | — | — | $91K | 0.3% | |
| American Funds American Funds Balanced R6 | — | — | — | $81K | 0.3% | |
| Vanguard Equity Income Admiral | — | — | — | $75K | 0.2% | |
| Alliance Bernstein AB Small Cap Growth | — | — | — | $70K | 0.2% | |
| American Funds American Funds Capital World Bond Fund | — | — | — | $48K | 0.2% | |
| Vanguard Total International Stock Index | — | — | — | $45K | 0.1% | |
| MFS Emerging Markets | — | — | — | $43K | 0.1% | |
| JP Morgan JP Morgan Mid Cap Growth R6 | — | — | — | $39K | 0.1% | |
| Federated Hermes Government Obligations Fund | — | — | — | $37K | 0.1% | |
| American Century American Century Small Cap Value I | — | — | — | $33K | 0.1% | |
| John Hancock John Hancock Disciplined Value Mid Cap Class I | — | — | — | $30K | <0.1% | |
| Alliance Bernstein AB Discovery Value | Mutual Funds | — | — | $22K | <0.1% | |
| MFS International Growth R6 | — | — | — | $19K | <0.1% | |
| JPMorgan US Equity Fund Class R5 | — | — | — | $16K | <0.1% | |
| T. Rowe Price T. Rowe Price Retirement Blend 2065 | — | — | — | $10K | <0.1% | |
| Franklin Templeton Franklin Templeton Global Bond Fund 401 Invesco Nasdaq 100 Index Fund Class R6 | — | — | — | $5K | <0.1% | |
| s * Fidelity Government Money Market | Mutual Funds | — | — | $4K | <0.1% | |
| Vanguard Strategic Equity | — | — | — | $4K | <0.1% | |
| DFA Intl Sustainability Core 1 Port | — | — | — | $4K | <0.1% | |
| DFA Intl Small Company Port Inst Class | — | — | — | $4K | <0.1% | |
| American Funds American Funds American Balanced Fund | — | — | — | $3K | <0.1% | |
| American Funds American Funds Large Cap Income Builder | — | — | — | $3K | <0.1% | |
| Vanguard Total Stock Market Index Fund | — | — | — | $3K | <0.1% | |
| TIAA TIAA-CREF Real Estate Sec Instl | — | — | — | $2K | <0.1% |