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Original filing (PDF)20250729102721NAL0003656640001
TRI-STATE ORTHOPAEDIC SURGEONS, INC.
Form 5500
FILING_RECEIVED
TRI-STATE ORTHOPAEDIC SURGEONS, INC. 401(K) PLAN
401(k) retirement plan
Signals · 1
30% in single holding
Active participants
191
Accounts w/ balance
254
Plan assets (EOY)
$44.0M
Net assets (EOY)
$44.0M
How this plan invests
This plan
4 pooled trusts
Schedule D
30 securities
funds · stocks · CUSIPs
Holdings are itemized directly on this plan's Schedule of Assets, below.
Plan health score (directional)
97
/ 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
85
Total plan cost
100
Vendor stack
100
Participation health
100
Knocking points off
- Top holding "Self-Directed Brokerage Account Investments Miscellaneous investments" is 30% of plan.
Helping the score
- Below-peer total fees (0 bps vs 29 bps peer median).
Decision-maker contacts
CFO / Head of HR / Benefits Manager — verified email + LinkedIn for TRI-STATE ORTHOPAEDIC SURGEONS, INC..
Plan sponsor
Name
TRI-STATE ORTHOPAEDIC SURGEONS, INC.
EIN
35-1284898
Address
225 CROSSLAKE DRIVE · EVANSVILLE, IN · 47715
Phone
(812) 448-4603
Industry
Offices of Physicians· Health Care & Social Assistancesee 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
2025-07-29
Pension benefit codes
2A · Age/service weighted or new comparability
2E · Profit-sharing
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
3D · Pre-approved plan (master / prototype / VS)
3F · Sponsor used leased employees
Audit & trust (Schedule H)
Auditor
FORVIS MAZARS, LLP
Trustee / custodian
—
Trustee phone
—
Service providers (Schedule C)
1 rowsRecordkeeper
1| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| FIDELITY INVESTMENTS INSTIT OP | 04-2647786 | — | RECORDKEEPER | $624 | — |
Investments
28 direct securities · 4 pooled funds· $44.0M(100% of reported assets)
Rows tagged as a trust or pooled fund hold many underlying securities. Their holdings are itemized on each fund’s own Form 5500.
Uncategorized
$36.2M
26 holdings
Mutual Funds
$3.6M
1 holding
Guaranteed Income / GIC
$2.4M
1 holding
Common Collective Trust
$1.8M
4 holdings
| PI | Investment | Type | Shares / units | Cost | Current value | % of plan |
|---|---|---|---|---|---|---|
| Self-Directed Brokerage Account Investments Miscellaneous investments | — | — | — | $13.1M | 29.8% | |
| Fidelity 500 Index Fund 30,543 units | — | — | $31K | $6.2M | 14.2% | |
| American Funds Capital World Growth and Income Fund 56,411 units | Mutual Funds | — | $56K | $3.6M | 8.1% | |
| Lincoln Stable Value Investment contract, at contract value | Guaranteed Income / GIC | — | — | $2.4M | 5.6% | |
| American Funds Target Date 2045 Fund 105,270 units | — | — | $105K | $2.2M | 5.1% | |
| Fidelity Small Cap Index Fund 68,237 units | — | — | $68K | $1.9M | 4.3% | |
| Fidelity Mid Cap Index Fund 47,396 units | — | — | $47K | $1.6M | 3.6% | |
| G TRUST INST AM CORE FIXD INC CIT GREAT GRAY TRUST COMPANY, LLC · EIN 38-7275326 / PN 000 | Common Collective Trust | — | $153K | $1.6M | 3.6% | |
| American Funds Target Date 2035 Fund 72,750 units | — | — | $73K | $1.4M | 3.1% | |
| American Funds Target Date 2025 Fund 87,253 units | — | — | $87K | $1.3M | 3.0% | |
| Hartford International Opportunities Fund 61,840 units | — | — | $62K | $1.2M | 2.7% | |
| American Funds Target Date 2055 Fund 40,578 units | — | — | $41K | $1.1M | 2.4% | |
| American Funds Target Date 2050 Fund 48,945 units | — | — | $49K | $1.0M | 2.3% | |
| American Funds Target Date 2060 Fund 42,901 units | — | — | $43K | $769K | 1.7% | |
| Pimco Real Return Fund Institutional 69,634 units | — | — | $70K | $694K | 1.6% | |
| Vanguard Windsor II Fund: Admiral 8,769 units | — | — | $9K | $689K | 1.6% | |
| Collective Trust Funds Great Gray CIT FlexPATH Large Cap Growth Fund II Class R1 43,053 units | — | — | $43K | $666K | 1.5% | |
| American Funds Target Date 2030 Fund 20,478 units | — | — | $20K | $354K | 0.8% | |
| Pimco RAE Emerging Markets Fund 34,894 units | — | — | $35K | $353K | 0.8% | |
| through September 2031 | — | — | — | $345K | 0.8% | |
| American Funds Target Date 2040 Fund 14,085 units | — | — | $14K | $290K | 0.7% | |
| American Funds Target Date 2065 Fund 14,396 units | — | — | $14K | $252K | 0.6% | |
| MFS MID CAP GROWTH FUND S FIDELITY MANAGEMENT TRUST COMPANY · EIN 38-4126294 / PN 000 | Common Collective Trust | — | $11K | $187K | 0.4% | |
| Fidelity Limited Term Bond Fund 14,879 units | — | — | $15K | $169K | 0.4% | |
| Allspring Special Small Cap Value 4,132 units | — | — | $4K | $166K | 0.4% | |
| Allspring Special Mid Cap Value R6 3,437 units | — | — | $3K | $164K | 0.4% | |
| Vanguard Mid Cap Growth Index 1,024 units | — | — | $1K | $112K | 0.3% | |
| Putnam Dynamic Asset Allocation Balance R6 2,099 units | — | — | $2K | $33K | <0.1% | |
| Money Market Funds *Fidelity Government Money Market Fund 32,717 units | — | — | $33K | $33K | <0.1% | |
| American Funds Target Date 2015 Fund 379 units | — | — | — | $5K | <0.1% | |
| WA CORE PLUS BOND G1 FIDELITY MANAGEMENT TRUST COMPANY COMMINGLED POOLS · EIN 04-3022712 / PN 000 | Common Collective Trust | — | — | $0 | <0.1% | |
| CLEARBRIDGE LARGE CAP GROWTH FUND R FIDELITY MANAGEMENT TRUST COMPANY · EIN 82-3106705 / PN 000 | Common Collective Trust | — | — | $0 | <0.1% |
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