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Original filing (PDF)20251007132935NAL0008225392001
DAUBY O'CONNOR & ZALESKI, LLC
Form 5500
FILING_RECEIVED
DAUBY O'CONNOR & ZALESKI, LLC RETIREMENT PLAN
401(k) retirement plan
Active participants
314
Accounts w/ balance
335
Plan assets (EOY)
$33.2M
Net assets (EOY)
$33.2M
How this plan invests
This plan
34 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 (20 bps vs 29 bps peer median).
Decision-maker contacts
CFO / Head of HR / Benefits Manager — verified email + LinkedIn for DAUBY O'CONNOR & ZALESKI, LLC.
Plan sponsor
Name
DAUBY O'CONNOR & ZALESKI, LLC
EIN
35-1750664
Address
501 CONGRESSIONAL BLVD · CARMEL, IN · 46032
Phone
(317) 819-6140
Industry
CPA 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
2025-10-07
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
2T · Default investment account (QDIA)
3B · Covers self-employed individuals
Audit & trust (Schedule H)
Auditor
CBIZ CPAS P.C.
Trustee / custodian
—
Trustee phone
—
Service providers (Schedule C)
4 rowsRecordkeeper
1| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| EMPOWER ANNUITY INSURANCE COMPANY | — | GREENWOOD VILLAGE, CO | RECORDKEEPER | $54K | — |
Broker
2| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| OSAIC WEALTH INC | — | JERSEY CITY, NJ | BROKER/ADVISER | $0 | — |
| WOODBURY FINANCIAL SERVICES INC | — | OAKDALE, MN | BROKER/ADVISER | $0 | — |
Other
1| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| EMPOWER ADVISORY GROUP, LLC | — | GREENWOOD VILLAGE, CO | INVESTMENT MGMT | $11K | — |
Investments
34 direct securities· $33.2M(100% of reported assets)
Uncategorized
$32.7M
33 holdings
Guaranteed Income / GIC
$500K
1 holding
| PI | Investment | Type | Shares / units | Cost | Current value | % of plan |
|---|---|---|---|---|---|---|
| Vanguard 500 Index Admiral 9,350.81 Shares | — | — | $9K | $5.1M | 15.3% | |
| Vanguard Target Ret 2055 75,320.41 Shares | — | — | $75K | $4.2M | 12.6% | |
| Self-directed Participant Accounts | — | — | — | $2.6M | 7.7% | |
| Vanguard Target Ret 2050 46,079.57 Shares | — | — | $46K | $2.3M | 6.9% | |
| Eaton Vance Atlanta Capital Small Mid Cap 46,771.66 Shares | — | — | $47K | $1.9M | 5.9% | |
| Invesco Global Fund 14,861.07 Shares | — | — | $15K | $1.4M | 4.3% | |
| American Funds Washington Mutual 22,080.68 Shares | — | — | $22K | $1.4M | 4.1% | |
| American Funds EuroPacific Growth 24,902.46 Shares | — | — | $25K | $1.3M | 4.0% | |
| American Century Disciplined Growth 51,279.67 Shares | — | — | $51K | $1.2M | 3.5% | |
| Vanguard Target Ret 2040 26,465.79 Shares | — | — | $26K | $1.1M | 3.4% | |
| JP Morgan US Research Enhanced Equity 25,135.79 Shares | — | — | $25K | $1.1M | 3.3% | |
| Vanguard Small Cap Index Admiral 8,442.52 Shares | — | — | $8K | $972K | 2.9% | |
| Vanguard Mid Cap Index Fund 2,904.51 Shares | — | — | $3K | $949K | 2.9% | |
| T. Rowe Price Blue Chip Growth 4,395.45 Shares | — | — | $4K | $824K | 2.5% | |
| Vanguard Target Ret 2065 24,413.02 Shares | — | — | $24K | $821K | 2.5% | |
| Victory Integrity Small Cap Value 25,797.26 Shares | — | — | $26K | $806K | 2.4% | |
| Vanguard Target Ret 2060 13,803.61 Shares | — | — | $14K | $707K | 2.1% | |
| Vanguard Target Ret 2045 18,775.45 Shares | — | — | $19K | $557K | 1.7% | |
| Vanguard Target Ret 2030 14,272.34 Shares | — | — | $14K | $541K | 1.6% | |
| * Key Guaranteed Portfolio Fund N/A Shares | Guaranteed Income / GIC | — | — | $500K | 1.5% | |
| Dodge & Cox Income 34,602.49 Shares | — | — | $35K | $429K | 1.3% | |
| Invesco International Small Mid Cap 11,608.93 Shares | — | — | $12K | $422K | 1.3% | |
| Janus Henderson Balanced 8,298.91 Shares | — | — | $8K | $380K | 1.1% | |
| Fidelity Advisor Capital & Income 27,775.39 Shares | — | — | $28K | $306K | 0.9% | |
| Franklin Small Cap Growth 9,351.22 Shares | — | — | $9K | $256K | 0.8% | |
| Participant Loans 4.25% - 9.50% Interest | — | — | — | $228K | 0.7% | |
| American Century Ginnie Mae 21,612.11 Shares | — | — | $22K | $190K | 0.6% | |
| MFS International Equity 5,106.04 Shares | — | — | $5K | $173K | 0.5% | |
| Vanguard Target Ret 2035 7,102.40 Shares | — | — | $7K | $170K | 0.5% | |
| Vanguard Global Wellesley Income 4,701.74 Shares | — | — | $5K | $127K | 0.4% | |
| Registered Investment Companies Vanguard Target Ret 2025 5,554.34 Shares | — | — | $6K | $104K | 0.3% | |
| American Century Infl-Adj Bond 7,484.49 Shares | — | — | $7K | $77K | 0.2% | |
| DFA Diversified Fixed Income 5,248.40 Shares | — | — | $5K | $48K | 0.1% | |
| MFS International Growth 1,142.21 Shares | — | — | $1K | $47K | 0.1% |