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Original filing (PDF)20250929153655NAL0011493345001
FLAHERTY & COLLINS, INC.
Form 5500
FILING_RECEIVED
FLAHERTY & COLLINS, INC. 401(K) PLAN
401(k) retirement plan
Signals · 1
No recordkeeper disclosed
Active participants
355
Accounts w/ balance
417
Plan assets (EOY)
$12.8M
Net assets (EOY)
$12.8M
How this plan invests
This plan
1 pooled trust
Schedule D
27 securities
funds · stocks · CUSIPs
Holdings are itemized directly on this plan's Schedule of Assets, below.
Plan health score (directional)
89
/ 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
65
Vendor stack
80
Participation health
100
Knocking points off
- 59 bps in Schedule C fees — 103% above peer band of 29 bps.
- No recordkeeper disclosed on Schedule C.
Decision-maker contacts
CFO / Head of HR / Benefits Manager — verified email + LinkedIn for FLAHERTY & COLLINS, INC..
Plan sponsor
Name
FLAHERTY & COLLINS, INC.
EIN
35-1893287
Address
ONE INDIANA SQUARE · SUITE 300 · INDIANAPOLIS, IN · 462042003
Phone
(888) 684-0338
Industry
Real Estatesee 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
2025-09-29
Pension benefit codes
2E · Profit-sharing
2F · ERISA section 404(c)
2G · Total participant-directed accounts
2J · 401(k) feature
2K · 401(m) arrangement
2S · Automatic enrollment
2T · Default investment account (QDIA)
3D · Pre-approved plan (master / prototype / VS)
3H · Sponsor in controlled / affiliated group
Audit & trust (Schedule H)
Auditor
FORVIS MAZARS, LLP
Trustee / custodian
—
Trustee phone
—
Service providers (Schedule C)
2 rowsAdvisor / Consultant
1| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| BCGM WEALTH MANAGEMENT LLC | 84-3549316 | — | INVESTMENT ADVISORY | $0 | — |
TPA / Administrator
1| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| PRINCIPAL LIFE INSURANCE COMPANY | 42-0127290 | — | CONTRACT ADMINISTRATOR | $75K | — |
Investments
26 direct securities · 1 pooled fund· $12.8M(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
$11.5M
25 holdings
Common Collective Trust
$1.0M
1 holding
Mutual Funds
$192K
1 holding
| PI | Investment | Type | Shares / units | Cost | Current value | % of plan |
|---|---|---|---|---|---|---|
| Fidelity Large Cap Growth Index Fund 68,545 shares | — | — | $69K | $2.7M | 21.0% | |
| Fidelity 500 Index Fund 7,914 shares | — | — | $8K | $1.6M | 12.7% | |
| PRINCIPAL STABLE VALUE Z FUND PRINCIPAL GLOBAL INVESTORS TRUST CO · EIN 93-6274328 / PN 001 | Common Collective Trust | — | $41K | $1.0M | 8.1% | |
| T. Rowe Price Retirement I 2050 I Fund 46,301 shares | — | — | $46K | $876K | 6.9% | |
| ClearBridge International Growth IS Fund 11,358 shares | — | — | $11K | $734K | 5.8% | |
| JP Morgan US Value R6 Fund 8,589 shares | — | — | $9K | $718K | 5.6% | |
| T. Rowe Price Retirement I 2045 I Fund 28,108 shares | — | — | $28K | $626K | 4.9% | |
| T. Rowe Price Retirement I 2060 I Fund 34,498 shares | — | — | $34K | $572K | 4.5% | |
| T. Rowe Price Retirement I 2035 I Fund 23,746 shares | — | — | $24K | $500K | 3.9% | |
| T. Rowe Price Retirement I 2055 I Fund 22,078 shares | — | — | $22K | $439K | 3.4% | |
| T. Rowe Price Retirement I 2025 I Fund 23,684 shares | — | — | $24K | $392K | 3.1% | |
| T. Rowe Price Retirement Balanced I Fund 27,296 shares | — | — | $27K | $362K | 2.8% | |
| T. Rowe Price Retirement I 2030 I Fund 13,080 shares | — | — | $13K | $335K | 2.6% | |
| T. Rowe Price Retirement I 2040 I Fund 10,455 shares | — | — | $10K | $320K | 2.5% | |
| BlackRock 40/60 Target Allocation K Fund 20,126 shares | — | — | $20K | $257K | 2.0% | |
| American Century Small Cap Value R6 Fund 18,174 shares | Mutual Funds | — | $18K | $192K | 1.5% | |
| Fidelity Total Bond K6 Fund 21,118 shares | — | — | $21K | $184K | 1.4% | |
| Fidelity Small Cap Index Fund 6,589 shares | — | — | $7K | $182K | 1.4% | |
| Victory Integrity Mid-Cap Value R6 Fund 7,442 shares | — | — | $7K | $168K | 1.3% | |
| T. Rowe Price Retirement I 2065 I Fund 12,467 shares | — | — | $12K | $160K | 1.3% | |
| T. Rowe Price Retirement I 2010 I Fund 62 shares 940 T. Rowe Price Retirement I 2015 I Fund 1 share 18 T. Rowe Price Retirement I 2020 I Fund 6,601 shares | — | — | $7K | $123K | 1.0% | |
| JP Morgan Income R6 Fund 11,778 shares | — | — | $12K | $100K | 0.8% | |
| Fidelity Mid Cap Index Fund 2,946 shares | — | — | $3K | $100K | 0.8% | |
| Goldman Sachs GQG Partners Internatnl Opportunities R6 Fd 4,072 shares | — | — | $4K | $80K | 0.6% | |
| (E) | — | — | — | $6K | <0.1% | |
| Artisan International Institutional Fund 225 shares | — | — | — | $6K | <0.1% | |
| Diamond Hill Small Cap Y Fund 132 shares | — | — | — | $3K | <0.1% |
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