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Original filing (PDF)20251014051151NAL0001038403001
APPEN AI INC
Form 5500
FILING_RECEIVED
APPEN AI INC RETIREMENT PLAN
401(k) retirement plan
Active participants
150
Accounts w/ balance
397
Plan assets (EOY)
$18.7M
Net assets (EOY)
$18.7M
How this plan invests
This plan
1 pooled trust
Schedule D
34 securities
funds · stocks · CUSIPs
Holdings are itemized directly on this plan's Schedule of Assets, below.
Plan health score (directional)
91
/ 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
100
Participation health
100
Knocking points off
- 72 bps in Schedule C fees — 149% above peer band of 29 bps.
Decision-maker contacts
CFO / Head of HR / Benefits Manager — verified email + LinkedIn for APPEN AI INC.
Plan sponsor
Name
APPEN AI INC
EIN
35-2238395
Address
12131 113TH AVE, N.E., SUITE 100 · KIRKLAND, WA · 98034
Phone
(866) 673-6996
Industry
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
2025-10-14
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
2T · Default investment account (QDIA)
3D · Pre-approved plan (master / prototype / VS)
3H · Sponsor in controlled / affiliated group
Audit & trust (Schedule H)
Auditor
BPM LLP
Trustee / custodian
—
Trustee phone
—
Service providers (Schedule C)
2 rowsRecordkeeper
1| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| ADP, INC. | 13-3036745 | — | RECORD KEEPER | $84K | — |
Other
1| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| CREATIVE PLANNING HOLDCO, LLC | 84-4519624 | — | INVESTMENT/FINANCIAL ADVI | $50K | — |
Investments
32 direct securities · 1 pooled fund· $17.5M(94% 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.
Registered Investment Companies
$17.4M
32 holdings
Common Collective Trust
$67K
1 holding
| PI | Investment | Type | Shares / units | Cost | Current value | % of plan |
|---|---|---|---|---|---|---|
| VAN TARGET RETIRE 2045 | Registered Investment Companies | — | — | $3.2M | 16.9% | |
| VAN TARGET RETIRE 2050 | Registered Investment Companies | — | — | $3.1M | 16.7% | |
| VAN TARGET RETIRE 2055 | Registered Investment Companies | — | — | $2.3M | 12.3% | |
| VAN TARGET RETIRE 2040 | Registered Investment Companies | — | — | $2.1M | 11.2% | |
| VAN TARGET RETIRE 2030 | Registered Investment Companies | — | — | $1.9M | 10.3% | |
| VAN TARG RETIRE 2060 | Registered Investment Companies | — | — | $1.1M | 6.0% | |
| FID 500 IND | Registered Investment Companies | — | — | $1.0M | 5.6% | |
| VANGUARD DIV GRTH - INV | Registered Investment Companies | — | — | $641K | 3.4% | |
| VAN TARGET RETIRE INC | Registered Investment Companies | — | — | $299K | 1.6% | |
| VAN TARGET RETIRE 2025 | Registered Investment Companies | — | — | $276K | 1.5% | |
| AB LARGE CAP GROWTH FUND Z | Registered Investment Companies | — | — | $185K | 1.0% | |
| FID MID CAP INDEX | Registered Investment Companies | — | — | $141K | 0.8% | |
| FID US BOND IND | Registered Investment Companies | — | — | $109K | 0.6% | |
| DFA US SM CAP PORTFOLIO INST | Registered Investment Companies | — | — | $101K | 0.5% | |
| JPMORGAN US SMALL COMPANY R6 | Registered Investment Companies | — | — | $89K | 0.5% | |
| JANUS HENDERSON VENTURE FUND-N | Registered Investment Companies | — | — | $85K | 0.5% | |
| VANGUARD REAL ESTATE INDEX ADM | Registered Investment Companies | — | — | $84K | 0.5% | |
| FID TOTAL INTERNATIONAL INDEX | Registered Investment Companies | — | — | $83K | 0.4% | |
| INV DISC MID CAP GROWTH R6 | Registered Investment Companies | — | — | $75K | 0.4% | |
| INVESCO STABLE ASSET - ADPZ INVESCO TRUST COMPANY · EIN 27-3884161 / PN 001 | Common Collective Trust | — | — | $67K | 0.4% | |
| PUTNAM LARGE CAP VALUE R6 | Registered Investment Companies | — | — | $63K | 0.3% | |
| UNDISC MGRS BEHAVIORAL VAL R6 | Registered Investment Companies | — | — | $58K | 0.3% | |
| MFS INTERNATIONAL GROWTH R6 | Registered Investment Companies | — | — | $55K | 0.3% | |
| AMERICAN FUNDS NEW WORLD R6 | Registered Investment Companies | — | — | $53K | 0.3% | |
| DFA INFLATION PROT SEC INST | Registered Investment Companies | — | — | $51K | 0.3% | |
| JPMORGAN CORE PLUS BOND R6 | Registered Investment Companies | — | — | $50K | 0.3% | |
| AMERICAN BEACON INTL EQTY R5 | Registered Investment Companies | — | — | $45K | 0.2% | |
| ALLSPRING SPECIAL MC VAL R6 | Registered Investment Companies | — | — | $43K | 0.2% | |
| BLACKROCK HIGH YIELD K | Registered Investment Companies | — | — | $35K | 0.2% | |
| FID SMALL CAP INDEX | Registered Investment Companies | — | — | $24K | 0.1% | |
| VAN TARGET RETIRE 2020 | Registered Investment Companies | — | — | $18K | <0.1% | |
| COLUMBIA BALANCED FUND - I3 | Registered Investment Companies | — | — | $11K | <0.1% | |
| VAN TARG RETIRE 2065 | Registered Investment Companies | — | — | $4K | <0.1% |
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