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Original filing (PDF)20251001153232NAL0012792225001
AAI ASSOCIATES, INC.
Form 5500
FILING_RECEIVED
AAI ASSOCIATES, INC. 401(K) PLAN
401(k) retirement plan
Signals · 2
~97 bps in Sched C fees9 service providers
Active participants
94
Accounts w/ balance
130
Plan assets (EOY)
$12.0M
Net assets (EOY)
$12.0M
How this plan invests
This plan
110 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
- 97 bps in Schedule C fees — 236% above peer band of 29 bps.
Decision-maker contacts
CFO / Head of HR / Benefits Manager — verified email + LinkedIn for AAI ASSOCIATES, INC..
Plan sponsor
Name
AAI ASSOCIATES, INC.
EIN
35-2442153
Address
14 WALL STREET · 2ND FLOOR · NEW YORK, NY · 10005
Phone
(212) 964-4040
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
2025-10-01
Pension benefit codes
2A · Age/service weighted or new comparability
2E · Profit-sharing
2J · 401(k) feature
2K · 401(m) arrangement
2F · ERISA section 404(c)
2G · Total participant-directed accounts
3D · Pre-approved plan (master / prototype / VS)
Audit & trust (Schedule H)
Auditor
PKF O'CONNOR DAVIES, LLP
Trustee / custodian
—
Trustee phone
—
Service providers (Schedule C)
9 rowsOther
9| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| NATIONWIDE | — | COLUMBUS, OH | SERVICE PROVIDER | $55K | — |
| WORLD INVESTMENT ADVISORS, LLC | 61-1758632 | — | SERVICE PROVIDER | $23K | — |
| CETERA ADVISORS, LLC | 84-0858799 | — | SERVICE PROVIDER | $13K | — |
| CETERA INVESTMENT ADVISORS LLC | 36-3258176 | — | SERVICE PROVIDER | $12K | — |
| IRON FIDUCIARY | 99-9552241 | — | SERVICE PROVIDER | $11K | — |
| NATIONWIDE LIFE INSURANCE COMPANY | 31-4156830 | COLUMBUS, OH | SERVICE PROVIDER | $3K | — |
| ASSOCIATED PENSION CONSULTANTS, INC | 11-3271022 | MELVILLE, NY | SERVICE PROVIDER | $780 | — |
| ASSOCIATED PENSION CONSULTANTS, INC | 11-3271022 | MELVILLE, NY | SERVICE PROVIDER | $178 | — |
| ASSOCIATED PENSION CONSULTANTS, INC | 11-3271022 | MELVILLE, NY | SERVICE PROVIDER | $0 | — |
Investments
104 direct securities· $17.5M(100% of reported assets)
Uncategorized
$16.0M
103 holdings
Mutual Funds
$1.4M
1 holding
| PI | Investment | Type | Shares / units | Cost | Current value | % of plan |
|---|---|---|---|---|---|---|
| S SHARES / UNITS Nuveen Lifecycle Index 2035 Fund Institutional | Mutual Funds | — | $53K | $1.4M | 11.9% | |
| Fidelity 500 Index | — | — | $6K | $1.1M | 9.5% | |
| Fid 500 Indx Corporate Stock - Common | — | — | — | $1.1M | 9.5% | |
| Nuveen Lifecycle Index 2045 Fund Institutional | — | — | $31K | $942K | 7.8% | |
| Putnam Large Cap Growth Fund Class Y | — | — | $11K | $837K | 7.0% | |
| Ptnm LgCap Gr Y Corporate Stock - Common | — | — | — | $837K | 7.0% | |
| Nuveen Lifecycle Index 2055 Fund Institutional | — | — | $29K | $750K | 6.2% | |
| Nuveen Lifecycle Index 2025 Fund Institutional | — | — | $32K | $685K | 5.7% | |
| Vanguard Total Stock Market Index Fund Admiral | — | — | $4K | $505K | 4.2% | |
| Vngrd Ttl StMkt Indx Fd AS Corporate Stock - Common | — | — | — | $505K | 4.2% | |
| Vanguard 500 Index Fund Admiral 912 | — | — | — | $495K | 4.1% | |
| Vanguard Windsor Fund Admiral | — | — | $6K | $450K | 3.8% | |
| Vngrd Wndsr Adml Corporate Stock - Common | — | — | — | $450K | 3.8% | |
| Vanguard Target Retirement 2035 Fund | — | — | $18K | $428K | 3.6% | |
| Vngrd Trgt Rtrmt 2035 Inv Corporate Stock - Common | — | — | — | $428K | 3.6% | |
| Nuveen Lifecycle Index 2050 Fund Institutional | — | — | $12K | $368K | 3.1% | |
| Nuveen Lifecycle Index 2040 Fund Institutional | — | — | $12K | $356K | 3.0% | |
| Victory Sycamore Established Value I | — | — | $8K | $349K | 2.9% | |
| Vic Syc Estblshd Val I | — | — | — | $349K | 2.9% | |
| Artisan Intl Val Inst Corporate Stock - Common | — | — | — | $301K | 2.5% | |
| Artisan International Value Fund Institutional | — | — | $6K | $301K | 2.5% | |
| Nuveen Lifecycle Index 2030 Fund Institutional | — | — | $12K | $292K | 2.4% | |
| Nationwide Geneva Small Cap Growth Fund Inst Svc | — | — | $2K | $201K | 1.7% | |
| AmFds New Wld R6 Corporate Stock - Common | — | — | — | $198K | 1.7% | |
| American Funds New World R6 | — | — | $3K | $198K | 1.7% | |
| Vanguard Target Retirement 2055 Fund Investor | — | — | $3K | $167K | 1.4% | |
| Vngrd Trgt Rtrmt 2055 Inv Corporate Stock - Common | — | — | — | $167K | 1.4% | |
| Vanguard GNMA Fund Admiral | — | — | $15K | $138K | 1.1% | |
| Vngrd GNMA Adml Corporate Stock - Common | — | — | — | $138K | 1.1% | |
| Fidelity US Bond Index Fund | — | — | $13K | $133K | 1.1% | |
| Fid US Bd Indx Corporate Stock - Common | — | — | — | $133K | 1.1% | |
| Vanguard Target Retirement 2050 Fund Investor | — | — | $2K | $119K | 1.0% | |
| Vngrd Trgt Rtrmt 2050 Inv Corporate Stock - Common | — | — | — | $119K | 1.0% | |
| Baron Partners Fund Institutional Shares 500 | — | — | — | $110K | 0.9% | |
| Baron Ptnrs Inst Corporate Stock - Common | — | — | — | $110K | 0.9% | |
| Vngrd Ttl IntlStkIndx Adml Corporate Stock - Common | — | — | — | $104K | 0.9% | |
| Vanguard Total International Stock Index Fund Adm | — | — | $3K | $104K | 0.9% | |
| T Rowe Price Blue Chip Growth Fund 544 | — | — | — | $101K | 0.8% | |
| PRNCPL MDCAP R6 Registered Investments | — | — | — | $88K | 0.7% | |
| Principal MidCap R6 | — | — | $2K | $88K | 0.7% | |
| Nuveen Lifecycle Index 2060 Fund Institutional | — | — | $4K | $87K | 0.7% | |
| PIMCO Intl BdUSDlrHdgInst Corporate Stock - Common | — | — | $8K | $82K | 0.7% | |
| Baird Cor Pls Bd Inst Corporate Stock - Common | — | — | — | $79K | 0.7% | |
| Baird Core Plus Bond Fund Institutional | — | — | $8K | $79K | 0.7% | |
| DFA International Large Cap Growth | — | — | $5K | $76K | 0.6% | |
| DFA Intl LgCap Gr Corporate Stock - Common | — | — | — | $76K | 0.6% | |
| BlackRock 80/20 Target Allocation Fund Class Institutional | — | — | $4K | $67K | 0.6% | |
| BlkRk 80/20 TrgtAlloc Inst Corporate Stock - Common | — | — | — | $67K | 0.6% | |
| Vngrd Info Tech Indx Adml Corporate Stock - Common | — | — | — | $61K | 0.5% | |
| Vanguard Information Technology Index Fund Admiral Shares 193 | — | — | — | $61K | 0.5% | |
| Participant Loans Interest Rates 4.25%-9.50% | — | — | — | $48K | 0.4% | |
| NOTES RECEIVABLE FROM PARTICIPANTS maturities through 2028 | — | — | — | $48K | 0.4% | |
| State Street Balanced Index Fund | — | — | $4K | $47K | 0.4% | |
| Vngrd Trgt Rtrmt Inc Corporate Stock - Common 825 Vngrd Ttl Intl Bd Idx Adml Corporate Stock - Common | — | — | — | $43K | 0.4% | |
| Vanguard Total International Bond Index Fund Admiral | — | — | $2K | $43K | 0.4% | |
| Fidelity International Index Fund 808 | — | — | — | $38K | 0.3% | |
| Fid Intl Indx Corporate Stock - Common | — | — | — | $38K | 0.3% | |
| NW FXD SEL OPTN Unallocated Insurance Contracts | — | — | — | $32K | 0.3% | |
| GROUP ANNUITY CONTRACT * Nationwide Fixed Select Contract | — | — | $30K | $32K | 0.3% | |
| Fidelity Mid Cap Index Fund 809 | — | — | — | $27K | 0.2% | |
| Fid MdCap Indx Corporate Stock - Common | — | — | — | $27K | 0.2% | |
| Fid SmCap Indx Corporate Stock - Common | — | — | — | $27K | 0.2% | |
| Fidelity Small Cap Index Fund 963 | — | — | — | $27K | 0.2% | |
| IMPAX Sustnbl Alloc Inst Corporate Stock - Common 650 LeggM ClrBrdg LgCap Gr I Corporate Stock - Common | — | — | — | $25K | 0.2% | |
| LeggMason Clear Bridge Large Cap Growth Index 338 | — | — | — | $25K | 0.2% | |
| Goldman Sachs Global Core Fixed Income Fund Inst | — | — | $2K | $23K | 0.2% | |
| Fnkln DynaTech Adv Corporate Stock - Common 800 GdmnScs GlblCorFxdInc Inst Corporate Stock - Common | — | — | — | $23K | 0.2% | |
| BrwnAdv Sustnbl Gr Inst | — | — | — | $20K | 0.2% | |
| Brown Advisory Sustainable Growth Fund Institutional Shares 369 | — | — | — | $20K | 0.2% | |
| Fed Hrms ShIntdTlRtBd Inst Corporate Stock - Common | — | — | — | $18K | 0.1% | |
| Federated Hermes Short-Intermediate Total Return Bond Fund Institution | — | — | $2K | $18K | 0.1% | |
| DFA US Small Cap Portfolio Institutional 326 | — | — | — | $16K | 0.1% | |
| DFA US SmCap Inst Corporate Stock - Common | — | — | — | $16K | 0.1% | |
| Fid Emrg Mkt Indx Corporate Stock - Common | — | — | — | $15K | 0.1% | |
| Fidelity Emerging Markets Index Fund | — | — | $1K | $15K | 0.1% | |
| GdmnScs InSmCpInsight Inst Corporate Stock - Common | — | — | — | $14K | 0.1% | |
| Goldman Sachs International Small Cap Insights Fund Institutional Class | — | — | $1K | $14K | 0.1% | |
| Nuveen Lifecycle Index 2020 Fund Institutional 749 | — | — | — | $14K | 0.1% | |
| Vngrd Trgt Rtrmt 2060 Inv Corporate Stock - Common | — | — | — | $13K | 0.1% | |
| Vanguard Target Retirement 2060 Fund Investor 259 | — | — | — | $13K | 0.1% | |
| Vngrd Wlsly Inc Adml Corporate Stock - Common | — | — | — | $13K | 0.1% | |
| Vanguard Wellesley Income Fund Admiral Shares 212 | — | — | — | $13K | 0.1% | |
| MSIF Inst Gr I Corporate Stock - Common | — | — | — | $12K | 0.1% | |
| Morgan Stanley Institutional Fund, Inc. Growth Portfolio Class I 220 | — | — | — | $12K | 0.1% | |
| Fid RealEst Indx Corporate Stock - Common | — | — | — | $11K | <0.1% | |
| Fidelity Real Estate Index Fund 696 | — | — | — | $11K | <0.1% | |
| Fidelity Advisor Emerging Asia Fund Class I 226 | — | — | — | $11K | <0.1% | |
| FidAdv Emrg Asia Inst Corporate Stock - Common | — | — | — | $11K | <0.1% | |
| Nuveen Lifecycle Index 2010 Fund Institutional 675 | — | — | — | $11K | <0.1% | |
| BLKRK MDCAP GR EQ INST Corporate Stock - Common | — | — | — | $9K | <0.1% | |
| BlackRock Midcap Growth equity Inst 218 | — | — | — | $9K | <0.1% | |
| MSIF Disc I Corporate Stock - Common | — | — | — | $9K | <0.1% | |
| Morgan Stanley Institutional Fund Trust Discovery Portfolio Class 400 | — | — | — | $9K | <0.1% | |
| MSIF Incptn I Corporate Stock - Common | — | — | — | $9K | <0.1% | |
| Morgan Stanley Institutional Fund, Inc. Inception Portfolio Class I 537 | — | — | — | $9K | <0.1% | |
| TCW mtwst Total Return Bnd Fund -Class I Corporate Stock - Common | — | — | — | $4K | <0.1% | |
| Federated Hermes Government Obligations Fund | — | — | $3K | $3K | <0.1% | |
| Fed Hrms Gov Oblgtns Prmr Corporate Stock - Common | — | — | — | $3K | <0.1% | |
| Fid Govt Mnymkt K6 | — | — | — | $3K | <0.1% | |
| Fidelity Government Money Market Fund | — | — | $3K | $3K | <0.1% | |
| CLVRT INTL EQ I | — | — | — | $2K | <0.1% | |
| Calvert International Equity I 83 | — | — | — | $2K | <0.1% | |
| Macquarie mdcp Gwth Fnd Inst Registered Investments | — | — | — | $1K | <0.1% | |
| Macquarie Mid Cap Growth 44 | — | — | — | $1K | <0.1% |