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Original filing (PDF)20251015120930NAL0009504306001
LEGACY HEALTHCARE FINANCIAL SERVICES, LLC
Form 5500
FILING_RECEIVED
LEGACY HEALTHCARE 401(K) RETIREMENT PLAN
401(k) retirement plan
Active participants
6,840
Accounts w/ balance
4,518
Plan assets (EOY)
$104.8M
Net assets (EOY)
$104.8M
How this plan invests
This plan
22 pooled trusts
Schedule D
37 securities
funds · stocks · CUSIPs
Holdings are itemized directly on this plan's Schedule of Assets, below.
Plan health score (directional)
88
/ 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
80
Knocking points off
- 29 bps in Schedule C fees — 190% above peer band of 10 bps.
- 66% balance-to-active ratio — below typical for a healthy 401(k).
Decision-maker contacts
CFO / Head of HR / Benefits Manager — verified email + LinkedIn for LEGACY HEALTHCARE FINANCIAL SERVICES, LLC.
Plan sponsor
Name
LEGACY HEALTHCARE FINANCIAL SERVICES, LLC
EIN
36-3151856
Address
3450 OAKTON STREET · SKOKIE, IL · 60076
Phone
(847) 679-9797
Industry
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
2025-10-15
Pension benefit codes
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)
Audit & trust (Schedule H)
Auditor
SMITH & HOWARD, PC
Trustee / custodian
—
Trustee phone
—
Service providers (Schedule C)
5 rowsRecordkeeper
1| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| GREAT WEST LIFE & ANNUITY INSURANCE | 84-0467907 | GREENWOOD VILLAGE, CO | RECORDKEEPER | $133K | — |
Advisor / Consultant
1| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| ONE DIGITAL INVESTMENTS | — | DALLAS, TX | INVESTMENT ADVISOR | $146K | — |
TPA / Administrator
1| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| MARQUIS PENSION, LLC | — | RIDGEFIELD, CT | THIRD PARTY ADMIN | $8K | — |
Accountant / Auditor
1| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| JAMES MOYNA | — | LIBERTYVILLE, IL | AUDITOR | $11K | — |
Other
1| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| SMITH & HOWARD PC | — | ATLANTA, GA | OTHER | $6K | — |
Investments
18 direct securities · 22 pooled funds· $105.3M(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.
Common Collective Trust
$77.0M
22 holdings
Uncategorized
$28.3M
18 holdings
| PI | Investment | Type | Shares / units | Cost | Current value | % of plan |
|---|---|---|---|---|---|---|
| SSGA S&P 500 INDEX NL SER N STATE STREET GLOBAL ADVISORS COLLECTIVE TRUSTS · EIN 90-0337987 / PN 306 | Common Collective Trust | — | — | $16.4M | 15.7% | |
| PUTNAM RETIREMENT ADV TRUST 2050 X PUTNAM INVESTMENTS · EIN 26-0787670 / PN 258 | Common Collective Trust | — | — | $14.3M | 13.7% | |
| CORE PLUS BOND FUND FEE CLASS R1 GREAT GRAY · EIN 38-4116854 / PN 515 | Common Collective Trust | — | — | $11.5M | 10.9% | |
| STATE ST INTL INDX NL CL C STATE STREET GLOBAL ADVISORS COLLECTIVE TRUSTS · EIN 90-0337987 / PN 654 | Common Collective Trust | — | — | $8.1M | 7.8% | |
| Great-West Key Guaranteed Portfolio Fund | — | — | — | $7.5M | 7.1% | |
| PUTNAM RETIREMENT ADV TRST 2055 X PUTNAM INVESTMENTS CIT · EIN 26-0787670 / PN 272 | Common Collective Trust | — | — | $5.8M | 5.6% | |
| Fidelity Mid Cap Index | — | — | — | $4.4M | 4.2% | |
| Pimco Real Return Instl | — | — | — | $3.1M | 3.0% | |
| PUTNAM RET ADVANTAGE TRST 2030 X PUTNAM INVESTMENTS CIT · EIN 26-0788040 / PN 262 | Common Collective Trust | — | — | $3.1M | 3.0% | |
| PUTNAM RET ADVANTAGE TRST 2035 X PUTNAM INVESTMENTS CIT · EIN 26-0787945 / PN 261 | Common Collective Trust | — | — | $2.8M | 2.7% | |
| PUTNAM RETIREMENT ADV TRST 2045 X PUTNAM INVESTMENTS CIT · EIN 26-1208510 / PN 259 | Common Collective Trust | — | — | $2.7M | 2.5% | |
| PUTNAM RETIREMENT ADV TRST 2025 X PUTNAM INVESTMENTS CIT · EIN 26-0788428 / PN 268 | Common Collective Trust | — | — | $2.5M | 2.4% | |
| American Century Emerging Markets R6 | — | — | — | $2.5M | 2.4% | |
| PUTNAM RETIREMENT ADV TRST 2060 X PUTNAM INVESTMENTS CIT · EIN 27-3616920 / PN 273 | Common Collective Trust | — | — | $2.5M | 2.4% | |
| Participant Loans Interest rates range from 4.00% to 9.50% - | — | — | — | $2.0M | 2.0% | |
| SSGA RUSSELL SMLL CAP INDEX FD CL 1 STATE STREET GLOBAL ADVISORS COLLECTIVE TRUSTS · EIN 90-0337987 / PN 000 | Common Collective Trust | — | — | $1.9M | 1.8% | |
| Fidelity Real Estate Index Institutional | — | — | — | $1.6M | 1.5% | |
| PUTNAM RETIREMENT ADV TRST 2065 X PUTNAM INVESTMENTS CIT · EIN 85-3582370 / PN 274 | Common Collective Trust | — | — | $1.5M | 1.4% | |
| Allspring Short-Term Bond Plus Inst | — | — | — | $1.3M | 1.3% | |
| Pimco Income Instl | — | — | — | $1.3M | 1.3% | |
| PUTNAM RETIREMENT ADV TRST 2040 X PUTNAM INVESTMENTS · EIN 26-1384398 / PN 260 | Common Collective Trust | — | — | $1.3M | 1.2% | |
| T. Rowe Price U.S. Equity Research | — | — | — | $1.2M | 1.1% | |
| Wilmington Trust International Growth Fund II Fee R1 | — | — | — | $716K | 0.7% | |
| INTERNATIONAL STOCK R1 GREAT GRAY · EIN 82-2436292 / PN 342 | Common Collective Trust | — | — | $603K | 0.6% | |
| Wilmington Trust Large Cap Growth Fund IV Fee Class R1 | — | — | — | $570K | 0.5% | |
| LRGE CAP GRWTH FUND IV FEE CLASS R1 GREAT GRAY · EIN 38-7289851 / PN 001 | Common Collective Trust | — | — | $570K | 0.5% | |
| Fidelity Advisor Semiconductors | — | — | — | $453K | 0.4% | |
| LARGE CAP VALUE FUND CLASS R1 GREAT GRAY · EIN 38-4065326 / PN 420 | Common Collective Trust | — | — | $436K | 0.4% | |
| Blackrock High Yield Bond Portfolio K | — | — | — | $431K | 0.4% | |
| BNY Mellon Global Fixed Income I | — | — | — | $411K | 0.4% | |
| PGIM Global Real Estate R6 | — | — | — | $395K | 0.4% | |
| PUTNAM RETIREMENT ADV TRST MAT X PUTNAM INVESTMENTS · EIN 26-0788428 / PN 268 | Common Collective Trust | — | — | $313K | 0.3% | |
| MID CAP GROWTH FUND FEE CLASS R1 GREAT GRAY · EIN 38-4126247 / PN 549 | Common Collective Trust | — | — | $305K | 0.3% | |
| SMALL CAP GRWTH FND II FEE CLASS R GREAT GRAY · EIN 38-4126288 / PN 000 | Common Collective Trust | — | — | $146K | 0.1% | |
| Wilmington Trust Large Cap Growth Fund II Fee Class R1 | — | — | — | $142K | 0.1% | |
| SMALL CAP VALUE FUND II FEE CLASS R GRAY · EIN 38-4126250 / PN 000 | Common Collective Trust | — | — | $125K | 0.1% | |
| MFS Value R6 | — | — | — | $96K | <0.1% | |
| Allspring Special Mid Cap Value R6 | — | — | — | $84K | <0.1% | |
| LARGE CAP GROWTH FUND CLASS R1 GREAT GRAY · EIN 82-4435820 / PN 320 | Common Collective Trust | — | — | $0 | <0.1% | |
| INTERNATIONAL GROWTH FUND II FEE R GREAT GRAY · EIN 38-4139842 / PN 000 | Common Collective Trust | — | — | $0 | <0.1% |