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Original filing (PDF)20251014102727NAL0002624113001
TRADING TECHNOLOGIES INTERNATIONAL, INC.
Form 5500
FILING_RECEIVED
TRADING TECHNOLOGIES 401(K) PLAN
401(k) retirement plan
Signals · 1
No recordkeeper disclosed
Active participants
223
Accounts w/ balance
329
Plan assets (EOY)
$70.3M
Net assets (EOY)
$70.3M
How this plan invests
This plan
10 pooled trusts
Schedule D
38 securities
funds · stocks · CUSIPs
Holdings are itemized directly on this plan's Schedule of Assets, below.
Plan health score (directional)
93
/ 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
80
Vendor stack
80
Participation health
100
Knocking points off
- 23 bps in Schedule C fees — modestly above peer band of 16 bps.
- No recordkeeper disclosed on Schedule C.
Decision-maker contacts
CFO / Head of HR / Benefits Manager — verified email + LinkedIn for TRADING TECHNOLOGIES INTERNATIONAL, INC..
Plan sponsor
Name
TRADING TECHNOLOGIES INTERNATIONAL, INC.
EIN
36-4102699
Address
1 S WACKER DR. · SUITE 1200 · CHICAGO, IL · 606064699
Phone
(312) 698-6376
Industry
All Other Professional Services· 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
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)
3D · Pre-approved plan (master / prototype / VS)
Audit & trust (Schedule H)
Auditor
JOHNSON, PETEREK & HOWSE, LLC
Trustee / custodian
—
Trustee phone
—
Service providers (Schedule C)
3 rowsAdvisor / Consultant
1| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| CREATIVE PLANNING, LLC | 43-1270780 | — | INVESTMENT ADVISORY | $50K | — |
TPA / Administrator
1| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| PRINCIPAL LIFE INSURANCE COMPANY | 42-0127290 | — | CONTRACT ADMINISTRATOR | $112K | — |
Other
1| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| CREATIVE PLANNING, LLC | 84-4519624 | — | INV ADV, PARTICIPANTS | $0 | — |
Investments
30 direct securities · 10 pooled funds· $82.8M(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
$54.4M
30 holdings
Common Collective Trust
$14.4M
6 holdings
Pooled Separate Account
$14.0M
4 holdings
| PI | Investment | Type | Shares / units | Cost | Current value | % of plan |
|---|---|---|---|---|---|---|
| Fidelity Investments Fidelity 500 Index Fund | — | — | — | $14.2M | 20.2% | |
| Principal Life Insurance Company LargeCap S&P 500 Index Separate Account NE | — | — | — | $9.5M | 13.5% | |
| PRIN LGCP S&P 500 IDX SA-NE PRINCIPAL LIFE INSURANCE COMPANY · EIN 42-0127290 / PN 016 | Pooled Separate Account | — | — | $9.5M | 13.5% | |
| Fidelity Investments Fidelity Extended Market Index Fund | — | — | — | $3.2M | 4.6% | |
| Schwab Funds Ameritrade SDB Account | — | — | — | $3.2M | 4.6% | |
| STATE ST WD DV EX US IDX II FD STATE STREET BANK AND TRUST COMPANY · EIN 04-0025081 / PN 034 | Common Collective Trust | — | — | $3.0M | 4.3% | |
| Great Gray Trust Company AB US Large Cap Growth CIT (W Series) Class L | — | — | — | $2.9M | 4.2% | |
| AB US LG CP GTH CIT W SRS CL L GREAT GRAY TRUST COMPANY · EIN 38-4116831 / PN 509 | Common Collective Trust | — | — | $2.9M | 4.2% | |
| PUTNAM STABLE VALUE FUND (15) PUTNAM FIDUCIARY TRUST COMPANY · EIN 04-3159710 / PN 202 | Common Collective Trust | — | — | $2.9M | 4.1% | |
| STATE STREET US BD ID SL XIV STATE STREET BANK AND TRUST COMPANY · EIN 90-0337987 / PN 477 | Common Collective Trust | — | — | $2.3M | 3.2% | |
| Janus Capital Management LLC Janus Henderson Enterprise N Fund | — | — | — | $2.2M | 3.1% | |
| T. Rowe Price T. Rowe Price Retirement 2040 I Fund | — | — | — | $2.0M | 2.8% | |
| T. Rowe Price T. Rowe Price Retirement 2030 I Fund | — | — | — | $1.8M | 2.6% | |
| PRIN MIDCAP S&P 400 IDX SA-NE PRINCIPAL LIFE INSURANCE COMPANY · EIN 42-0127290 / PN 023 | Pooled Separate Account | — | — | $1.8M | 2.6% | |
| STATE STREET EM IDX SL II FD STATE STREET GLOBAL ADVISORS · EIN 32-6528132 / PN 035 | Common Collective Trust | — | — | $1.7M | 2.4% | |
| T. Rowe Price T. Rowe Price Retirement 2050 I Fund | — | — | — | $1.6M | 2.3% | |
| STABLE VALUE FIXED INCOME CIT ALTA TRUST COMPANY · EIN 88-2465398 / PN 001 | Common Collective Trust | — | — | $1.6M | 2.3% | |
| The American Funds American Funds EuroPacific Growth R6 Fund | — | — | — | $1.6M | 2.2% | |
| PRIN SMCAP S&P 600 INDEX SA-NE PRINCIPAL LIFE INSURANCE COMPANY · EIN 42-0127290 / PN 028 | Pooled Separate Account | — | — | $1.6M | 2.2% | |
| The American Funds American Funds Capital World Growth & Income R6 Fund | — | — | — | $1.4M | 2.0% | |
| Fidelity Investments Fidelity Total International Index Fund | — | — | — | $1.4M | 2.0% | |
| T. Rowe Price T. Rowe Price Retirement 2055 I Fund | — | — | — | $1.3M | 1.8% | |
| Delaware Funds Delaware Small Cap Value R6 Fund | — | — | — | $1.2M | 1.7% | |
| PRIN EQUITY INCOME SA-Z PRINCIPAL LIFE INSURANCE COMPANY · EIN 42-0127290 / PN 120 | Pooled Separate Account | — | — | $1.1M | 1.6% | |
| T. Rowe Price T. Rowe Price Retirement 2045 I Fund | — | — | — | $1.1M | 1.5% | |
| Nuveen Investments Nuveen Real Estate Securities R6 Fund | — | — | — | $890K | 1.3% | |
| JPMorgan Mid Cap Value L Fund | — | — | — | $709K | 1.0% | |
| Dodge & Cox Dodge & Cox Income X Fund | — | — | — | $672K | 1.0% | |
| Fidelity Investments Fidelity US Bond Index Fund | — | — | — | $665K | 0.9% | |
| Principal Funds, Inc. Principal High Yield R6 Fund | — | — | — | $621K | 0.9% | |
| T. Rowe Price T. Rowe Price Retirement 2035 I Fund | — | — | — | $612K | 0.9% | |
| JPMorgan Small Cap Growth R6 Fund | — | — | — | $574K | 0.8% | |
| T. Rowe Price T. Rowe Price Retirement 2025 I Fund | — | — | — | $304K | 0.4% | |
| T. Rowe Price T. Rowe Price Retirement 2060 I Fund | — | — | — | $226K | 0.3% | |
| T. Rowe Price T. Rowe Price Retirement 2020 I Fund | — | — | — | $134K | 0.2% | |
| PIMCO All Asset Institutional Fund | — | — | — | $118K | 0.2% | |
| (E) | — | — | — | $78K | 0.1% | |
| T. Rowe Price T. Rowe Price Retirement 2010 I Fund | — | — | — | $78K | 0.1% | |
| Participant Loans 2029) | — | — | — | $56K | <0.1% | |
| T. Rowe Price T. Rowe Price Retirement 2065 I Fund | — | — | — | $14K | <0.1% |
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