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Original filing (PDF)20251014050934NAL0001037795001
SOVEREIGN BRANDS LLC
Form 5500
FILING_RECEIVED
SOVEREIGN BRANDS LLC 401K PLAN
401(k) retirement plan
Active participants
133
Accounts w/ balance
140
Plan assets (EOY)
$7.2M
Net assets (EOY)
$7.2M
How this plan invests
This plan
4 pooled trusts
Schedule D
28 securities
funds · stocks · CUSIPs
Holdings are itemized directly on this plan's Schedule of Assets, below.
Plan health score (directional)
100
/ 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
100
Vendor stack
100
Participation health
100
Helping the score
- Below-peer total fees (28 bps vs 52 bps peer median).
Decision-maker contacts
CFO / Head of HR / Benefits Manager — verified email + LinkedIn for SOVEREIGN BRANDS LLC.
Plan sponsor
Name
SOVEREIGN BRANDS LLC
EIN
36-4411741
Address
383 W BROADWAY · 5TH FLOOR · NEW YORK, NY · 10012
Phone
(212) 343-8366
Industry
Wholesale Tradesee 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
2S · Automatic enrollment
2T · Default investment account (QDIA)
3D · Pre-approved plan (master / prototype / VS)
Audit & trust (Schedule H)
Auditor
CLIFTONLARSONALLEN 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 | $2K | — |
Other
1| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| MORGAN STANLEY SMITH BARNEY | 20-8764829 | — | INVESTMENT/FINANCIAL ADVI | $18K | — |
Investments
24 direct securities · 4 pooled funds· $7.1M(99% 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
$5.9M
24 holdings
Common Collective Trust
$1.3M
4 holdings
| PI | Investment | Type | Shares / units | Cost | Current value | % of plan |
|---|---|---|---|---|---|---|
| AMERFUNDS 2040 TARG DATERET R6 | Registered Investment Companies | — | — | $1.3M | 18.6% | |
| AMERICAN FUNDS 2055 TARGET R6 | Registered Investment Companies | — | — | $1.3M | 17.9% | |
| STATE ST S&P 500 IDX NLS C STATE STREET BANK & TRUST CO · EIN 04-0025081 / PN 085 | Common Collective Trust | — | — | $1.2M | 16.5% | |
| AMERFUNDS 2050 TARG DATERET R6 | Registered Investment Companies | — | — | $684K | 9.5% | |
| AMERFUNDS 2045 TARG DATERET R6 | Registered Investment Companies | — | — | $621K | 8.6% | |
| JPMORGAN LARGE CAP GROWTH R6 | Registered Investment Companies | — | — | $581K | 8.0% | |
| GOLDMAN SACHS MCV R6 | Registered Investment Companies | — | — | $217K | 3.0% | |
| AMERFUNDS 2030 TARG DATERET R6 | Registered Investment Companies | — | — | $208K | 2.9% | |
| CARILLON EAGLE MID CAP GRTH R6 | Registered Investment Companies | — | — | $206K | 2.9% | |
| ISHARES RUSSELL 2000 SM CAP K | Registered Investment Companies | — | — | $169K | 2.3% | |
| MFS INTL DIVERSIFICATION R6 | Registered Investment Companies | — | — | $114K | 1.6% | |
| AMERFUNDS 2035 TARG DATERET R6 | Registered Investment Companies | — | — | $107K | 1.5% | |
| MFS INTL INTRINSIC VALUE R6 | Registered Investment Companies | — | — | $72K | 1.0% | |
| AMERFUNDS 2060 TARG DATERET R6 | Registered Investment Companies | — | — | $57K | 0.8% | |
| MFS INTERNATIONAL GROWTH R6 | Registered Investment Companies | — | — | $53K | 0.7% | |
| STATE ST S&P MD CP IDX NL C STATE STREET BANK & TRUST CO · EIN 90-0337987 / PN 176 | Common Collective Trust | — | — | $45K | 0.6% | |
| AMERFUNDS 2025 TARG DATERET R6 | Registered Investment Companies | — | — | $40K | 0.6% | |
| ALS SMALL COMPANY VAL R6 | Registered Investment Companies | — | — | $24K | 0.3% | |
| INVESCO STABLE ASSET - ADPZ INVESCO TRUST COMPANY · EIN 27-3884161 / PN 001 | Common Collective Trust | — | — | $22K | 0.3% | |
| LOOMIS SAYLES INV GRADE BOND N | Registered Investment Companies | — | — | $16K | 0.2% | |
| BLACKROCK HIGH YIELD K | Registered Investment Companies | — | — | $15K | 0.2% | |
| INVESCO COMSTOCK FUND - R6 | Registered Investment Companies | — | — | $13K | 0.2% | |
| ISHARES MSCI EAFE INTL INDEX K | Registered Investment Companies | — | — | $9K | 0.1% | |
| STATE ST REIT IDX NLS C STATE STREET BANK & TRUST CO · EIN 90-0337987 / PN 359 | Common Collective Trust | — | — | $9K | 0.1% | |
| AMERFUNDS 2065 TARG DATERET R6 | Registered Investment Companies | — | — | $8K | 0.1% | |
| NEUBERGER BERMAN STRAT INC R6 | Registered Investment Companies | — | — | $8K | 0.1% | |
| AMERFUNDS 2015 TARG DATERET R6 | Registered Investment Companies | — | — | $6K | <0.1% | |
| AMERICAN FUNDS NEW WORLD R6 | Registered Investment Companies | — | — | $2K | <0.1% |
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