Back to filter
Original filing (PDF)20251105141035NAL0005596259001
GUGGENHEIM SERVICES, LLC
Form 5500
FILING_RECEIVED
GUGGENHEIM SERVICES RETIREMENT SAVINGS PLAN
401(k) retirement plan
Signals · 1
No recordkeeper disclosed
Active participants
2,085
Accounts w/ balance
3,478
Plan assets (EOY)
$703.5M
Net assets (EOY)
$703.5M
How this plan invests
This plan
8 pooled trusts
Schedule D
39 securities
funds · stocks · CUSIPs
Holdings are itemized directly on this plan's Schedule of Assets, below.
Plan health score (directional)
98
/ 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
80
Participation health
100
Knocking points off
- No recordkeeper disclosed on Schedule C.
Helping the score
- Below-peer total fees (4 bps vs 6 bps peer median).
Decision-maker contacts
CFO / Head of HR / Benefits Manager — verified email + LinkedIn for GUGGENHEIM SERVICES, LLC.
Plan sponsor
Name
GUGGENHEIM SERVICES, LLC
EIN
36-4464896
Address
227 WEST MONROE · SUITE 4900 · CHICAGO, IL · 60606
Phone
(312) 827-0109
Industry
Finance & Insurancesee 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
2025-11-05
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
2R · Participant-directed brokerage (SDBA)
2S · Automatic enrollment
2T · Default investment account (QDIA)
3B · Covers self-employed individuals
3D · Pre-approved plan (master / prototype / VS)
3H · Sponsor in controlled / affiliated group
Audit & trust (Schedule H)
Auditor
MITCHELL & TITUS LLP
Trustee / custodian
—
Trustee phone
—
Service providers (Schedule C)
5 rowsOther
5| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| SCHWAB RETIREMENT PLAN SERVICES,INC | 34-1479833 | — | NONE | $220K | — |
| MITCHELL & TITUS, LLP | 13-2781641 | — | NONE | $38K | — |
| JMG FINANCIAL GROUP LTD | 36-3275370 | — | NONE | $15K | — |
| FRANKLIN STREET ADVISROS INC | 56-1749652 | — | NONE | $8K | — |
| CHARLES SCHWAB & CO., INC. | 94-1737782 | — | NONE | $4K | — |
Investments
24 direct securities · 8 pooled funds· $745.0M(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
$572.9M
23 holdings
Common Collective Trust
$172.1M
8 holdings
Real Estate
$27K
1 holding
| PI | Investment | Type | Shares / units | Cost | Current value | % of plan |
|---|---|---|---|---|---|---|
| Vanguard Institutional Index I Mutual funds | — | — | $384K | $183.8M | 26.1% | |
| PCRA Self-Directed Brokerage Account | — | — | — | $87.1M | 12.4% | |
| SCHWAB MANAGED RET TR FUND 2050 CHARLES SCHWAB TRUST BANK · EIN 81-0625169 / PN 010 | Common Collective Trust | — | $1.5M | $48.7M | 6.9% | |
| SCHWAB MANAGED RET TR FUND 2040 CHARLES SCHWAB TRUST BANK · EIN 81-0625169 / PN 004 | Common Collective Trust | — | $757K | $43.4M | 6.2% | |
| Polen Growth Institutional Mutual funds | — | — | $792K | $37.2M | 5.3% | |
| SCHWAB MANAGED RET TR FUND 2060 CHARLES SCHWAB TRUST BANK · EIN 81-0625169 / PN 022 | Common Collective Trust | — | $1.5M | $35.0M | 5.0% | |
| SCHWAB MANAGED RET TR FUND 2030 CHARLES SCHWAB TRUST BANK · EIN 81-0625169 / PN 003 | Common Collective Trust | — | $538K | $27.2M | 3.9% | |
| Eaton Vance Atlanta Capital SMID -Cap Fund R6 Mutual funds | — | — | $629K | $26.4M | 3.8% | |
| Unit investment trusts | — | — | $418K | $25.9M | 3.7% | |
| JP MORGAN CORE BOND R6 Registered Investment Company | — | — | $2.3M | $23.5M | 3.3% | |
| Harbor Small Cap Value Fund Retirement Class Mutual funds | — | — | $521K | $22.2M | 3.2% | |
| JOHN HANCOCK INCOME R6 Registered Investment Company | — | — | — | $21.4M | 3.0% | |
| JHancock Income R6 Mutual funds | — | — | $3.7M | $21.4M | 3.0% | |
| Vanguard Federal Money Market Investor Cash and cash equivalent - | — | — | — | $21.2M | 3.0% | |
| Harbor Large Cap Value Fund Retirement Class Mutual funds | — | — | $951K | $20.4M | 2.9% | |
| Vanguard Total International Stock Index Fund Signal Shares Mutual funds | — | — | $149K | $18.8M | 2.7% | |
| William Blair Small-Mid Cap Growth Fund Class N Mutual funds | — | — | $433K | $12.2M | 1.7% | |
| BNY Mellon International Stock Fund Class Y Mutual funds | — | — | $528K | $11.9M | 1.7% | |
| Delaware Emerging Markets Fund Class R6 Mutual funds | — | — | $526K | $10.7M | 1.5% | |
| FEDERATED CAPITAL PRESERVATION FUND FEDERATED INVESTORS TRUST COMPANY · EIN 22-2712853 / PN 001 | Common Collective Trust | — | $958K | $9.6M | 1.4% | |
| PRINCIPAL GLOBAL RS SEC R6 Registered Investment Company | — | — | $785K | $7.2M | 1.0% | |
| SCHWAB MANAGED RET TR FUND 2020 CHARLES SCHWAB TRUST BANK · EIN 81-0625169 / PN 002 | Common Collective Trust | — | $157K | $6.3M | 0.9% | |
| Causeway International Value Fund Class Investor Mutual funds | — | — | $330K | $6.1M | 0.9% | |
| Victory Integrity Small-Cap Value Fund Class R6 Mutual funds | — | — | $172K | $5.4M | 0.8% | |
| William Blair International Small Cap Growth Fund Class R6 Mutual funds | — | — | $306K | $3.8M | 0.5% | |
| maturing October 16, 2023 through January 9, 2041 | — | — | — | $2.7M | 0.4% | |
| PARTICIPANT LOANS (4.11% - 10.50%) | — | — | — | $2.7M | 0.4% | |
| SCHWAB MANAGED RET TR FUND - INCOME CHARLES SCHWAB TRUST BANK · EIN 81-0625169 / PN 005 | Common Collective Trust | — | $62K | $1.4M | 0.2% | |
| Government and Agency Obligations | — | — | $930K | $905K | 0.1% | |
| SCHWAB MANAGED RET TR FUND 2010 CHARLES SCHWAB TRUST BANK · EIN 81-0625169 / PN 001 | Common Collective Trust | — | $13K | $446K | <0.1% | |
| investment trust (REIT) - | Real Estate | — | — | $27K | <0.1% | |
| Limited Partnerships | — | — | $3K | $10K | <0.1% |