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Original filing (PDF)20251008120226NAL0005810497001
SIMPLEX INVESTMENTS, LLC
Form 5500
FILING_RECEIVED
SIMPLEX INVESTMENTS, LLC 401(K) PLAN
401(k) retirement plan
Signals · 1
No recordkeeper disclosed
Active participants
109
Accounts w/ balance
190
Plan assets (EOY)
$43.0M
Net assets (EOY)
$43.0M
How this plan invests
This plan
41 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 (0 bps vs 29 bps peer median).
Decision-maker contacts
CFO / Head of HR / Benefits Manager — verified email + LinkedIn for SIMPLEX INVESTMENTS, LLC.
Plan sponsor
Name
SIMPLEX INVESTMENTS, LLC
EIN
36-4519916
Address
230 S LASALLE ST · SUITE 8-500 · CHICAGO, IL · 60604
Phone
(708) 710-8862
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
2025-10-08
Pension benefit codes
2S · Automatic enrollment
2E · Profit-sharing
2G · Total participant-directed accounts
2J · 401(k) feature
2K · 401(m) arrangement
2F · ERISA section 404(c)
2T · Default investment account (QDIA)
3B · Covers self-employed individuals
Audit & trust (Schedule H)
Auditor
SMITH & HOWARD, PC
Trustee / custodian
—
Trustee phone
—
Service providers (Schedule C)
1 rowsOther
1| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| THE VANGUARD GROUP, INC. | 23-1945930 | — | NONE | $2K | — |
Investments
36 direct securities· $42.8M(100% of reported assets)
| PI | Investment | Type | Shares / units | Cost | Current value | % of plan |
|---|---|---|---|---|---|---|
| Vanguard Target Retirement 2045 Investor Shares | — | — | — | $7.4M | 17.1% | |
| Vanguard Total Stock Market Index Investor Shares | — | — | — | $6.0M | 13.9% | |
| Vanguard Growth Index Investor Shares | — | — | — | $4.1M | 9.4% | |
| Vanguard Target Retirement 2040 Investor Shares | — | — | — | $4.0M | 9.4% | |
| Vanguard Target Retirement 2050 Investor Shares | — | — | — | $4.0M | 9.3% | |
| Vanguard Cash Reserve Federal MM Investor Shares | — | — | — | $1.8M | 4.1% | |
| Vanguard Small-Cap Value Index Investor Shares | — | — | — | $1.7M | 3.9% | |
| Vanguard Target Retirement Income Investor Shares | — | — | — | $1.4M | 3.3% | |
| Vanguard Target Retirement 2055 Investor Shares | — | — | — | $1.4M | 3.2% | |
| Vanguard Value Index Investor Shares | — | — | — | $1.3M | 3.0% | |
| Vanguard Real Estate Index Investor Shares | — | — | — | $1.2M | 2.7% | |
| Vanguard Target Retirement 2035 Investor Shares | — | — | — | $1.1M | 2.5% | |
| Vanguard Target Retirement 2060 Investor Shares | — | — | — | $813K | 1.9% | |
| Vanguard Target Retirement 2030 Investor Shares | — | — | — | $780K | 1.8% | |
| Vanguard Emerging Markets Stock Index Investor Shares | — | — | — | $706K | 1.6% | |
| Vanguard Total International Stock Index Investor Shares | — | — | — | $667K | 1.6% | |
| Vanguard Small-Cap Growth Index Investor Shares | — | — | — | $642K | 1.5% | |
| Vanguard Wellington Investor Shares | — | — | — | $471K | 1.1% | |
| $ * Vanguard Total Bond Market Index Investor Shares | — | — | — | $425K | 1.0% | |
| Vanguard Small-Cap Index Investor Shares | — | — | — | $411K | 1.0% | |
| Vanguard International Value Investor Shares | — | — | — | $405K | 0.9% | |
| Vanguard Short-Term Invest Grade Inv Vanguard 0 | — | — | — | $391K | 0.9% | |
| Vanguard International Explorer Investor Shares | — | — | — | $346K | 0.8% | |
| Vanguard Target Retirement 2025 Investor Shares | — | — | — | $328K | 0.8% | |
| Vanguard Target Retirement 2020 Investor Shares | — | — | — | $296K | 0.7% | |
| Vanguard Inflation-Protected Securities Investor Shares | — | — | — | $207K | 0.5% | |
| Contribution Account Ascensus Trust Company 0 | — | — | — | $173K | 0.4% | |
| Vanguard Target Retirement 2065 Investor Shares | — | — | — | $153K | 0.4% | |
| Vanguard Wellesley Income Investor Shares | — | — | — | $136K | 0.3% | |
| Vanguard Target Retirement 2070 Investor Shares | — | — | — | $88K | 0.2% | |
| Vanguard Interim-Term Investment Grade Investor Shares | — | — | — | $71K | 0.2% | |
| Vanguard Short-Term Treasury Investor Shares | — | — | — | $44K | 0.1% | |
| Vanguard Interim-Term Treasury Investor Shares | — | — | — | $29K | <0.1% | |
| (1) X This form is filed for a CCT, PSA, or MTIA. | — | — | — | $3K | <0.1% | |
| performed pursuant to both 29 CFR 2520.103-8 and 29 CFR 2520.103-12(d). Check box (3) if pursuant to neither. | — | — | $3K | $3K | <0.1% | |
| Yes No Amount a | — | — | — | $3K | <0.1% |
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