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Original filing (PDF)20250916105333NAL0001140019002
9 DOT EDUCATION SOLUTIONS, LLC
Form 5500
FILING_RECEIVED
9DOT 401(K) PLAN
401(k) retirement plan
Signals · 1
6 service providers
Active participants
2,009
Accounts w/ balance
2,104
Plan assets (EOY)
$101.7M
Net assets (EOY)
$101.7M
How this plan invests
This plan
1 pooled trust
Schedule D
32 securities
funds · stocks · CUSIPs
Holdings are itemized directly on this plan's Schedule of Assets, below.
Plan health score (directional)
91
/ 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
100
Knocking points off
- 28 bps in Schedule C fees — 176% above peer band of 10 bps.
Decision-maker contacts
CFO / Head of HR / Benefits Manager — verified email + LinkedIn for 9 DOT EDUCATION SOLUTIONS, LLC.
Plan sponsor
Name
9 DOT EDUCATION SOLUTIONS, LLC
EIN
37-1663300
Address
320 N. HALSTEAD STREET, SUITE 140 · PASADENA, CA · 91107
Phone
(626) 921-8200
Industry
Educational 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
2025-09-16
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)
3H · Sponsor in controlled / affiliated group
Audit & trust (Schedule H)
Auditor
PENSION ASSURANCE LLP
Trustee / custodian
—
Trustee phone
—
Service providers (Schedule C)
6 rowsRecordkeeper
1| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| EMPOWER ANNUITY INSURANCE COMPANY | — | GREENWOOD VILLAGE, CO | RECORDKEEPER | $170K | — |
Advisor / Consultant
1| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| 3 38 INVESTMENT FIDUCIARIES INC | — | SIMI VALLEY, CA | INVESTMENT ADVISOR | $21K | — |
Broker
1| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| KESTRA INVESTMENT SERVICES LLC | — | AUSTIN, TX | BROKER/ADVISER | $0 | — |
TPA / Administrator
1| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| NOVA 401(K) ASSOCIATES | — | HOUSTON, TX | CONTRACT ADMIN | $32K | — |
Other
2| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| EMPOWER ADVISORY GROUP, LLC | — | GREENWOOD VILLAGE, CO | INVESTMENT MGMT | $42K | — |
| PENSION ASSURANCE LLP | — | WOODLAND HILLS, CA | OTHER | $16K | — |
Investments
30 direct securities · 1 pooled fund· $97.6M(96% 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
$96.6M
30 holdings
Common Collective Trust
$963K
1 holding
| PI | Investment | Type | Shares / units | Cost | Current value | % of plan |
|---|---|---|---|---|---|---|
| BlackRock Lifepath Index 2045 K Mutual Fund | — | — | — | $17.5M | 17.2% | |
| Fidelity 500 Index Mutual Fund | — | — | — | $13.0M | 12.8% | |
| BlackRock Lifepath Index 2040 K Mutual Fund | — | — | — | $12.7M | 12.5% | |
| BlackRock Lifepath Index 2050 K Mutual Fund | — | — | — | $7.7M | 7.5% | |
| Key Guaranteed Portfolio Fund Fully Benefit-Responsive Investment Contract | — | — | — | $5.4M | 5.3% | |
| JPMorgan Large Cap Growth Mutual Fund | — | — | — | $4.4M | 4.4% | |
| American Funds Bond Fund of America R6 Mutual Fund | — | — | — | $4.2M | 4.1% | |
| Fidelity Mid Cap Index Mutual Fund | — | — | — | $3.7M | 3.6% | |
| BlackRock Lifepath Index 2035 K Mutual Fund | — | — | — | $3.3M | 3.2% | |
| MFS International Growth R6 Mutual Fund | — | — | — | $3.2M | 3.1% | |
| BlackRock 80/20 Target Allocation Mutual Fund | — | — | — | $3.1M | 3.0% | |
| BlackRock Lifepath Index 2055 K Mutual Fund | — | — | — | $3.1M | 3.0% | |
| ClearBridge Appreciation I Mutual Fund | — | — | — | $2.4M | 2.3% | |
| Fidelity Small Cap Index Mutual Fund | — | — | — | $2.2M | 2.1% | |
| BlackRock Mid-Cap Growth Equity K Mutual Fund | — | — | — | $2.0M | 2.0% | |
| BlackRock Lifepath Index Retirement K Mutual Fund | — | — | — | $1.9M | 1.9% | |
| American Funds Moderate G/I Portfolio R6 Mutual Fund | — | — | — | $1.5M | 1.5% | |
| Templeton Developing Markets R6 Mutual Fund | — | — | — | $1.5M | 1.5% | |
| PUTNAM LARGE CAP VALUE TRUST I PUTNAM INVESTMENTS CIT · EIN 82-3639536 / PN 275 | Common Collective Trust | — | — | $963K | 0.9% | |
| Victory Sycamore Established Value I Mutual Fund | — | — | — | $642K | 0.6% | |
| Cohen & Steers Real Estate Securities Z Mutual Fund | — | — | — | $605K | 0.6% | |
| Fidelity Advisor Strategic Income I Mutual Fund | — | — | — | $575K | 0.6% | |
| American Century Focused Intl GR R6 Mutual Fund | — | — | — | $464K | 0.5% | |
| BlackRock Lifepath Index 2030 K Mutual Fund | — | — | — | $421K | 0.4% | |
| BlackRock Lifepath Index 2060 K Mutual Fund | — | — | — | $387K | 0.4% | |
| MassMutual Small Cap Growth Mutual Fund | — | — | — | $312K | 0.3% | |
| Federated Instl High Yield Bond Instl Mutual Fund | — | — | — | $184K | 0.2% | |
| American Century Government Bond R5 Mutual Fund | — | — | — | $176K | 0.2% | |
| Goldman Sachs Small Cap Value Insights R6 Mutual Fund | — | — | — | $175K | 0.2% | |
| PGIM Jennison Natural Resources Mutual Fund | — | — | — | $64K | <0.1% | |
| BlackRock Lifepath Index 2065 K Mutual Fund | — | — | — | $29K | <0.1% |