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Original filing (PDF)20251007133134NAL0004636929001
DAVE JONES, LLC.
Form 5500
FILING_RECEIVED
DAVE JONES, LLC 401(K) PLAN
401(k) retirement plan
Signals · 1
25% in single holding
Active participants
604
Accounts w/ balance
709
Plan assets (EOY)
$37.5M
Net assets (EOY)
$37.5M
How this plan invests
This plan
1 pooled trust
Schedule D
39 securities
funds · stocks · CUSIPs
Holdings are itemized directly on this plan's Schedule of Assets, below.
Plan health score (directional)
92
/ 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
87
Total plan cost
80
Vendor stack
100
Participation health
100
Knocking points off
- Top holding "American Funds American Funds 2045 Target Date Retire N/R" is 25% of plan.
- 43 bps in Schedule C fees — modestly above peer band of 29 bps.
Decision-maker contacts
CFO / Head of HR / Benefits Manager — verified email + LinkedIn for DAVE JONES, LLC..
Plan sponsor
Name
DAVE JONES, LLC.
EIN
39-1331145
Address
2225 KILGUST RD · MADISON, WI · 53713
Phone
(608) 222-8490
Industry
Plumbing, Heating, AC Contractors· Constructionsee 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
2025-10-07
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
BAKER TILLY US, LLP
Trustee / custodian
—
Trustee phone
—
Service providers (Schedule C)
5 rowsRecordkeeper
1| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| EMPOWER ANNUITY INSURANCE COMPANY | — | GREENWOOD VILLAGE, CO | RECORDKEEPER | $92K | — |
Advisor / Consultant
1| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| FIRST BUSINESS BANK | — | MADISON, WI | INVESTMENT ADVISOR | $60K | — |
Other
3| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| EMPOWER ADVISORY GROUP, LLC | — | GREENWOOD VILLAGE, CO | INVESTMENT MGMT | $10K | — |
| EMPOWER FINANCIAL SERVICES, INC. | — | GREENWOOD VILLAGE, CO | — | $119 | — |
| EMPOWER FINANCIAL SERVICES, INC. | — | GREENWOOD VILLAGE, CO | — | $0 | — |
Investments
39 direct securities · 1 pooled fund· $37.6M(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
$37.4M
38 holdings
Common Collective Trust
$171K
1 holding
Mutual Funds
$56K
1 holding
| PI | Investment | Type | Shares / units | Cost | Current value | % of plan |
|---|---|---|---|---|---|---|
| American Funds American Funds 2045 Target Date Retire N/R | — | — | — | $9.5M | 25.3% | |
| American Funds American Funds 2055 Target Date Retire N/R | — | — | — | $2.7M | 7.1% | |
| Vanguard Growth Index Adm N/R | — | — | — | $2.3M | 6.2% | |
| American Funds American Funds 2035 Target Date Retire N/R | — | — | — | $2.3M | 6.2% | |
| Vanguard Mid-Cap Index Adm N/R | — | — | — | $2.2M | 5.8% | |
| Goldman Sachs Goldman Sachs LG Cap Gr Insights Instl N/R | — | — | — | $1.9M | 5.1% | |
| Vanguard Value Index Adm N/R | — | — | — | $1.8M | 4.8% | |
| American Funds American Funds 2065 Target Date Retire N/R | — | — | — | $1.6M | 4.4% | |
| JP Morgan JP Morgan Equity Income R6 N/R | — | — | — | $1.4M | 3.8% | |
| American Funds Euro Pacific Growth Fund R5 N/R | — | — | — | $1.1M | 2.9% | |
| Baird Core Plus Bond Fund Institutional Class N/R | — | — | — | $913K | 2.4% | |
| TCW MetWest TCW MetWest Total Return Bond Fund Plan Class N/R | — | — | — | $868K | 2.3% | |
| American Funds American Funds 2050 Target Date Retire N/R | — | — | — | $857K | 2.3% | |
| Vanguard 500 Index Admiral N/R | — | — | — | $763K | 2.0% | |
| DFA Emerging Markets Core Equity N/R | — | — | — | $757K | 2.0% | |
| DFA International Value Fund N/R | — | — | — | $751K | 2.0% | |
| Goldman Sachs Goldman Sachs Small CP Val Insights R6 N/R | — | — | — | $745K | 2.0% | |
| T. Rowe Price New Horizons Fund N/R | — | — | — | $703K | 1.9% | |
| American Funds American Funds 2060 Target Date Retire N/R | — | — | — | $663K | 1.8% | |
| Vanguard Explorer Adm N/R | — | — | — | $560K | 1.5% | |
| Participant Loans * Participant Loans Interest rates: 4.25-9.50% $0 | — | — | — | $379K | 1.0% | |
| American Funds American Funds 2025 Target Date Retire N/R | — | — | — | $306K | 0.8% | |
| Fidelity Advisor Equity Growth Institutional Class N/R | — | — | — | $279K | 0.7% | |
| American Funds American Funds 2040 Target Date Retire N/R | — | — | — | $270K | 0.7% | |
| Vanguard Short-Term Bond Index Adm N/R | — | — | — | $270K | 0.7% | |
| American Funds American Funds 2030 Target Date Retire N/R | — | — | — | $235K | 0.6% | |
| Vanguard Intermediate Term Bond Index Adm N/R | — | — | — | $199K | 0.5% | |
| Collective Trust Fund Federated Capital Preservation Fund N/R | — | — | — | $171K | 0.5% | |
| FEDERATED HERMES CAPITL PRESV ISP FEDERATED INVESTORS · EIN 22-2712853 / PN 001 | Common Collective Trust | — | — | $171K | 0.5% | |
| Vanguard Health Care Adm N/R | — | — | — | $159K | 0.4% | |
| DFA Real Estate Securities I N/R | — | — | — | $144K | 0.4% | |
| Dodge & Cox Income Fund N/R | — | — | — | $132K | 0.4% | |
| Vanguard Small Cap Index Admiral N/R | — | — | — | $96K | 0.3% | |
| American Funds Capital World Bond R5 N/R | — | — | — | $90K | 0.2% | |
| Eaton Vance Parametric Commodity Strategy Fund I N/R | — | — | — | $79K | 0.2% | |
| Voya Financial High Yield Bond R6 N/R | — | — | — | $76K | 0.2% | |
| American Funds American Funds 2015 Target Date Retire N/R | Mutual Funds | — | — | $56K | 0.2% | |
| MFS Mid Cap Value R6 N/R | — | — | — | $28K | <0.1% | |
| American Funds American Funds 2020 Target Date Retire N/R | — | — | — | $11K | <0.1% | |
| Self-Directed Brokerage Account Brokerage, Self Directed N/R | — | — | — | $3K | <0.1% |
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