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Original filing (PDF)20251014143629NAL0003173745001
WINTHROP & WEINSTINE, P.A.
Form 5500
FILING_RECEIVED
WINTHROP & WEINSTINE, P.A. 401K PLAN & TRUST
401(k) retirement plan
Signals · 2
No recordkeeper disclosed6 service providers
Active participants
306
Accounts w/ balance
353
Plan assets (EOY)
$149.2M
Net assets (EOY)
$149.2M
How this plan invests
This plan
11 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.
Decision-maker contacts
CFO / Head of HR / Benefits Manager — verified email + LinkedIn for WINTHROP & WEINSTINE, P.A..
Plan sponsor
Name
WINTHROP & WEINSTINE, P.A.
EIN
41-1722524
Address
225 SOUTH 6TH STREET · SUITE 3500 · MINNEAPOLIS, MN · 55402
Phone
(612) 604-6474
Industry
Law Offices· Professional & Technical Servicessee all
Plan administrator
Same as plan sponsor.
Plan characteristics
Plan number
002
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
2R · Participant-directed brokerage (SDBA)
2S · Automatic enrollment
2T · Default investment account (QDIA)
Audit & trust (Schedule H)
Auditor
BAKER TILLY US LLP
Trustee / custodian
—
Trustee phone
—
Service providers (Schedule C)
6 rowsAdvisor / Consultant
1| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| WILSHIRE ADVISORS LLC | 95-2755361 | — | INVESTMENT ADVISORY | $0 | — |
TPA / Administrator
2| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| PRINCIPAL LIFE INSURANCE COMPANY | 42-0127290 | — | CONTRACT ADMINISTRATOR | $99K | — |
| VIA ACTUARIAL SOLUTIONS | 41-1894458 | — | CONTRACT ADMINISTRATOR | $6K | — |
Accountant / Auditor
1| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| BAKER TILLY US, LLP | 39-0859910 | — | ACCOUNTANT | $12K | — |
Other
2| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| RYAN INVESTMENT MANAGEMENT INC | 84-1603477 | — | INV ADV, PARTICIPANTS | $18K | — |
| CARLSON CAPITAL MANAGEMENT LLC | 47-2510641 | — | INV ADV, PARTICIPANTS | $10K | — |
Investments
36 direct securities · 11 pooled funds· $171.6M(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
$113.6M
35 holdings
Common Collective Trust
$33.8M
11 holdings
Mutual Funds
$24.2M
1 holding
| PI | Investment | Type | Shares / units | Cost | Current value | % of plan |
|---|---|---|---|---|---|---|
| MainStay Funds MainStay Winslow LgCap Gr I Fd NR | Mutual Funds | — | — | $24.2M | 16.2% | |
| PRIN/BR S&P 500 INDEX CIT N SEI TRUST COMPANY · EIN 94-3224211 / PN 001 | Common Collective Trust | — | — | $18.4M | 12.3% | |
| Core Bd CIT TR * SEI Trust Company Common collective trust Prin/BR NR | — | — | — | $18.0M | 12.1% | |
| Self Directed Funds Schwab Funds Self-directed brokerage accounts NR | — | — | — | $17.6M | 11.8% | |
| Company Vanguard Tgt Rmt 2030 Inv Fund Vanguard Group Registered Investment NR | — | — | — | $14.4M | 9.6% | |
| Company Vanguard Tgt Rmt 2040 Inv Fund Vanguard Group Registered Investment NR | — | — | — | $12.7M | 8.5% | |
| Company Vanguard Tgt Rmt 2020 Inv Fund Vanguard Group Registered Investment NR | — | — | — | $8.3M | 5.5% | |
| PRIN/BR S&P MID INDEX CIT N SEI TRUST COMPANY · EIN 52-2265235 / PN 001 | Common Collective Trust | — | — | $7.2M | 4.8% | |
| Sm Cap CIT TR * SEI Trust Company Common collective trust Prin/BR NR | — | — | — | $7.1M | 4.8% | |
| PRIN/MFS VALUE CIT N SEI TRUST COMPANY · EIN 45-6648640 / PN 001 | Common Collective Trust | — | — | $6.0M | 4.0% | |
| S&P 500 Index CIT TR Guaranteed Income Fund * Principal Life Insurance Principal Fixed Income Guaranteed | — | — | — | $5.8M | 3.9% | |
| Company Vanguard Tgt Rmt 2050 Inv Fund Vanguard Group Registered Investment NR | — | — | — | $5.3M | 3.5% | |
| Company Vanguard Tgt Rmt 2070 Inv Fund Fidelity Investments Registered Investment NR | — | — | — | $4.6M | 3.1% | |
| Company Fidelity Adv Div Intl I Fund PIMCO Funds Registered Investment NR | — | — | — | $3.9M | 2.6% | |
| Company PIMCO Total Return Instl Fund The American Funds Registered Investment NR | — | — | — | $3.8M | 2.6% | |
| Company Am Fds EuroPacific Grth R6 Fd Fidelity Investments Registered Investment NR | — | — | — | $2.9M | 1.9% | |
| Company Fidelity Adv Small Cap Gr I Fd Hartford Mutual Funds Registered Investment NR | — | — | — | $1.9M | 1.3% | |
| Touchstone Registered Investment NR | — | — | — | $1.4M | 0.9% | |
| PRIN/BR RUSS 2000 I CIT N SEI TRUST COMPANY · EIN 52-2265233 / PN 001 | Common Collective Trust | — | — | $1.2M | 0.8% | |
| Company Touchstone Mid Cap Val Instl F Delaware Investments Registered Investment NR | — | — | — | $1.1M | 0.8% | |
| Stable Return PNTR * SEI Trust Company Registered Investment NR | — | — | — | $1.1M | 0.7% | |
| Vanguard Group Registered Investment NR | — | — | — | $857K | 0.6% | |
| ALLSPRING CORE BD CIT TR SEI TRUST COMPANY · EIN 94-3222878 / PN 001 | Common Collective Trust | — | — | $408K | 0.3% | |
| Company Option * Participant Loans Interest rates of 4.25% to 9.50% $0 | — | — | — | $401K | 0.3% | |
| Company Acadian Emerging Markets I Common Collective Trust * SEI Trust Company Registered Investment NR | — | — | — | $387K | 0.3% | |
| PRIN/BR AGG BD INDEX CIT TR SEI TRUST COMPANY · EIN 20-5699010 / PN 001 | Common Collective Trust | — | — | $387K | 0.3% | |
| Value CIT TR * SEI Trust Company Common collective trust Prin/BR NR | — | — | — | $378K | 0.3% | |
| Company Delaware SmCap Value I Fund American Funds Service Registered Investment NR | — | — | — | $344K | 0.2% | |
| Company Vanguard Tgt Rmt Inc Inv Fund PIMCO Funds Registered Investment NR | — | — | — | $242K | 0.2% | |
| Company American Funds Europacific Gr Vanguard Group Registered Investment NR | — | — | — | $240K | 0.2% | |
| SEI Trust Company Common Collective Trust Prin/BR NR | — | — | — | $177K | 0.1% | |
| PRIN/BR INTL EQ INDX CIT TR SEI TRUST COMPANY · EIN 52-2265229 / PN 001 | Common Collective Trust | — | — | $177K | 0.1% | |
| Company Vanguard Tgt Rmt 2060 Inv Fund Vanguard Group Registered Investment NR | — | — | — | $129K | <0.1% | |
| Value CIT N * SEI Trust Company Common collective trust Prin/BR NR | — | — | — | $94K | <0.1% | |
| (E) | — | — | — | $94K | <0.1% | |
| Northern Global Real Estate Ix PIMCO Funds Registered Investment NR | — | — | — | $75K | <0.1% | |
| Company PIMCO Real Return/Inst Northern Funds Registered Investment Company NR | — | — | — | $72K | <0.1% | |
| Company PIMCO High Yield I - TR Acadian Funds Registered Investment NR | — | — | — | $61K | <0.1% | |
| S&P 500 Index CIT N * SEI Trust Company Common collective trust Prin/BR NR | — | — | — | $60K | <0.1% | |
| (E) | — | — | $72K | $60K | <0.1% | |
| S&P Mid Index CIT TR * SEI Trust Company Common Collective NR | — | — | — | $41K | <0.1% | |
| PRIN/T.ROWE I LGC GR CIT TR SEI TRUST COMPANY · EIN 45-6648614 / PN 001 | Common Collective Trust | — | — | $41K | <0.1% | |
| S&P Mid Index CIT N * SEI Trust Company Common collective trust Prin/MFS NR | — | — | — | $28K | <0.1% | |
| PRIN/MULTI SM CAP CIT TR SEI TRUST COMPANY · EIN 45-6648658 / PN 001 | Common Collective Trust | — | — | $25K | <0.1% | |
| Company Prin/BR Agg Bd Index CIT TR SEI Trust Company Common collective trust Galliard NR | — | — | — | $14K | <0.1% | |
| GALLIARD STABLE RETURN PNTR SEI TRUST COMPANY · EIN 46-6208187 / PN 001 | Common Collective Trust | — | — | $13K | <0.1% | |
| GALLIARD STABLE RETURN PN SEI TRUST COMPANY · EIN 41-6202499 / PN 001 | Common Collective Trust | — | — | $0 | <0.1% |