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Original filing (PDF)20251008180218NAL0014002562001
WHITEBOX ADVISORS, LLC
Form 5500
FILING_RECEIVED
WHITEBOX ADVISORS, LLC 401(K) PLAN
401(k) retirement plan
Signals · 1
100% in single holding
Active participants
57
Accounts w/ balance
107
Plan assets (EOY)
$35.9M
Net assets (EOY)
$35.9M
How this plan invests
This plan
1 pooled trust
Schedule D
1 securities
funds · stocks · CUSIPs
Holdings are itemized directly on this plan's Schedule of Assets, below.
Plan health score (directional)
95
/ 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
75
Total plan cost
100
Vendor stack
100
Participation health
100
Knocking points off
- Top holding "[DFE: RELIANCE TRUST COMPANY STABLE VALUE FUND COLLECTIVE INVESTMENT TRUST, SERIES 25053 (extraction pending)]" is 100% of plan.
Helping the score
- Below-peer total fees (11 bps vs 29 bps peer median).
Decision-maker contacts
CFO / Head of HR / Benefits Manager — verified email + LinkedIn for WHITEBOX ADVISORS, LLC.
Plan sponsor
Name
WHITEBOX ADVISORS, LLC
EIN
41-1957584
Address
3033 EXCELSIOR BOULEVARD · SUITE 500 · MINNEAPOLIS, MN · 55416
Phone
(612) 253-6001
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
2A · Age/service weighted or new comparability
2E · Profit-sharing
2F · ERISA section 404(c)
2G · Total participant-directed accounts
2J · 401(k) feature
2S · Automatic enrollment
2T · Default investment account (QDIA)
3B · Covers self-employed individuals
3D · Pre-approved plan (master / prototype / VS)
Audit & trust (Schedule H)
Auditor
OLSEN THIELEN & CO., LTD
Trustee / custodian
—
Trustee phone
—
Service providers (Schedule C)
3 rowsRecordkeeper
1| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| NEWPORT GROUP, INC. | 27-2037969 | — | RECORDKEEPER | $5K | — |
Advisor / Consultant
1| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| PENSION RESOURCE CORPORATION | — | DALLAS, TX | ADVISOR | $10K | — |
Trustee
1| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| NEWPORT TRUST COMPANY | 27-4411131 | — | TRUSTEE | $24K | — |
Investments
1 pooled fund· $1.2M(3% 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.
| PI | Investment | Type | Shares / units | Cost | Current value | % of plan |
|---|---|---|---|---|---|---|
| RTC METLIFE SVF SERIES 25053 CL 0 RELIANCE TRUST COMPANY · EIN 46-6625485 / PN 001 | Common Collective Trust | — | — | $1.2M | 3.3% |
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