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Original filing (PDF)20250919142607NAL0003174819001
MOUNT MERCY UNIVERSITY
Form 5500
FILING_RECEIVED
MOUNT MERCY UNIVERSITY 401(K) PLAN
401(k) retirement plan
Signals · 1
No recordkeeper disclosed
Active participants
227
Accounts w/ balance
356
Plan assets (EOY)
$26.9M
Net assets (EOY)
$26.9M
How this plan invests
This plan
29 pooled trusts
Schedule D
40 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 MOUNT MERCY UNIVERSITY.
Plan sponsor
Name
MOUNT MERCY UNIVERSITY
EIN
42-0681046
Address
1330 ELMHURST DRIVE NE · CEDAR RAPIDS, IA · 52402
Phone
(319) 363-1323
Industry
Educational Servicessee all
Plan administrator
Same as plan sponsor.
Plan characteristics
Plan number
003
Plan year
2024
Plan year begin
2024-01-01
Tax period
2024-12-31
Filed
2025-09-19
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
2K · 401(m) arrangement
2S · Automatic enrollment
2T · Default investment account (QDIA)
3D · Pre-approved plan (master / prototype / VS)
Audit & trust (Schedule H)
Auditor
CLIFTONLARSONALLEN LLP
Trustee / custodian
—
Trustee phone
—
Service providers (Schedule C)
4 rowsAdvisor / Consultant
2| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| BASEPOINT WEALTH, LLC | 82-2773013 | — | INVESTMENT ADVISORY | $0 | — |
| WILSHIRE ADVISORS LLC | 95-2755361 | — | INVESTMENT ADVISORY | $0 | — |
TPA / Administrator
1| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| PRINCIPAL LIFE INSURANCE COMPANY | 42-0127290 | — | CONTRACT ADMINISTRATOR | $92K | — |
Other
1| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| NEWPORT GROUP, INC. | 27-2037969 | — | OTHER SERVICES | $0 | — |
Investments
17 direct securities · 29 pooled funds· $27.7M(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.
Common Collective Trust
$21.7M
15 holdings
Pooled Separate Account
$3.5M
14 holdings
Uncategorized
$2.5M
17 holdings
| PI | Investment | Type | Shares / units | Cost | Current value | % of plan |
|---|---|---|---|---|---|---|
| PRIN LIFETIME HYBR 2025 CIT Z PRINCIPAL GLOBAL INVESTORS TRUST CO · EIN 26-6447574 / PN 004 | Common Collective Trust | — | — | $4.7M | 17.4% | |
| PRIN LIFETIME HYB 2035 CIT Z PRINCIPAL GLOBAL INVESTORS TRUST CO · EIN 26-6447574 / PN 006 | Common Collective Trust | — | — | $3.8M | 14.1% | |
| PRIN LIFETIME HYBR 2030 CIT Z PRINCIPAL GLOBAL INVESTORS TRUST CO · EIN 26-6447574 / PN 005 | Common Collective Trust | — | — | $3.3M | 12.2% | |
| PRIN LIFETIME HYBR 2040 CIT Z PRINCIPAL GLOBAL INVESTORS TRUST CO · EIN 26-6447574 / PN 007 | Common Collective Trust | — | — | $3.0M | 11.2% | |
| PRIN LIFETIME HYBR 2045 CIT Z PRINCIPAL GLOBAL INVESTORS TRUST CO · EIN 26-6447574 / PN 008 | Common Collective Trust | — | — | $2.1M | 8.0% | |
| PRIN LGCP S&P 500 INDEX SA-Z PRINCIPAL LIFE INSURANCE COMPANY · EIN 42-0127290 / PN 016 | Pooled Separate Account | — | — | $1.7M | 6.4% | |
| PRIN LIFETIME HYBR 2050 CIT Z PRINCIPAL GLOBAL INVESTORS TRUST CO · EIN 26-6447574 / PN 009 | Common Collective Trust | — | — | $1.6M | 5.8% | |
| PRIN LIFETIME HYBR 2055 CIT Z PRINCIPAL GLOBAL INVESTORS TRUST CO · EIN 26-6447574 / PN 010 | Common Collective Trust | — | — | $1.0M | 3.9% | |
| PRIN LIFETIME HYB 2020 CIT Z PRINCIPAL GLOBAL INVESTORS TRUST CO · EIN 26-6447574 / PN 003 | Common Collective Trust | — | — | $731K | 2.7% | |
| PRIN LIFETIME HYBR 2015 CIT Z PRINCIPAL GLOBAL INVESTORS TRUST CO · EIN 26-6447574 / PN 002 | Common Collective Trust | — | — | $542K | 2.0% | |
| PRIN LIFETIME HYBR 2060 CIT Z PRINCIPAL GLOBAL INVESTORS TRUST CO · EIN 26-6447574 / PN 012 | Common Collective Trust | — | — | $431K | 1.6% | |
| PRIN SMCAP VALUE II SEP ACCT-Z PRINCIPAL LIFE INSURANCE COMPANY · EIN 42-0127290 / PN 096 | Pooled Separate Account | — | — | $423K | 1.6% | |
| Principal Life Insurance Company Principal Large Cap Growth I Sep Acct. | — | — | — | $413K | 1.5% | |
| PRIN LARGECAP GROWTH I SA-Z PRINCIPAL LIFE INSURANCE COMPANY · EIN 42-0127290 / PN 066 | Pooled Separate Account | — | — | $413K | 1.5% | |
| Vanguard Group Vanguard TL Stk Mkt Idx Adm Fund | — | — | — | $320K | 1.2% | |
| American Funds American Funds-New World Fund | — | — | — | $290K | 1.1% | |
| Principal Global Investors Trust Co. Principal LifeTime Hybrid Income | — | — | — | $253K | 0.9% | |
| PRIN LIFETIME HYBR INC CIT Z PRINCIPAL GLOBAL INVESTORS TRUST CO · EIN 26-6447574 / PN 011 | Common Collective Trust | — | — | $253K | 0.9% | |
| Vanguard Group Vanguard Growth Index Adm Fund | — | — | — | $202K | 0.8% | |
| PRINCIPAL STABLE VALUE Z FUND PRINCIPAL GLOBAL INVESTORS TRUST CO · EIN 93-6274328 / PN 001 | Common Collective Trust | — | — | $198K | 0.7% | |
| PRIN MIDCAP SEP ACCT-Z PRINCIPAL LIFE INSURANCE COMPANY · EIN 42-0127290 / PN 020 | Pooled Separate Account | — | — | $194K | 0.7% | |
| Participants Participant Loans Rates from 5.25% to 10.50% - | — | — | — | $170K | 0.6% | |
| Vanguard Group Vanguard Dev Mkts Index Adm Fund | — | — | — | $149K | 0.6% | |
| Principal Life Insurance Company Principal Income Separate Account | — | — | — | $144K | 0.5% | |
| PRIN CORE FIX INC SEP ACCT-Z PRINCIPAL LIFE INSURANCE COMPANY · EIN 42-0127290 / PN 118 | Pooled Separate Account | — | — | $144K | 0.5% | |
| PRIN MIDCAP S&P 400 IDX SA-Z PRINCIPAL LIFE INSURANCE COMPANY · EIN 42-0127290 / PN 023 | Pooled Separate Account | — | — | $135K | 0.5% | |
| Vanguard Group Vanguard Sm Cap Val Idx Adm Fund | — | — | — | $103K | 0.4% | |
| PRIN MIDCAP VALUE I SA-Z PRINCIPAL LIFE INSURANCE COMPANY · EIN 42-0127290 / PN 043 | Pooled Separate Account | — | — | $102K | 0.4% | |
| PRIN DIVERSIFIED INTL SA-Z PRINCIPAL LIFE INSURANCE COMPANY · EIN 42-0127290 / PN 015 | Pooled Separate Account | — | — | $99K | 0.4% | |
| Vanguard Group Vanguard Equity-Inc Adm Fund | — | — | — | $96K | 0.4% | |
| Vanguard Group Vanguard Sm Cap Gr Index Adm Fund | — | — | — | $94K | 0.4% | |
| PRIN SMCAP S&P 600 INDEX SA-Z PRINCIPAL LIFE INSURANCE COMPANY · EIN 42-0127290 / PN 028 | Pooled Separate Account | — | — | $92K | 0.3% | |
| Janus International Holdings, LLC Janus Henderson Triton N | — | — | — | $83K | 0.3% | |
| PRIN EQUITY INCOME SA-Z PRINCIPAL LIFE INSURANCE COMPANY · EIN 42-0127290 / PN 120 | Pooled Separate Account | — | — | $77K | 0.3% | |
| Principal Global Investors Trust Co. Principal LifeTime Hybrid 2065 | — | — | — | $77K | 0.3% | |
| PRIN LIFETUME HYBR 2065 CIT Z PRINCIPAL GLOBAL INVESTORS TRUST CO · EIN 26-6447574 / PN 013 | Common Collective Trust | — | — | $77K | 0.3% | |
| Vanguard Group Vanguard I-T Treasury Adm Fund | — | — | — | $56K | 0.2% | |
| Vanguard Group Vanguard Emg Mk Stk Index Adm Fund | — | — | — | $53K | 0.2% | |
| PRINCIPAL U.S. PROPERTY SA-Z PRINCIPAL LIFE INSURANCE COMPANY · EIN 42-0127290 / PN 027 | Pooled Separate Account | — | — | $47K | 0.2% | |
| PIMCO International Bond Fund U.S Dollar-Hedged | — | — | — | $39K | 0.1% | |
| PRIN INTL SMALLCAP SEP ACCT-Z PRINCIPAL LIFE INSURANCE COMPANY · EIN 42-0127290 / PN 014 | Pooled Separate Account | — | — | $38K | 0.1% | |
| PRIN REAL ESTATE SECS SA-Z PRINCIPAL LIFE INSURANCE COMPANY · EIN 42-0127290 / PN 095 | Pooled Separate Account | — | — | $12K | <0.1% | |
| PRIN LIFETIME HYB 2070 CIT Z PRINCIPAL GLOBAL INVESTORS TRUST CO · EIN 26-6447574 / PN 014 | Common Collective Trust | — | — | $9K | <0.1% | |
| Calvert Moderate Allocation Fund | — | — | — | $5K | <0.1% | |
| PRIN LIFETIME HYBR 2010 CIT Z PRINCIPAL GLOBAL INVESTORS TRUST CO · EIN 26-6447574 / PN 001 | Common Collective Trust | — | — | $0 | <0.1% | |
| PRIN REAL ESTATE SECS SA-Z PRINCIPAL LIFE INSURANCE COMPANY · EIN 42-0127290 / PN 095 | Pooled Separate Account | — | — | $0 | <0.1% |
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