Original filing (PDF)20251006155526NAL0006906032001

DUBUQUE RACING ASSOCIATION LTD.

Name: DUBUQUE RACING ASSOCIATION LTD. — DUBUQUE RACING ASSOCIATION 401(K) SAVINGS PLAN, Form 5500 (2024)
Creator: DUBUQUE RACING ASSOCIATION LTD.

Form 5500

FILING_RECEIVED

DUBUQUE RACING ASSOCIATION 401(K) SAVINGS PLAN

401(k) retirement plan

Signals · 1

50% in single holding

Active participants

545

Accounts w/ balance

205

Plan assets (EOY)

$15.4M

Net assets (EOY)

$15.4M

How this plan invests

This plan

5 pooled trusts

Schedule D

5 securities

funds · stocks · CUSIPs

Holdings are itemized directly on this plan's Schedule of Assets, below.

Plan health score (directional)

/ 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

Total plan cost

Vendor stack

100

Participation health

Knocking points off

Top holding "[DFE: LARGE CAP VALUE FUND (extraction pending)]" is 50% of plan.
37 bps in Schedule C fees — modestly above peer band of 29 bps.
Only 38% as many balances as active participants — suggests many active employees aren't deferring.

Decision-maker contacts

CFO / Head of HR / Benefits Manager — verified email + LinkedIn for DUBUQUE RACING ASSOCIATION LTD..

Plan sponsor

Name

DUBUQUE RACING ASSOCIATION LTD.

EIN

42-1235183

Address

1855 GREYHOUND PARK DR · DUBUQUE, IA · 52004

Phone

(319) 582-3647

Industry

Accommodation & Food 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

2025-10-06

Pension benefit codes

2E · Profit-sharing

2F · ERISA section 404(c)

2G · Total participant-directed accounts

2J · 401(k) feature

2K · 401(m) arrangement

2T · Default investment account (QDIA)

3D · Pre-approved plan (master / prototype / VS)

Audit & trust (Schedule H)

Auditor

HONKAMP LLC

Trustee / custodian

—

Trustee phone

—

Service providers (Schedule C)

4 rows

Recordkeeper

Name	EIN	Location	Relation	Direct comp	Indirect comp
EMPOWER ANNUITY INSURANCE COMPANY	06-1050034	GREENWOOD VILLAGE, CO	RECORDKEEPER	$38K	—

Advisor / Consultant

Name	EIN	Location	Relation	Direct comp	Indirect comp
GLOBAL RETIREMENT PARTNERS LLC	47-1411118	SAN RAFAEL, CA	INVESTMENT ADVISOR	$14K	—
WELLTH ADVISORY SERVICES LLC	—	JOLIET, IL	INVESTMENT ADVISOR	$5K	—

Broker

Name	EIN	Location	Relation	Direct comp	Indirect comp
LPL FINANCIAL LLC	—	SAN DIEGO, CA	BROKER/ADVISER	$0	—

Investments

1 direct security · 5 pooled funds· $4.2M(27% 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.

Pooled Separate Account

$2.1M

4 holdings

Common Collective Trust

$2.1M

1 holding

Uncategorized

$9K

1 holding

Investment	Type	Shares / units	Cost	Current value	% of plan
LARGE CAP VALUE FUND CLASS R1 GREAT GRAY TRUST · EIN 38-4065329 / PN 426	Common Collective Trust	—	—	$2.1M	13.4%
MID CAP GROWTH I FUND (MANAGED BY I EMPOWER ANNUITY INSURANCE COMPANY · EIN 06-1050034 / PN 409	Pooled Separate Account	—	—	$1.1M	7.0%
MID CAP VALUE / ROBECO BOSTON PARTN EMPOWER ANNUITY INSURANCE COMPANY · EIN 06-1050034 / PN 440	Pooled Separate Account	—	—	$904K	5.9%
DAY ONE INCOMEFLEX TARGET BALANCED EMPOWER ANNUITY INSURANCE COMPANY · EIN 06-1050034 / PN 697	Pooled Separate Account	—	—	$115K	0.7%
[DFE: LIFETIME 50 FUND-INCOME FLEX - IF4 (extraction pending)]	—	—	—	$9K	<0.1%
INCOMEFLEX SELECT CONSERVATIVE GROW EMPOWER ANNUITY INSURANCE COMPANY · EIN 06-1050034 / PN 514	Pooled Separate Account	—	—	$9K	<0.1%