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Original filing (PDF)20251016154304NAL0003465459001
THE FINWAY GROUP
Form 5500
FILING_RECEIVED
THE ARCHITECT RETIREMENT PEP
401(k) retirement plan
Signals · 3
100% in single holdingNo recordkeeper disclosed7 service providers
Active participants
6,239
Accounts w/ balance
2,988
Plan assets (EOY)
$146.2M
Net assets (EOY)
$146.2M
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)
88
/ 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
80
Participation health
65
Knocking points off
- Top holding "[DFE: BLACKROCK EAFE EQUITY INDEX FEE CI (no filing on disk)]" is 100% of plan.
- No recordkeeper disclosed on Schedule C.
- Only 48% 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 THE FINWAY GROUP.
Plan sponsor
Name
THE FINWAY GROUP
EIN
42-1468222
Address
5625 MILLS CIVIC PKWY · SUITE 101 · WEST DES MOINES, IA · 50266
Phone
(515) 226-0974
Industry
All Other Professional Services· Professional & Technical Servicessee all
Plan administrator
Same as plan sponsor.
Plan characteristics
Plan number
010
Plan year
2024
Plan year begin
2024-01-01
Tax period
2024-12-31
Filed
2025-10-16
Pension benefit codes
2A · Age/service weighted or new comparability
2E · Profit-sharing
2J · 401(k) feature
2K · 401(m) arrangement
2F · ERISA section 404(c)
2G · Total participant-directed accounts
2W · Pooled employer plan (PEP)
3D · Pre-approved plan (master / prototype / VS)
Audit & trust (Schedule H)
Auditor
BDO USA, P.C.
Trustee / custodian
—
Trustee phone
—
Service providers (Schedule C)
7 rowsAdvisor / Consultant
2| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| WORLD INVESTMENT ADVISORS | — | SANTA BARBARA, CA | OTHER, ADVISOR | $58K | — |
| CERITY PARTNERS RETIREMENT | — | NEW YORK, NY | INVESTMENT ADVISOR | $16K | — |
TPA / Administrator
1| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| THE FINWAY GROUP | — | WEST DES MOINES, IA | CONTRACT ADMIN | $11K | — |
Other
4| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| COTA STREET INV. MGMT | — | SANTA BARBARA, CA | INVEST. ADV. | $45K | — |
| BROKERS INTL | — | URBANDALE, IA | INV ADV | $17K | — |
| OLSEN THIELEN | — | ST. PAUL, MN | OTHER | $14K | — |
| BENEFIT TRUST CO. | — | OVERLAND PARK, KS | OTHER | $6K | — |
Investments
1 pooled fund· $23.0M(16% of reported assets)
Rows tagged as a trust or pooled fund hold many underlying securities. Their holdings are itemized on each fund’s own Form 5500.
| PI | Investment | Type | Shares / units | Cost | Current value | % of plan |
|---|---|---|---|---|---|---|
| BLACKROCK EAFE EQUITY INDEX FEE CI AST WILMINGTON TRUST · EIN 38-7213421 / PN 007 | Master Trust | — | — | $23.0M | 15.7% |
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