Back to filter
Original filing (PDF)20251013134106NAL0000665699001
GRATON ECONOMIC DEVELOPMENT AUTH
Form 5500
FILING_RECEIVED
GRATON RESORT & CASINO 401(K) PLAN
401(k) retirement plan
Active participants
2,055
Accounts w/ balance
2,048
Plan assets (EOY)
$86.8M
Net assets (EOY)
$86.8M
How this plan invests
This plan
1 pooled trust
Schedule D
23 securities
funds · stocks · CUSIPs
Holdings are itemized directly on this plan's Schedule of Assets, below.
Plan health score (directional)
91
/ 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
65
Vendor stack
100
Participation health
100
Knocking points off
- 38 bps in Schedule C fees — 139% above peer band of 16 bps.
Decision-maker contacts
CFO / Head of HR / Benefits Manager — verified email + LinkedIn for GRATON ECONOMIC DEVELOPMENT AUTH.
Plan sponsor
Name
GRATON ECONOMIC DEVELOPMENT AUTH
EIN
46-0601203
Address
630 PARK COURT · ROHNERT PARK, CA · 94928
Phone
(707) 588-7017
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
2025-10-13
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
BAKER TILLY US, LLP
Trustee / custodian
—
Trustee phone
—
Service providers (Schedule C)
4 rowsRecordkeeper
2| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| ADP, INC. | 13-3036745 | — | RECORD KEEPER | $160K | — |
| ADP BROKER-DEALER | 22-3319984 | — | RECORD KEEPER | $0 | — |
Accountant / Auditor
1| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| GRATON RESORT AND CASINO | 46-0601203 | — | ACCOUNTANT | $17K | — |
Other
1| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| MORGAN STANLEY SMITH BARNEY | 20-8764829 | — | INVESTMENT/FINANCIAL ADVI | $156K | — |
Investments
22 direct securities · 1 pooled fund· $82.7M(95% 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.
Registered Investment Companies
$80.6M
22 holdings
Common Collective Trust
$2.2M
1 holding
| PI | Investment | Type | Shares / units | Cost | Current value | % of plan |
|---|---|---|---|---|---|---|
| VANGUARD 500 INDEX FUND - ADM | Registered Investment Companies | — | — | $9.9M | 11.4% | |
| T. ROWE PRICE RET 2045 - ADV | Registered Investment Companies | — | — | $8.4M | 9.7% | |
| T. ROWE PRICE RET 2055 - ADV | Registered Investment Companies | — | — | $7.2M | 8.3% | |
| JPMORGAN LG CP GR - R2 | Registered Investment Companies | — | — | $7.2M | 8.2% | |
| T. ROWE PRICE RET 2035 - ADV | Registered Investment Companies | — | — | $6.6M | 7.6% | |
| T.ROWE PRICE RETIRE 2030 - ADV | Registered Investment Companies | — | — | $5.9M | 6.7% | |
| T.ROWE PRICE RETIRE 2040 - ADV | Registered Investment Companies | — | — | $5.3M | 6.1% | |
| T. ROWE PRICE RETIRE 2050-ADV | Registered Investment Companies | — | — | $4.9M | 5.6% | |
| T. ROWE PRICE RET 2025 - ADV | Registered Investment Companies | — | — | $4.5M | 5.2% | |
| T. ROWE PRICE RETIRE 2060-ADV | Registered Investment Companies | — | — | $4.5M | 5.1% | |
| VANGUARD MID CAP INDEX - ADM | Registered Investment Companies | — | — | $3.4M | 4.0% | |
| T. ROWE PRICE SM-CAP STOCK-ADV | Registered Investment Companies | — | — | $2.4M | 2.7% | |
| T.ROWE PRICE RETIRE 2020 - ADV | Registered Investment Companies | — | — | $2.3M | 2.6% | |
| AMERICAN MUTUAL R4 | Registered Investment Companies | — | — | $2.2M | 2.6% | |
| FEDERATED CAP PRES FUND R6 FEDERATED INVESTORS TRUST CO · EIN 22-2712853 / PN 001 | Common Collective Trust | — | — | $2.2M | 2.5% | |
| AM FNDS EUROPACIFIC GROWTH -R3 | Registered Investment Companies | — | — | $1.7M | 2.0% | |
| BLACKROCK HIGH YIELD INST | Registered Investment Companies | — | — | $1.1M | 1.3% | |
| T. ROWE PRICE RET 2015 - ADV | Registered Investment Companies | — | — | $1.1M | 1.3% | |
| HARTFORD TR BOND FUND R6 | Registered Investment Companies | — | — | $778K | 0.9% | |
| AMF INCOME FUND OF AMERICA- R4 | Registered Investment Companies | — | — | $509K | 0.6% | |
| T. ROWE PRICE RET 2005 - ADV | Registered Investment Companies | — | — | $354K | 0.4% | |
| T. ROWE PRICE RETIRE BAL ADV | Registered Investment Companies | — | — | $258K | 0.3% | |
| T.ROWE PRICE RETIRE 2010 - ADV | Registered Investment Companies | — | — | $219K | 0.3% |