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Original filing (PDF)20260129152337NAL0005721825001
ADVISORTRUST, INC.
Form 5500
FILING_RECEIVED
ASSETMARK POOLED EMPLOYER PLAN
401(k) retirement plan
Signals · 4
Late filing · 2.4 mo~98 bps in Sched C feesNo recordkeeper disclosed6 service providers
Active participants
1,198
Accounts w/ balance
787
Plan assets (EOY)
$23.4M
Net assets (EOY)
$23.4M
How this plan invests
This plan
1 pooled trust
Schedule D
53 securities
funds · stocks · CUSIPs
Holdings are itemized directly on this plan's Schedule of Assets, below.
Plan health score (directional)
83
/ 100
Grade B
Above-average plan
Directional indicator computed from public Form 5500 data — compliance, concentration, cost, vendor stack and participation. Not a fiduciary tool.
Compliance & disclosures
90
Concentration risk
100
Total plan cost
65
Vendor stack
80
Participation health
80
Knocking points off
- Filed 2.4 months past the 10.5-month grace window.
- 98 bps in Schedule C fees — 239% above peer band of 29 bps.
- No recordkeeper disclosed on Schedule C.
- 66% balance-to-active ratio — below typical for a healthy 401(k).
Decision-maker contacts
CFO / Head of HR / Benefits Manager — verified email + LinkedIn for ADVISORTRUST, INC..
Plan sponsor
Name
ADVISORTRUST, INC.
EIN
46-4091337
Address
212 S MAIN ST. · SUITE 123 · SIOUX FALLS, SD · 57104
Phone
(866) 928-9043
Industry
Finance & Insurancesee all
Plan administrator
Same as plan sponsor.
Plan characteristics
Plan number
004
Plan year
2024
Plan year begin
2024-01-01
Tax period
2024-12-31
Filed
2026-01-29
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
2W · Pooled employer plan (PEP)
3D · Pre-approved plan (master / prototype / VS)
Audit & trust (Schedule H)
Auditor
DOEREN MAYHEW ASSURANCE
Trustee / custodian
—
Trustee phone
—
Service providers (Schedule C)
6 rowsAdvisor / Consultant
5| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| HINDS FINANCIAL GROUP, INC. | — | PASO ROBLES, CA | INVESTMENT ADVISORY | $22K | — |
| UNITED PLANNERS' FINANCIAL SERVICES | — | PASO ROBLES, CA | INVESTMENT ADVISORY | $8K | — |
| OSAIC WEALTH, INC. | — | CHESTERFIELD, MO | INVESTMENT ADVISORY | $7K | — |
| SCHLAFER WEALTH MANAGEMENT | — | INDIANAPOLIS, IN | INVESTMENT ADVISORY | $5K | — |
| DEFINED FINANCIAL PLANNING LLC | 85-0655239 | — | INVESTMENT ADVISORY | $5K | — |
TPA / Administrator
1| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| PCS RETIREMENT LLC | 23-3038464 | — | CONTRACT ADMINISTRATOR | $183K | — |
Investments
53 direct securities · 1 pooled fund· $22.6M(97% 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.
Uncategorized
$22.6M
53 holdings
Common Collective Trust
$165
1 holding
| PI | Investment | Type | Shares / units | Cost | Current value | % of plan |
|---|---|---|---|---|---|---|
| Vanguard Target Retirement 2040 Fund | — | — | — | $2.4M | 10.3% | |
| Vanguard Target Retirement 2035 Fund | — | — | — | $2.1M | 9.0% | |
| Vanguard Target Retirement 2045 Fund | — | — | — | $1.8M | 7.8% | |
| Vanguard Target Retirement 2050 Fund | — | — | — | $1.5M | 6.5% | |
| JPMorgan Large Cap Growth R6 | — | — | — | $1.4M | 6.0% | |
| Vanguard Target Retirement 2030 Fund | — | — | — | $1.4M | 5.8% | |
| Vanguard 500 Index Fund | — | — | — | $1.3M | 5.7% | |
| Vanguard Target Retirement 2055 Fund | — | — | — | $892K | 3.8% | |
| New Frontier ETF, Profile 2 | — | — | — | $661K | 2.8% | |
| Vanguard Target Retirement 2025 Fund | — | — | — | $638K | 2.7% | |
| Massachusetts Financial Services Value R6 | — | — | — | $606K | 2.6% | |
| New Frontier ETF, Profile 5 | — | — | — | $556K | 2.4% | |
| Vanguard Target Retirement 2060 Fund | — | — | — | $528K | 2.3% | |
| Vanguard Target Retirement Income Fund | — | — | — | $525K | 2.2% | |
| Fidelity Mid Cap Index | — | — | — | $492K | 2.1% | |
| American Funds Profile 6, Growth | — | — | — | $464K | 2.0% | |
| Vanguard Target Retirement 2065 Fund | — | — | — | $453K | 1.9% | |
| Vanguard Target Retirement 2020 Fund | — | — | — | $404K | 1.7% | |
| Notes Receivable from Participants Loans to participants, interest rates ranging from 4.25% to 10.50% with various maturities | — | — | — | $363K | 1.5% | |
| New Frontier ETF, Profile 6 | — | — | — | $296K | 1.3% | |
| Cohen & Steers Real Estate Securities Z | — | — | — | $283K | 1.2% | |
| Fidelity Small Cap Index | — | — | — | $278K | 1.2% | |
| BlackRock Advantage Small Cap Core Fund | — | — | — | $262K | 1.1% | |
| Hartford Schroders US MidCap Opps SDR | — | — | — | $255K | 1.1% | |
| American Funds Target Retirement 2030 Fund R6 | — | — | — | $240K | 1.0% | |
| Morley Stable Value Class - 25 1 165 Vanguard Federal Money Market Investor Fund | — | — | — | $234K | 1.0% | |
| American Century Emerging Markets R6 | — | — | — | $220K | 0.9% | |
| Vanguard Total Bond Market Index Fund | — | — | — | $187K | 0.8% | |
| American Funds Profile 4, Growth & Income | — | — | — | $183K | 0.8% | |
| American Funds Target Retirement 2040 Fund R6 | — | — | — | $180K | 0.8% | |
| New Frontier ETF, Profile 3 | — | — | — | $156K | 0.7% | |
| BlackRock Income Fund K | — | — | — | $154K | 0.7% | |
| New Frontier ETF, Profile 4 | — | — | — | $148K | 0.6% | |
| American Funds Profile 3, Moderate Growth & Income | — | — | — | $140K | 0.6% | |
| Vanguard Total International Stock Index Admiral | — | — | — | $127K | 0.5% | |
| BlackRock Total Return K | — | — | — | $115K | 0.5% | |
| Market Dimensions Profile 6 | — | — | — | $88K | 0.4% | |
| American Funds Profile 2, Conservative Growth & Income | — | — | — | $85K | 0.4% | |
| American Funds Profile 5, Moderate Growth | — | — | — | $79K | 0.3% | |
| American Funds Target Retirement 2055 Fund R6 | — | — | — | $74K | 0.3% | |
| Dimensional Core Profile 6 | — | — | — | $64K | 0.3% | |
| American Funds Target Retirement 2035 Fund R6 | — | — | — | $52K | 0.2% | |
| American Funds Target Retirement 2045 Fund R6 | — | — | — | $44K | 0.2% | |
| American Funds Target Retirement 2050 Fund R6 | — | — | — | $27K | 0.1% | |
| Hartford International Opportunities R6 | — | — | — | $25K | 0.1% | |
| Market Dimensions Profile 3 | — | — | — | $19K | <0.1% | |
| American Funds Target Retirement 2060 Fund R6 | — | — | — | $13K | <0.1% | |
| Global Market Blend Profile | — | — | — | $8K | <0.1% | |
| American Funds Profile 1, Preservation | — | — | — | $6K | <0.1% | |
| Market Dimensions Profile 5 | — | — | — | $6K | <0.1% | |
| New Frontier ETF, Profile 1 | — | — | — | $3K | <0.1% | |
| Market Dimensions Profile 4 | — | — | — | $2K | <0.1% | |
| Aris Faith Profile 3 433 Aris Faith Profile 4 434 Aris Faith Profile 5 | — | — | — | $1K | <0.1% | |
| MORLEY STABLE VALUE CLASS PRINCIPAL GLOBAL INVESTORS TRUST COMPANY · EIN 93-6274329 / PN 001 | Common Collective Trust | — | — | $165 | <0.1% |