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Original filing (PDF)20250910071655NAL0020876833001
LION GROUP, INC.
Form 5500
FILING_RECEIVED
LION GROUP, INC. PROFIT SHARING PLAN AND TRUST
401(k) retirement plan
Active participants
1,037
Accounts w/ balance
615
Plan assets (EOY)
$37.4M
Net assets (EOY)
$37.3M
How this plan invests
This plan
1 pooled trust
Schedule D
30 securities
funds · stocks · CUSIPs
Holdings are itemized directly on this plan's Schedule of Assets, below.
Plan health score (directional)
97
/ 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
100
Participation health
80
Knocking points off
- 59% balance-to-active ratio — below typical for a healthy 401(k).
Helping the score
- Below-peer total fees (20 bps vs 29 bps peer median).
Decision-maker contacts
CFO / Head of HR / Benefits Manager — verified email + LinkedIn for LION GROUP, INC..
Plan sponsor
Name
LION GROUP, INC.
EIN
47-1845529
Address
7200 POE AVE STE 400 · DAYTON, OH · 45414
Phone
(937) 415-2968
Industry
Manufacturingsee all
Plan administrator
Same as plan sponsor.
Plan characteristics
Plan number
002
Plan year
2024
Plan year begin
2024-01-01
Tax period
2024-12-31
Filed
2025-09-10
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)
3H · Sponsor in controlled / affiliated group
3D · Pre-approved plan (master / prototype / VS)
Audit & trust (Schedule H)
Auditor
RSM US LLP
Trustee / custodian
—
Trustee phone
—
Service providers (Schedule C)
3 rowsRecordkeeper
1| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| FIDELITY INVESTMENTS INSTITUTIONAL | 04-2647786 | — | RECORDKEEPER | $12K | — |
Advisor / Consultant
2| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| MGO ONE SEVEN LLC | 88-2000569 | — | ADVISOR | $48K | — |
| STRATEGIC ADVISORS, INC. | 04-2654524 | — | ADVISOR | $13K | — |
Investments
30 direct securities · 1 pooled fund· $40.9M(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.
Uncategorized
$36.3M
30 holdings
Common Collective Trust
$4.6M
1 holding
| PI | Investment | Type | Shares / units | Cost | Current value | % of plan |
|---|---|---|---|---|---|---|
| Fidelity Managed Income Portfolio Class 1 | — | — | $4.6M | $4.6M | 12.3% | |
| MIP CL 1 FIDELITY MANAGEMENT TRUST COMPANY · EIN 04-3022712 / PN 024 | Common Collective Trust | — | — | $4.6M | 12.3% | |
| Fidelity 500 Index Fund | — | — | $22K | $4.5M | 12.1% | |
| Fidelity Freedom 2040 Fund—Class K | — | — | $231K | $2.7M | 7.1% | |
| Fidelity Balanced Fund | — | — | $86K | $2.5M | 6.8% | |
| Invesco Diversified Dividend Fund R5 Class | — | — | $117K | $2.1M | 5.6% | |
| Fidelity Freedom 2035 Fund—Class K | — | — | $116K | $1.8M | 4.8% | |
| Parnassus Investments Parnassus Value Equity Fund Investor Shares | — | — | $33K | $1.7M | 4.6% | |
| Fidelity Freedom 2030 Fund—Class K | — | — | $92K | $1.6M | 4.3% | |
| Fidelity Freedom 2050 Fund—Class K | — | — | $95K | $1.3M | 3.5% | |
| Janus Henderson Investors Janus Henderson Enterprise Fund Class T | — | — | $9K | $1.3M | 3.3% | |
| Fidelity Blue Chip Growth Fund | — | — | $5K | $1.2M | 3.1% | |
| Fidelity Freedom 2060 Fund—Class K | — | — | $71K | $1.0M | 2.7% | |
| Baird Asset Management Baird Core Plus Bond Fund Class Investor | — | — | $97K | $1.0M | 2.7% | |
| Fidelity Freedom 2045 Fund—Class K | — | — | $74K | $1.0M | 2.7% | |
| Fidelity Freedom 2020 Fund—Class K | — | — | $68K | $976K | 2.6% | |
| Fidelity Freedom 2025 Fund—Class K | — | — | $69K | $935K | 2.5% | |
| Fidelity International Index Fund | — | — | $17K | $827K | 2.2% | |
| John Hancock John Hancock Disciplined Value International Fund | — | — | $58K | $755K | 2.0% | |
| American Funds American Funds EuroPacific Growth Fund Class A | — | — | $14K | $727K | 1.9% | |
| Fidelity Freedom 2055 Fund—Class K | — | — | $45K | $716K | 1.9% | |
| Fidelity Total Market Index Fund | — | — | $4K | $681K | 1.8% | |
| Fidelity Trust Retirement Government Money Market | — | — | $604K | $604K | 1.6% | |
| T. Rowe Price T. Rowe Price QM U.S. Small-Cap Growth Equity Fund | — | — | $10K | $452K | 1.2% | |
| Principal SmallCap S&P 600 Index Fund Institutional Class | — | — | $16K | $406K | 1.1% | |
| Victory Capital Victory Sycamore Established Value Fund Class A | — | — | $8K | $345K | 0.9% | |
| Vanguard Group Vanguard Mid Cap Index Admiral Fund 886 | — | — | — | $289K | 0.8% | |
| Fidelity Freedom 2065 Fund—Class K | — | — | $10K | $130K | 0.3% | |
| American Century Investments American Century Mid Cap Value Fund Investor Class | — | — | $8K | $119K | 0.3% | |
| Fidelity Freedom 2015 Fund—Class K | — | — | $2K | $17K | <0.1% | |
| Fidelity Freedom Income Fund—Class K 924 | — | — | — | $10K | <0.1% |
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