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Original filing (PDF)20251007132019NAL0004620225001
ASPIDA FINANCIAL SERVICES, LLC
Form 5500
FILING_RECEIVED
ASPIDA FINANCIAL SERVICES, LLC 401(K) PROFIT SHARING PLAN AND TRUST
401(k) retirement plan
Active participants
152
Accounts w/ balance
201
Plan assets (EOY)
$14.4M
Net assets (EOY)
$14.4M
How this plan invests
This plan
12 pooled trusts
Schedule D
33 securities
funds · stocks · CUSIPs
Holdings are itemized directly on this plan's Schedule of Assets, below.
Plan health score (directional)
95
/ 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
80
Vendor stack
100
Participation health
100
Knocking points off
- 39 bps in Schedule C fees — modestly above peer band of 29 bps.
Decision-maker contacts
CFO / Head of HR / Benefits Manager — verified email + LinkedIn for ASPIDA FINANCIAL SERVICES, LLC.
Plan sponsor
Name
ASPIDA FINANCIAL SERVICES, LLC
EIN
47-4223933
Address
2327 ENGLERT DRIVE · DURHAM, NC · 27713
Phone
(919) 246-3367
Industry
Finance & Insurancesee 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
2025-10-07
Pension benefit codes
2E · Profit-sharing
2F · ERISA section 404(c)
2G · Total participant-directed accounts
2J · 401(k) feature
2K · 401(m) arrangement
2S · Automatic enrollment
2T · Default investment account (QDIA)
3D · Pre-approved plan (master / prototype / VS)
Audit & trust (Schedule H)
Auditor
WILLIAM OVERMAN PIERCE LLP
Trustee / custodian
—
Trustee phone
—
Service providers (Schedule C)
3 rowsRecordkeeper
1| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| EMPOWER ANNUITY INSURANCE COMPANY O | — | GREENWOOD VILLAGE, CO | RECORDKEEPER | $9K | — |
Advisor / Consultant
1| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| UBS FINANCIAL SERVICES INC | — | NASHVILLE, TN | INVESTMENT ADVISOR | $46K | — |
Other
1| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| EMPOWER ADVISORY GROUP, LLC | — | GREENWOOD VILLAGE, CO | INVESTMENT MGMT | $1K | — |
Investments
21 direct securities · 12 pooled funds· $14.4M(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.
Common Collective Trust
$7.2M
12 holdings
Uncategorized
$7.2M
21 holdings
| PI | Investment | Type | Shares / units | Cost | Current value | % of plan |
|---|---|---|---|---|---|---|
| PLAN NUMBER 001 PLAN YEAR 01/01/2024 TO 12/31/2024 iShare S&P 500 Index K Mutual Fund | — | — | — | $2.8M | 19.5% | |
| GREAT GRAY TRUST AMERICAN FUNDS 205 GREAT GRAY · EIN 38-4126267 / PN 571 | Common Collective Trust | — | — | $1.1M | 7.7% | |
| GREAT GRAY TRUST AMERICAN FUNDS 202 GREAT GRAY · EIN 38-4126261 / PN 565 | Common Collective Trust | — | — | $1.1M | 7.5% | |
| GREAT GRAY TRUST AMERICAN FUNDS 204 GREAT GRAY · EIN 38-4126265 / PN 569 | Common Collective Trust | — | — | $983K | 6.8% | |
| American Funds American Funds Growth Fund of Amer R6 Mutual Fund | — | — | — | $893K | 6.2% | |
| GREAT GRAY TRUST AMERICAN FUNDS 206 GREAT GRAY · EIN 38-4126268 / PN 572 | Common Collective Trust | — | — | $849K | 5.9% | |
| GREAT GRAY TRUST AMERICAN FUNDS 203 GREAT GRAY · EIN 38-4126262 / PN 566 | Common Collective Trust | — | — | $818K | 5.7% | |
| GREAT GRAY TRUST AMERICAN FUNDS 203 GREAT GRAY · EIN 38-4126263 / PN 567 | Common Collective Trust | — | — | $683K | 4.7% | |
| GREAT GRAY TRUST AMERICAN FUNDS 205 GREAT GRAY · EIN 38-4126266 / PN 570 | Common Collective Trust | — | — | $567K | 3.9% | |
| American Funds American Funds Fundamental Investors R6 Mutual Fund | — | — | — | $428K | 3.0% | |
| BlackRock Total Return Mutual Fund | — | — | — | $388K | 2.7% | |
| GREAT GRAY TRUST AMERICAN FUNDS 201 GREAT GRAY · EIN 38-4126259 / PN 563 | Common Collective Trust | — | — | $383K | 2.7% | |
| GREAT GRAY TRUST AMERICAN FUNDS 204 GREAT GRAY · EIN 38-4126264 / PN 568 | Common Collective Trust | — | — | $379K | 2.6% | |
| Empower EI Fixed Account - Series Class I Group annuity contract | — | — | — | $368K | 2.5% | |
| Invesco Main Street Small Cap R6 Mutual Fund | — | — | — | $301K | 2.1% | |
| American Funds American Funds New Perspective R6 Mutual Fund | — | — | — | $283K | 2.0% | |
| GREAT GRAY TRUST AMERICAN FUNDS 206 GREAT GRAY · EIN 38-7275308 / PN 777 | Common Collective Trust | — | — | $283K | 2.0% | |
| BlackRock Mid-Cap Growth Equity Mutual Fund | — | — | — | $271K | 1.9% | |
| American Funds American Funds Euro Pacific Group R6 Mutual Fund | — | — | — | $220K | 1.5% | |
| Columbia Disciplined Core Instl 3 Mutual Fund | — | — | — | $187K | 1.3% | |
| Western Asset Core Bond IS Mutual Fund | — | — | — | $186K | 1.3% | |
| Virtus Duff & Phelps Real Estate Sec R6 Mutual Fund | — | — | — | $137K | 1.0% | |
| American Funds American Funds New World R6 Mutual Fund | — | — | — | $134K | 0.9% | |
| MFS Intl Diversification R6 Mutual Fund | — | — | — | $132K | 0.9% | |
| JP Morgan JP Morgan Mid-Cap Value R6 Mutual Fund | — | — | — | $120K | 0.8% | |
| with various maturity dates through 2030 0 | — | — | — | $111K | 0.8% | |
| PGIM High-Yield R6 Mutual Fund | — | — | — | $78K | 0.5% | |
| GREAT GRAY TRUST AMERICAN FUNDS 201 GREAT GRAY · EIN 38-4126290 / PN 593 | Common Collective Trust | — | — | $62K | 0.4% | |
| PIMCO Commodity Real Ret Strat Instl Mutual Fund | — | — | — | $51K | 0.4% | |
| GREAT GRAY TRUST AMERICAN FUNDS 202 GREAT GRAY · EIN 38-4126260 / PN 564 | Common Collective Trust | — | — | $42K | 0.3% | |
| Loard Abbett Lord Abbett Bond Debenture R6 Mutual Fund | — | — | — | $31K | 0.2% | |
| Templeton Foreign R6 Mutual Fund | — | — | — | $29K | 0.2% | |
| Franklin US Government Secs R6 Mutual Fund | — | — | — | $13K | <0.1% |
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