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Original filing (PDF)20251014092725NAL0005228946001
GIVENS ESTATES, INC.
Form 5500
FILING_RECEIVED
GIVENS 403(B) MATCHING RETIREMENT PLAN
403(b) retirement plan
Signals · 1
No recordkeeper disclosed
Active participants
685
Accounts w/ balance
587
Plan assets (EOY)
$21.2M
Net assets (EOY)
$21.2M
How this plan invests
This plan
34 securities
funds · stocks · CUSIPs
Holdings are itemized directly on this plan's Schedule of Assets, below.
Plan health score (directional)
98
/ 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
80
Participation health
100
Knocking points off
- No recordkeeper disclosed on Schedule C.
Helping the score
- Below-peer total fees (16 bps vs 29 bps peer median).
Decision-maker contacts
CFO / Head of HR / Benefits Manager — verified email + LinkedIn for GIVENS ESTATES, INC..
Plan sponsor
Name
GIVENS ESTATES, INC.
EIN
51-0199312
Address
2360 SWEETEN CREEK RD · ASHEVILLE, NC · 288032030
Phone
(828) 274-4800
Industry
Health Care & Social Assistancesee all
Plan administrator
Same as plan sponsor.
Plan characteristics
Plan number
006
Plan year
2024
Plan year begin
2024-01-01
Tax period
2024-12-31
Filed
2025-10-14
Pension benefit codes
2F · ERISA section 404(c)
2G · Total participant-directed accounts
2L · 403(b)(1) annuity
2M · 403(b)(7) custodial accounts
2R · Participant-directed brokerage (SDBA)
2S · Automatic enrollment
2T · Default investment account (QDIA)
3D · Pre-approved plan (master / prototype / VS)
Audit & trust (Schedule H)
Auditor
FORVIS MAZARS, LLP
Trustee / custodian
—
Trustee phone
—
Service providers (Schedule C)
2 rowsTPA / Administrator
1| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| PRINCIPAL LIFE INSURANCE COMPANY | 42-0127290 | — | CONTRACT ADMINISTRATOR | $35K | — |
Other
1| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| MORGAN STANLEY | 26-4310632 | — | OTHER SERVICES | $0 | — |
Investments
34 direct securities· $18.9M(89% of reported assets)
Uncategorized
$18.0M
33 holdings
Mutual Funds
$823K
1 holding
| PI | Investment | Type | Shares / units | Cost | Current value | % of plan |
|---|---|---|---|---|---|---|
| Self Directed Brokerage Account * Principal Self Directed Brokerage Account | — | — | — | $1.8M | 8.6% | |
| American Funds LifeTime 2030 Fund | — | — | — | $1.7M | 7.8% | |
| American Funds LifeTime 2035 Fund | — | — | — | $1.6M | 7.8% | |
| American Funds LifeTime 2040 Fund | — | — | — | $1.6M | 7.5% | |
| American Funds LifeTime 2025 Fund | — | — | — | $948K | 4.5% | |
| Principal Global Investors LargeCap Growth Fund I | — | — | — | $883K | 4.2% | |
| American Funds LifeTime 2045 Fund | — | — | — | $873K | 4.1% | |
| American Funds New World Fund | — | — | — | $832K | 3.9% | |
| American Funds New Perspective Fund | Mutual Funds | — | — | $823K | 3.9% | |
| American Funds LifeTime 2050 Fund | — | — | — | $810K | 3.8% | |
| Columbia Management Advisors Strategic Income Fund | — | — | — | $731K | 3.5% | |
| American Funds LifeTime 2055 Fund | — | — | — | $707K | 3.3% | |
| Fidelity Advisors Strategic Income Fund | — | — | — | $681K | 3.2% | |
| Principal Global Investors LargeCap S&P 500 Index Fund | — | — | — | $612K | 2.9% | |
| American Funds LifeTime 2060 Fund | — | — | — | $564K | 2.7% | |
| American Funds LifeTime 2070 Fund 934 American Funds Mutual Fund | — | — | — | $551K | 2.6% | |
| Principal Global Investors MidCap Value Fund I | — | — | — | $546K | 2.6% | |
| Principal Global Investors Equity Income Fund | — | — | — | $424K | 2.0% | |
| Federated Investment Mgmt Kaufmann Small Cap Fund | — | — | — | $292K | 1.4% | |
| Principal Global Investors SmallCap S&P 600 Index Fund | — | — | — | $292K | 1.4% | |
| Principal Global Investors MidCap S&P 400 Index Fund | — | — | — | $284K | 1.3% | |
| Carillon Eagle Mid Cap Growth Fund | — | — | — | $262K | 1.2% | |
| American Funds LifeTime 2020 Fund | — | — | — | $259K | 1.2% | |
| American Funds LifeTime 2065 Fund | — | — | — | $203K | 1.0% | |
| Principal Global Investors Capital Appreciation Fund | — | — | — | $114K | 0.5% | |
| Cohen & Steers Real Estate Securities Fund | — | — | — | $96K | 0.5% | |
| Fidelity Advisors International Growth Fund | — | — | — | $88K | 0.4% | |
| American Funds LifeTime 2010 Fund | — | — | — | $74K | 0.4% | |
| Columbia Management Advisors Contrarian Core Fund | — | — | — | $45K | 0.2% | |
| (E) | — | — | — | $43K | 0.2% | |
| VOYA Intermediate Bond Fund | — | — | — | $43K | 0.2% | |
| American Funds LifeTime 2015 Fund | — | — | — | $42K | 0.2% | |
| Neuberger Berman Mgmt Sustainable Equity Fund | — | — | — | $16K | <0.1% | |
| Blackrock Advisors LLC High Yield Bond Portfolio | — | — | — | $9K | <0.1% |
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