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Original filing (PDF)20250929115637NAL0005009891001
JONESTRADING INSTITUTIONAL SERVICES LLC
Form 5500
FILING_RECEIVED
JONESTRADING INSTITUTIONAL SERVICES LLC 401(K) PLAN
401(k) retirement plan
Signals · 1
33% in single holding
Active participants
175
Accounts w/ balance
170
Plan assets (EOY)
$107.2M
Net assets (EOY)
$107.2M
How this plan invests
This plan
9 pooled trusts
Schedule D
9 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
83
Total plan cost
100
Vendor stack
100
Participation health
100
Knocking points off
- Top holding "[DFE: DRYDEN S&P 500 INDEX FUND (SAB) (extraction pending)]" is 33% of plan.
Helping the score
- Below-peer total fees (2 bps vs 10 bps peer median).
Decision-maker contacts
CFO / Head of HR / Benefits Manager — verified email + LinkedIn for JONESTRADING INSTITUTIONAL SERVICES LLC.
Plan sponsor
Name
JONESTRADING INSTITUTIONAL SERVICES LLC
EIN
51-0484896
Address
555 ST. CHARLES DRIVE SUITE #200 · THOUSAND OAKS, CA · 91360
Phone
(818) 991-5500
Industry
Finance & Insurancesee 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
2025-09-29
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
2T · Default investment account (QDIA)
Audit & trust (Schedule H)
Auditor
JLK ROSENBERGER LLP
Trustee / custodian
—
Trustee phone
—
Service providers (Schedule C)
2 rowsRecordkeeper
1| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| EMPOWER ANNUITY INSURANCE COMPANY | 06-1050034 | GREENWOOD VILLAGE, CO | RECORDKEEPER | $3K | — |
Other
1| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| JLK PARTNERS LLP | 27-1532099 | — | NONE | $16K | — |
Investments
1 direct security · 9 pooled funds· $25.9M(24% 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.
Pooled Separate Account
$22.5M
9 holdings
Uncategorized
$3.4M
1 holding
| PI | Investment | Type | Shares / units | Cost | Current value | % of plan |
|---|---|---|---|---|---|---|
| DRYDEN S&P 500 INDEX FUND (IS PLATF EMPOWER ANNUITY INSURANCE COMPANY · EIN 06-1050034 / PN 123 | Pooled Separate Account | — | — | $7.5M | 7.0% | |
| LARGE CAP GROWTH / MFS FUND EMPOWER ANNUITY INSURANCE COMPANY · EIN 06-1050034 / PN 350 | Pooled Separate Account | — | — | $3.4M | 3.2% | |
| [DFE: PGIM QUANT SOLUTIONS INTERNATIONAL DEVELOPED MARKETS INDEX FUND (SAIBQ) (extraction pending)] | — | — | — | $3.4M | 3.2% | |
| PGIM Q.S. INTNL DEV MKTS INDX (IS P EMPOWER ANNUITY INSURANCE COMPANY · EIN 06-1050034 / PN 791 | Pooled Separate Account | — | — | $3.4M | 3.2% | |
| PGIM TOTAL RETURN BOND FUND (IS) EMPOWER ANNUITY INSURANCE COMPANY · EIN 06-1050034 / PN 814 | Pooled Separate Account | — | — | $3.3M | 3.0% | |
| SMALL CAP VALUE / INTEGRITY FUND EMPOWER ANNUITY INSURANCE COMPANY · EIN 06-1050034 / PN 439 | Pooled Separate Account | — | — | $1.7M | 1.6% | |
| SMALL CAP GROWTH / EMERALD FUND EMPOWER ANNUITY INSURANCE COMPANY · EIN 06-1050034 / PN 540 | Pooled Separate Account | — | — | $1.6M | 1.5% | |
| CORE BOND ENHANCED INDEX / PGIM FUN EMPOWER ANNUITY INSURANCE COMPANY · EIN 06-1050034 / PN 036 | Pooled Separate Account | — | — | $741K | 0.7% | |
| DAY ONE INCOMEFLEX TARGET BALANCED EMPOWER ANNUITY INSURANCE COMPANY · EIN 06-1050034 / PN 697 | Pooled Separate Account | — | — | $470K | 0.4% | |
| REAL ESTATE / COHEN & STEERS FUND EMPOWER ANNUITY INSURANCE COMPANY · EIN 06-1050034 / PN 305 | Pooled Separate Account | — | — | $338K | 0.3% |
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