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Original filing (PDF)20250926174514NAL0004128483002
U.A. LOCAL 13 ANNUITY FUND
Form 5500
FILING_RECEIVED
U.A. LOCAL 13 ANNUITY FUND
401(k) retirement plan
Signals · 3
78% in single holdingNo recordkeeper disclosed6 service providers
Active participants
1,119
Accounts w/ balance
1,410
Plan assets (EOY)
$201.4M
Net assets (EOY)
$201.4M
How this plan invests
This plan
3 pooled trusts
Schedule D
3 securities
funds · stocks · CUSIPs
Holdings are itemized directly on this plan's Schedule of Assets, below.
Plan health score (directional)
84
/ 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
100
Concentration risk
75
Total plan cost
65
Vendor stack
80
Participation health
100
Knocking points off
- Top holding "[DFE: LARGE CAP GROWTH AMERICAN CENTURY (SALG3) (extraction pending)]" is 78% of plan.
- 18 bps in Schedule C fees — 77% above peer band of 10 bps.
- No recordkeeper disclosed on Schedule C.
Decision-maker contacts
CFO / Head of HR / Benefits Manager — verified email + LinkedIn for U.A. LOCAL 13 ANNUITY FUND.
Plan sponsor
Name
U.A. LOCAL 13 ANNUITY FUND
EIN
52-1041321
Address
1850 MT. READ BLVD. · ROCHESTER, NY · 146153703
Phone
(585) 338-2310
Industry
Plumbing, Heating, AC Contractors· Constructionsee 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
2025-09-26
Pension benefit codes
2E · Profit-sharing
2G · Total participant-directed accounts
2J · 401(k) feature
Audit & trust (Schedule H)
Auditor
BONADIO & CO., LLP
Trustee / custodian
—
Trustee phone
—
Service providers (Schedule C)
6 rowsAdvisor / Consultant
1| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| SEGAL MARCO ADVISORS, INC. | 13-2646110 | — | INVESTMENT ADVISOR | $32K | — |
Other
5| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| U.A. LOCAL 13 EMPLOYERS GRP INS FUD | 16-0766976 | — | RELATED PARTY/SHARED EXP. | $162K | — |
| EMPOWER ANNUITY INSURANCE COMPANY | — | GREENWOOD VILLAGE, CO | NONE | $67K | — |
| ASHERKELLY | — | SOUTHFIELD, MI | NONE | $47K | — |
| BONADIO & CO. LLP | 16-1131146 | — | NONE | $27K | — |
| U.A. LOCAL 13 BUILDING, INC. | 23-7358299 | — | RELATED PARTY/RENT | $20K | — |
Investments
3 pooled funds· $24.8M(12% 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.
| PI | Investment | Type | Shares / units | Cost | Current value | % of plan |
|---|---|---|---|---|---|---|
| LARGE CAP GROWTH/AMERICAN CENTURY PRUDENTIAL RETIREMENT INC. · EIN 06-1050034 / PN 253 | Pooled Separate Account | — | — | $19.2M | 9.5% | |
| SMALL CAP VALUE/KENNEDY CAPITAL PRUDENTIAL RETIREMENT INC. · EIN 06-1050034 / PN 257 | Pooled Separate Account | — | — | $3.4M | 1.7% | |
| KETWEST CORE PLUS BOND FUND PRUDENTIAL RETIREMENT INC. · EIN 06-1050034 / PN 826 | Pooled Separate Account | — | — | $2.2M | 1.1% |