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Original filing (PDF)20251014200935NAL0001811795001
SHAPIRO & DUNCAN INC.
Form 5500
FILING_RECEIVED
SHAPIRO & DUNCAN, INC. EMPLOYEE 401(K) PLAN
401(k) retirement plan
Active participants
359
Accounts w/ balance
420
Plan assets (EOY)
$53.8M
Net assets (EOY)
$53.8M
How this plan invests
This plan
9 pooled trusts
Schedule D
20 securities
funds · stocks · CUSIPs
Holdings are itemized directly on this plan's Schedule of Assets, below.
Plan health score (directional)
100
/ 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
100
Decision-maker contacts
CFO / Head of HR / Benefits Manager — verified email + LinkedIn for SHAPIRO & DUNCAN INC..
Plan sponsor
Name
SHAPIRO & DUNCAN INC.
EIN
52-1069819
Address
14620 ROTHGEB DRIVE · ROCKVILLE, MD · 20850
Phone
(240) 405-6350
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
2025-10-14
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
COHNREZNICK
Trustee / custodian
—
Trustee phone
—
Service providers (Schedule C)
2 rowsRecordkeeper
1| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| EMPOWER ANNUITY INSURANCE COMPANY O | 06-1050034 | GREENWOOD VILLAGE, CO | RECORDKEEPER | $49K | — |
Advisor / Consultant
1| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| KESTRA ADVISORY SERVICES LLC | — | AUSTIN, TX | INVESTMENT ADVISOR | $29K | — |
Investments
12 direct securities · 9 pooled funds· $53.8M(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
$28.8M
12 holdings
Common Collective Trust
$14.8M
5 holdings
Pooled Separate Account
$10.2M
4 holdings
| PI | Investment | Type | Shares / units | Cost | Current value | % of plan |
|---|---|---|---|---|---|---|
| Guaranteed Income Fund | — | — | — | $10.3M | 19.2% | |
| T. ROWE US LG CAP GROWTH EQTY (IS P EMPOWER ANNUITY INSURANCE COMPANY · EIN 06-1050034 / PN 828 | Pooled Separate Account | — | — | $6.7M | 12.4% | |
| LARGE CAP VALUE FUND III CL I1 GREAT GRAY TRUST · EIN 38-7289865 / PN 001 | Common Collective Trust | — | — | $6.0M | 11.2% | |
| INTERNATIONAL EQUITY FUND FEE CLASS GREAT GRAY TRUST · EIN 38-4139853 / PN 631 | Common Collective Trust | — | — | $4.9M | 9.1% | |
| Vanguard 500 Index Fund Admiral | — | — | — | $3.8M | 7.1% | |
| Vanguard Total Intl Stock Index Admiral | — | — | — | $3.6M | 6.7% | |
| SA/INVESCO SMALL CAP GROWTH STRATEG EMPOWER ANNUITY INSURANCE COMPANY · EIN 06-1050034 / PN 293 | Pooled Separate Account | — | — | $3.0M | 5.5% | |
| Victory Sycamore Established Value | — | — | — | $2.6M | 4.9% | |
| Metropolitan West Total Return Bond Fund | — | — | — | $2.3M | 4.3% | |
| EMERGING MARKETS FUND II CL I1 GREAT GRAY TRUST · EIN 38-7304135 / PN 001 | Common Collective Trust | — | — | $2.2M | 4.0% | |
| Victory Sycamore Small Company Opp | — | — | — | $2.0M | 3.8% | |
| MID CAP GROWTH FUND II CL I1 GREAT GRAY TRUST · EIN 38-7304118 / PN 181 | Common Collective Trust | — | — | $1.7M | 3.2% | |
| Participant loans | — | — | — | $1.7M | 3.1% | |
| Vanguard Total Bond Index Fund | — | — | — | $1.1M | 2.0% | |
| JP Morgan Core Bond Fund | — | — | — | $1.1M | 2.0% | |
| REAL ESTATE / COHEN & STEERS FUND EMPOWER ANNUITY INSURANCE COMPANY · EIN 06-1050034 / PN 305 | Pooled Separate Account | — | — | $575K | 1.1% | |
| Vanguard Mid-Cap Index Fund | — | — | — | $127K | 0.2% | |
| Vanguard Small-Cap Index Admiral Fund | — | — | — | $117K | 0.2% | |
| DAY ONE INCOMEFLEX TARGET BALANCED EMPOWER ANNUITY INSURANCE COMPANY · EIN 06-1050034 / PN 697 | Pooled Separate Account | — | — | $17K | <0.1% | |
| Blackrock High Yield Bond Portfolio | — | — | — | $8K | <0.1% | |
| EMERGING MARKETS CIT GREAT GRAY TRUST · EIN 86-1819869 / PN 672 | Common Collective Trust | — | — | $0 | <0.1% |