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Original filing (PDF)20250730150903NAL0002477987001
BROCK & SCOTT PLLC
Form 5500
FILING_RECEIVED
BROCK & SCOTT PLLC 401K PROFIT SHARING PLAN AND TRUST
401(k) retirement plan
Active participants
628
Accounts w/ balance
534
Plan assets (EOY)
$15.4M
Net assets (EOY)
$15.4M
How this plan invests
This plan
1 pooled trust
Schedule D
26 securities
funds · stocks · CUSIPs
Holdings are itemized directly on this plan's Schedule of Assets, below.
Plan health score (directional)
91
/ 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
65
Vendor stack
100
Participation health
100
Knocking points off
- 64 bps in Schedule C fees — 122% above peer band of 29 bps.
Decision-maker contacts
CFO / Head of HR / Benefits Manager — verified email + LinkedIn for BROCK & SCOTT PLLC.
Plan sponsor
Name
BROCK & SCOTT PLLC
EIN
56-2107459
Address
1315 WESTBROOK PLAZA DR STE 100 · WINSTON SALEM, NC · 271031357
Phone
(336) 354-1200
Industry
All Other Professional Services· Professional & Technical Servicessee 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
2025-07-30
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
2K · 401(m) arrangement
2T · Default investment account (QDIA)
3D · Pre-approved plan (master / prototype / VS)
3H · Sponsor in controlled / affiliated group
Audit & trust (Schedule H)
Auditor
BERNARD ROBINSON & COMPANY LLP
Trustee / custodian
—
Trustee phone
—
Service providers (Schedule C)
3 rowsRecordkeeper
1| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| PAYCHEX, INC. | 16-1124166 | ROCHESTER, NY | RECORDKEEPER | $39K | — |
Advisor / Consultant
2| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| TRUIST ADVISORY SERVICES, INC. | 37-1808847 | ATLANTA, GA | ADVISOR | $54K | — |
| MESIROW | 36-3429599 | CHICAGO, IL | INVESTMENT ADVISORY | $7K | — |
Investments
25 direct securities · 1 pooled fund· $15.4M(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.
Uncategorized
$15.0M
25 holdings
Common Collective Trust
$434K
1 holding
| PI | Investment | Type | Shares / units | Cost | Current value | % of plan |
|---|---|---|---|---|---|---|
| State Street State Street Equity 500 Index K | — | — | — | $2.2M | 14.1% | |
| Vanguard Growth Index Admiral | — | — | — | $2.0M | 12.9% | |
| Vanguard Value Index Admiral | — | — | — | $1.3M | 8.4% | |
| State Street State Street Target Retirement 2030 K | — | — | — | $1.1M | 7.4% | |
| State Street State Street Target Retirement 2035 K | — | — | — | $1.1M | 7.3% | |
| State Street State Street Target Retirement 2050 K | — | — | — | $951K | 6.2% | |
| Vanguard Balanced Index Admiral | — | — | — | $717K | 4.6% | |
| Blackrock Ishares MSCI EAFE International Index K | — | — | — | $618K | 4.0% | |
| Fidelity Mid Cap Index | — | — | — | $586K | 3.8% | |
| State Street State Street Target Retirement 2045 K | — | — | — | $561K | 3.6% | |
| State Street State Street Target Retirement 2040 K | — | — | — | $516K | 3.3% | |
| State Street State Street Aggregate Bond Index K | — | — | — | $467K | 3.0% | |
| State Street State Street Target Retirement 2055 K | — | — | — | $445K | 2.9% | |
| Fidelity Small Cap Index | — | — | — | $439K | 2.8% | |
| METLIFE GAC SERIES 25053 0 RELIANCE TRUST · EIN 46-6625485 / PN 001 | Common Collective Trust | — | — | $434K | 2.8% | |
| Nuveen TIAA-CREF Equity Index Institutional | — | — | — | $358K | 2.3% | |
| Vanguard Small Cap Growth Index Admiral | — | — | — | $305K | 2.0% | |
| State Street State Street Target Retirement 2060 K | — | — | — | $292K | 1.9% | |
| Vanguard Small Cap Index Admiral | — | — | — | $263K | 1.7% | |
| Participants loans 4.25%-9.50%, various maturity dates through 2029 | — | — | — | $187K | 1.2% | |
| State Street State Street Target Retirement 2025 K | — | — | — | $162K | 1.0% | |
| Vanguard Small Cap Value Index Admiral | — | — | — | $132K | 0.9% | |
| State Street State Street Global All Cap Equity Ex-Us Index K | — | — | — | $111K | 0.7% | |
| State Street State Street Target Retirement 2020 K | — | — | — | $110K | 0.7% | |
| State Street State Street Target Retirement K | — | — | — | $38K | 0.2% | |
| State Street State Street Target Retirement 2065 K | — | — | — | $10K | <0.1% |