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Original filing (PDF)20251014011025NAL0000993843001
ORANGE COUNTY UROLOGY ASSOCIATES, INC. A MEDICAL GROUP
Form 5500
FILING_RECEIVED
ORANGE COUNTY UROLOGY ASSOCIATES 401(K) PROFIT SHARING PLAN
401(k) retirement plan
Signals · 1
25% in single holding
Active participants
123
Accounts w/ balance
222
Plan assets (EOY)
$20.1M
Net assets (EOY)
$20.1M
How this plan invests
This plan
27 securities
funds · stocks · CUSIPs
Holdings are itemized directly on this plan's Schedule of Assets, below.
Plan health score (directional)
92
/ 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
87
Total plan cost
80
Vendor stack
100
Participation health
100
Knocking points off
- Top holding "Self-Directed Brokerage Accounts Personal Choice Retirement Account Self-Directed Brokerage Account" is 25% of plan.
- 36 bps in Schedule C fees — modestly above peer band of 29 bps.
Decision-maker contacts
CFO / Head of HR / Benefits Manager — verified email + LinkedIn for ORANGE COUNTY UROLOGY ASSOCIATES, INC. A MEDICAL GROUP.
Plan sponsor
Name
ORANGE COUNTY UROLOGY ASSOCIATES, INC. A MEDICAL GROUP
EIN
57-1143045
Address
23961 CALLE DE LA MAGDALENA · STE 500 · LAGUNA HILLS, CA · 92653
Phone
(949) 855-1101
Industry
Offices of Physicians· Health Care & Social Assistancesee 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
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
2R · Participant-directed brokerage (SDBA)
2T · Default investment account (QDIA)
3D · Pre-approved plan (master / prototype / VS)
Audit & trust (Schedule H)
Auditor
LEE CPA AUDIT GROUP
Trustee / custodian
—
Trustee phone
—
Service providers (Schedule C)
4 rowsRecordkeeper
2| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| SPECTRUM PENSION CONSULTANTS, INC. | 91-1035498 | — | RECORDKEEPER | $27K | — |
| TRANSAMERICA RETIREMENT SOLUTIONS, | 13-3689044 | — | RECORDKEEPER | $15K | — |
Advisor / Consultant
1| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| SIGNATURE ESTATE AND INVESTMENT ADV | 95-4806910 | — | INVESTMENT ADVISORY -PLAN | $21K | — |
Broker
1| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| ENVESTNET ASSET MANAGEMENT INC | 36-4319587 | — | SECURITIES BROKER | $9K | — |
Investments
27 direct securities· $19.2M(96% of reported assets)
| PI | Investment | Type | Shares / units | Cost | Current value | % of plan |
|---|---|---|---|---|---|---|
| Self-Directed Brokerage Accounts Personal Choice Retirement Account Self-Directed Brokerage Account | — | — | — | $4.9M | 24.2% | |
| Self-Directed Brokerage Accounts Self-Directed Brokerage Account | — | — | — | $3.1M | 15.6% | |
| American Funds 2040 Trgt Date Retire R6 Registered Investment Company | — | — | — | $2.2M | 10.8% | |
| Fidelity 500 Index Registered Investment Company | — | — | — | $1.8M | 8.9% | |
| American Funds Growth Fund of Amer R4 Registered Investment Company | — | — | — | $1.5M | 7.5% | |
| American Funds 2050 Trgt Date Retire R6 Registered Investment Company | — | — | — | $1.2M | 5.8% | |
| Putnam Large Cap Value A Registered Investment Company | — | — | — | $657K | 3.3% | |
| American Funds 2045 Trgt Date Retire R6 Registered Investment Company | — | — | — | $483K | 2.4% | |
| American Funds 2055 Trgt Date Retire R6 Registered Investment Company | — | — | — | $437K | 2.2% | |
| Vanguard Mid Cap Growth Inv Registered Investment Company | — | — | — | $374K | 1.9% | |
| American Funds Capital Inc Bldr R4 Registered Investment Company | — | — | — | $317K | 1.6% | |
| American Funds EuroPacific Gr R4 Registered Investment Company | — | — | — | $293K | 1.5% | |
| Registered Investment Companies Allspring Special Mid Cap Value R6 Registered Investment Company | — | — | — | $269K | 1.3% | |
| American Funds New Perspective R4 Registered Investment Company | — | — | — | $247K | 1.2% | |
| American Funds 2030 Trgt Date Retire R6 Registered Investment Company | — | — | — | $221K | 1.1% | |
| American Funds 2060 Trgt Date Retire R6 Registered Investment Company | — | — | — | $189K | 0.9% | |
| American Funds 2020 Trgt Date Retire R6 Registered Investment Company | — | — | — | $169K | 0.8% | |
| Lord Abbett Bond Debenture R6 Registered Investment Company | — | — | — | $166K | 0.8% | |
| Fully Benefit-Responsive Investment Contract * Transamerica Stable Value Core Option Fully Benefit-Responsive Investment Contract | — | — | — | $157K | 0.8% | |
| Vanguard Small Cap Value Index Admiral Registered Investment Company | — | — | — | $122K | 0.6% | |
| Interest-Bearing Cash Money Market Funds Interest-Bearing Cash | — | — | — | $118K | 0.6% | |
| Vanguard Small Cap Index Adm Registered Investment Company | — | — | — | $115K | 0.6% | |
| Loomis Sayles Investment Grade Bond A Registered Investment Company | — | — | — | $108K | 0.5% | |
| American Funds Capital World G/I R4 Registered Investment Company | — | — | — | $82K | 0.4% | |
| Participant Loans Interest rates at (9.00% ~ 9.50%) $0 | — | — | — | $71K | 0.4% | |
| American Funds 2065 Trgt Date Retire R6 Registered Investment Company | — | — | — | $23K | 0.1% | |
| Principal Government & High Qual Bd Inst Registered Investment Company | — | — | — | $14K | <0.1% |