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Original filing (PDF)20251015171946NAL0002806275001
TENNESSEE ORTHOPAEDIC ALLIANCE, P.A.
Form 5500
FILING_RECEIVED
TENNESSEE ORTHOPAEDIC ALLIANCE 401(K) & PROFIT SHARING PLAN
401(k) retirement plan
Signals · 3
44% in single holdingNo recordkeeper disclosed10 service providers
Active participants
1,407
Accounts w/ balance
1,850
Plan assets (EOY)
$236.6M
Net assets (EOY)
$236.6M
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)
85
/ 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
78
Total plan cost
65
Vendor stack
80
Participation health
100
Knocking points off
- Top holding "Participant Directed Various Self-Directed Brokerage Brokerage Accounts Accounts" is 44% of plan.
- 30 bps in Schedule C fees — 204% 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 TENNESSEE ORTHOPAEDIC ALLIANCE, P.A..
Plan sponsor
Name
TENNESSEE ORTHOPAEDIC ALLIANCE, P.A.
EIN
62-0862316
Address
608 NORRIS AVENUE · NASHVILLE, TN · 37204
Phone
(615) 695-1428
Industry
Offices of Physicians· Health Care & Social Assistancesee all
Plan administrator
Same as plan sponsor.
Plan characteristics
Plan number
003
Plan year
2024
Plan year begin
2024-01-01
Tax period
2024-12-31
Filed
2025-10-15
Pension benefit codes
2A · Age/service weighted or new comparability
2E · Profit-sharing
2J · 401(k) feature
2K · 401(m) arrangement
2F · ERISA section 404(c)
2G · Total participant-directed accounts
2R · Participant-directed brokerage (SDBA)
3D · Pre-approved plan (master / prototype / VS)
2T · Default investment account (QDIA)
2S · Automatic enrollment
Audit & trust (Schedule H)
Auditor
BAKER TILLY US, LLP
Trustee / custodian
—
Trustee phone
—
Service providers (Schedule C)
10 rowsOther
10| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| JANNEY MONTGOMERY SCOTT, LLC | — | FRANKLIN, TN | NONE | $336K | — |
| NWPS | — | SEATTLE, WA | NONE | $152K | — |
| MATRIX TRUST COMPANY | 75-3182674 | PHOENIX, AZ | NONE | $80K | — |
| NORTHWESTERN MUTUAL | — | MILWAUKEE, WI | NONE | $32K | — |
| ROBERT W. BAIRD | — | COLUMBIA, TN | NONE | $31K | — |
| CHARLES SCHWAB | — | NEW YORK, NY | NONE | $26K | — |
| MERRILL LYNCH | — | NASHVILLE, TN | NONE | $24K | — |
| FIDELITY INVESTMENTS | — | BRENTWOOD, TN | NONE | $23K | — |
| UBS FINANCIAL SERVICES | — | KNOXVILLE, TN | NONE | $11K | — |
| PERSHING LLC | — | JERSEY CITY, NJ | NONE | $6K | — |
Investments
25 direct securities · 1 pooled fund· $229.2M(97% 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
$224.1M
24 holdings
Common Collective Trust
$4.1M
1 holding
Mutual Funds
$1.0M
1 holding
| PI | Investment | Type | Shares / units | Cost | Current value | % of plan |
|---|---|---|---|---|---|---|
| Participant Directed Various Self-Directed Brokerage Accounts | — | — | — | $100.1M | 42.3% | |
| Vanguard Institutional Index Fund Admiral | — | — | — | $27.9M | 11.8% | |
| State Street Target Retirement Fund 2050 | — | — | — | $9.5M | 4.0% | |
| Vanguard Mid-Cap Index Fund Admiral | — | — | — | $9.2M | 3.9% | |
| State Street Target Retirement Fund 2045 | — | — | — | $8.1M | 3.4% | |
| State Street Target Retirement Fund 2055 | — | — | — | $7.7M | 3.3% | |
| JP Morgan Equity Income Fund R6 | — | — | — | $7.2M | 3.1% | |
| Vanguard Small-Cap Index Fund Admiral | — | — | — | $6.9M | 2.9% | |
| John Hancock Income Fund R6 | — | — | — | $6.2M | 2.6% | |
| State Street Target Retirement Fund 2035 | — | — | — | $5.5M | 2.3% | |
| American Funds Europacific Growth Fund R6 | — | — | — | $5.5M | 2.3% | |
| State Street Target Retirement Fund 2030 | — | — | — | $5.4M | 2.3% | |
| State Street Target Retirement Fund 2040 | — | — | — | $5.2M | 2.2% | |
| State Street Target Retirement Fund 2060 | — | — | — | $4.7M | 2.0% | |
| PUTNAM STABLE VALUE FUND PUTNAM FIDUCIARY TRUST COMPANY · EIN 04-3159710 / PN 202 | Common Collective Trust | — | — | $4.1M | 1.7% | |
| State Street Target Retirement Fund 2020 | — | — | — | $3.3M | 1.4% | |
| State Street Target Retirement Fund | — | — | — | $2.6M | 1.1% | |
| Fidelity Advisor Emerging Markets Index Fund | — | — | — | $2.0M | 0.8% | |
| State Street Target Retirement Fund 2025 | — | — | — | $1.4M | 0.6% | |
| Vanguard REIT Index Signal Fund | — | — | — | $1.4M | 0.6% | |
| PIMCO Real Return Institutional Fund | — | — | — | $1.2M | 0.5% | |
| Vanguard Developing Markets Index Fund | — | — | — | $1.1M | 0.5% | |
| American Funds High Income Trust R6 | Mutual Funds | — | — | $1.0M | 0.4% | |
| Calamos Market Neutral Income Fund I | — | — | — | $927K | 0.4% | |
| Vanguard Total Bond Market Index Admiral Fund | — | — | — | $735K | 0.3% | |
| maturities through 2025; secured by participants' account balances -0- | — | — | — | $180K | <0.1% |