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Original filing (PDF)20251015140922NAL0002422355001
SOUTHWESTERN/GREAT AMERICAN, INC.
Form 5500
FILING_RECEIVED
SOUTHWESTERN FAMILY OF COMPANIES 401(K) AND PROFIT SHARING PLAN
401(k) retirement plan
Signals · 1
No recordkeeper disclosed
Active participants
253
Accounts w/ balance
453
Plan assets (EOY)
$37.8M
Net assets (EOY)
$37.8M
How this plan invests
This plan
3 pooled trusts
Schedule D
18 securities
funds · stocks · CUSIPs
Holdings are itemized directly on this plan's Schedule of Assets, below.
Plan health score (directional)
98
/ 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
80
Participation health
100
Knocking points off
- No recordkeeper disclosed on Schedule C.
Decision-maker contacts
CFO / Head of HR / Benefits Manager — verified email + LinkedIn for SOUTHWESTERN/GREAT AMERICAN, INC..
Plan sponsor
Name
SOUTHWESTERN/GREAT AMERICAN, INC.
EIN
62-1147144
Address
2451 ATRIUM WAY · NASHVILLE, TN · 372145102
Phone
(615) 391-2872
Industry
Wholesale Tradesee 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
2025-10-15
Pension benefit codes
2E · Profit-sharing
2F · ERISA section 404(c)
2G · Total participant-directed accounts
2J · 401(k) feature
2R · Participant-directed brokerage (SDBA)
2S · Automatic enrollment
2T · Default investment account (QDIA)
3D · Pre-approved plan (master / prototype / VS)
Audit & trust (Schedule H)
Auditor
BLANKENSHIP CPA GROUP, PLLC
Trustee / custodian
—
Trustee phone
—
Service providers (Schedule C)
2 rowsAdvisor / Consultant
1| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| PENSIONMARK FINANCIAL GROUP, LLC | 61-1758632 | — | INVESTMENT ADVISORY | $0 | — |
TPA / Administrator
1| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| PRINCIPAL LIFE INSURANCE COMPANY | 42-0127290 | — | CONTRACT ADMINISTRATOR | $92K | — |
Investments
15 direct securities · 3 pooled funds· $37.8M(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
$32.9M
14 holdings
Pooled Separate Account
$4.3M
3 holdings
Mutual Funds
$619K
1 holding
| PI | Investment | Type | Shares / units | Cost | Current value | % of plan |
|---|---|---|---|---|---|---|
| Investment contract * Principal Life Insurance Company Fixed Income Guaranteed Option N/A | — | — | — | $8.6M | 22.8% | |
| Western Asset Management Co. Core Plus Bond IS Fund N/A | — | — | — | $4.4M | 11.6% | |
| American Century Investments Equity Income R6 Fund N/A | — | — | — | $3.4M | 8.9% | |
| PIMCO Funds Income Institutional Fund N/A | — | — | — | $3.1M | 8.3% | |
| American Funds Euro Pacific Growth R6 Fund N/A | — | — | — | $3.0M | 8.0% | |
| PRIN LGCP S&P 500 INDEX SA-Z PRINCIPAL LIFE INSURANCE COMPANY · EIN 42-0127290 / PN 016 | Pooled Separate Account | — | — | $2.9M | 7.6% | |
| JP Morgan Funds Large Cap Growth R6 Fund N/A | — | — | — | $1.8M | 4.8% | |
| MFS Investment Management Mid Cap Value R6 Fund N/A | — | — | — | $1.8M | 4.7% | |
| Legg Mason Clearbridge Large Cap Growth Fund N/A | — | — | — | $1.7M | 4.5% | |
| American Funds New World R6 Fund N/A | — | — | — | $1.5M | 4.0% | |
| Janus International Holding, Inc. Enterprise N Fund N/A | — | — | — | $1.1M | 3.0% | |
| Self-directed brokerage accounts Schwab Funds Self-directed brokerage account N/A | — | — | — | $955K | 2.5% | |
| JP Morgan Funds Small Cap Equity R5 Fund N/A | — | — | — | $860K | 2.3% | |
| PRIN SMCAP S&P 600 INDEX SA-Z PRINCIPAL LIFE INSURANCE COMPANY · EIN 42-0127290 / PN 028 | Pooled Separate Account | — | — | $752K | 2.0% | |
| PRIN MIDCAP S&P 400 IDX SA-Z PRINCIPAL LIFE INSURANCE COMPANY · EIN 42-0127290 / PN 023 | Pooled Separate Account | — | — | $661K | 1.7% | |
| BlackRock iShares MSCI EAFE International Index Fund N/A | Mutual Funds | — | — | $619K | 1.6% | |
| Notes receivable from participants * Participant loans Interest rate 3.25% - 8.5% $ - | — | — | — | $390K | 1.0% | |
| BlackRock iShares US Aggregate Bond Index K Fund N/A | — | — | — | $242K | 0.6% |