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Original filing (PDF)20251015150635NAL0005241585001
UNIVERSITY PHYSICIANS ASSOCIATION INC
Form 5500
FILING_RECEIVED
UPA 401(K) SAVINGS PLAN
401(k) retirement plan
Signals · 4
25% in single holding~89 bps in Sched C feesNo recordkeeper disclosed6 service providers
Active participants
1,075
Accounts w/ balance
1,464
Plan assets (EOY)
$39.6M
Net assets (EOY)
$39.6M
How this plan invests
This plan
10 pooled trusts
Schedule D
96 securities
funds · stocks · CUSIPs
Holdings are itemized directly on this plan's Schedule of Assets, below.
Plan health score (directional)
87
/ 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
65
Vendor stack
80
Participation health
100
Knocking points off
- Top holding "2a Name of Participating Employer 2b EIN 2c Percentage of Total 2d Aggregate Account Balances Attributable University Health Systems, Contributions for the Plan Year to Participating Employer Inc. 31-1626179 44.73" is 25% of plan.
- 89 bps in Schedule C fees — 206% above peer band of 29 bps.
- No recordkeeper disclosed on Schedule C.
Decision-maker contacts
CFO / Head of HR / Benefits Manager — verified email + LinkedIn for UNIVERSITY PHYSICIANS ASSOCIATION INC.
Plan sponsor
Name
UNIVERSITY PHYSICIANS ASSOCIATION INC
EIN
62-1610351
Address
9000 EXECUTIVE PARK DRIVE · BUILDING C, SUITE 200 · KNOXVILLE, TN · 37923
Phone
(865) 670-6102
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
2025-10-15
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
PUGH & COMPANY
Trustee / custodian
—
Trustee phone
—
Service providers (Schedule C)
6 rowsAdvisor / Consultant
2| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| TRUIST ADVISORY SERVICES | 37-1808847 | ATLANTA, GA | PLAN ADVISOR | $152K | — |
| BRINKER CAPITAL INVESTMENTS | 13-4109249 | OMAHA, NE | PLAN ADVISOR | — | — |
TPA / Administrator
1| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| PENSION FINANCIAL SERVICES INC | 58-1485803 | DULUTH, GA | TPA | $192K | — |
Other
3| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| NATIONWIDE LIFE INSURANCE COMPANY | 13-4156830 | COLUMBUS, OH | NONE | $7K | — |
| ACTIVE CORE - ACTIVE TO TARGET DATE | 26-2409128 | SHAWNEE MISSION, KS | NONE | — | — |
| NATIONWIDE | — | COLUMBUS, OH | NONE | — | — |
Investments
96 direct securities · 10 pooled funds· $101.6M(100% of reported assets)
Rows tagged as a trust or pooled fund hold many underlying securities. Their holdings are itemized on each fund’s own Form 5500.
Uncategorized
$78.6M
96 holdings
Master Trust
$23.0M
10 holdings
| PI | Investment | Type | Shares / units | Cost | Current value | % of plan |
|---|---|---|---|---|---|---|
| 2a Name of Participating Employer 2b EIN 2c Percentage of Total 2d Aggregate Account Balances Attributable University Health Systems, Contributions for the Plan Year to Participating Employer Inc. 31-1626179 44.73 | — | — | — | $19.7M | 49.8% | |
| University Physicians' Contributions for the Plan Year to Participating Employer Association, Inc. 62-1610351 13.73 | — | — | — | $7.7M | 19.5% | |
| University Anesthesiologist, PLLC62-1123296 17.15 | — | — | — | $3.8M | 9.5% | |
| American Century Ret Readiness 2050 I Collective Investment Fund | — | — | — | $3.3M | 8.3% | |
| AMCENT RTRMTRDNS 2050 I CIT BENEFIT TRUST COMPANY · EIN 83-6703531 / PN 000 | Master Trust | — | — | $3.3M | 8.3% | |
| American Century Ret Readiness 2035 I Collective Investment Fund | — | — | — | $3.2M | 8.1% | |
| AMCENT RTRMNTRDNS 2035 I CIT BENEFIT TRUST COMPANY · EIN 83-6703531 / PN 000 | Master Trust | — | — | $3.2M | 8.1% | |
| American Century Ret Readiness 2045 I Collective Investment Fund | — | — | — | $3.1M | 7.8% | |
| AMCENT RTRMNTRDNS 2045 I CIT BENEFIT TRUST COMPANY · EIN 83-6703531 / PN 000 | Master Trust | — | — | $3.1M | 7.8% | |
| American Century Ret Readiness 2055 I Collective Investment Fund | — | — | — | $3.0M | 7.6% | |
| AMCENT RTRMTRDNS 2055 I CIT BENEFIT TRUST COMPANY · EIN 83-6703531 / PN 000 | Master Trust | — | — | $3.0M | 7.6% | |
| American Century Ret Readiness 2040 I Collective Investment Fund | — | — | — | $2.8M | 7.1% | |
| AMCENT RTRMNTRDNS 2040 I CIT BENEFIT TRUST COMPANY · EIN 83-6703531 / PN 000 | Master Trust | — | — | $2.8M | 7.1% | |
| American Century Ret Readiness 2060 I Collective Investment Fund | — | — | — | $2.6M | 6.6% | |
| AMCENT RTRMNTRDNS 2060 I CIT BENEFIT TRUST COMPANY · EIN 83-6703531 / PN 000 | Master Trust | — | — | $2.6M | 6.6% | |
| American Century Ret Readiness 2030 I Collective Investment Fund | — | — | — | $2.5M | 6.3% | |
| AMCENT RTRMTRDNS 2030 I CIT BENEFIT TRUST COMPANY · EIN 83-6703531 / PN 000 | Master Trust | — | — | $2.5M | 6.3% | |
| High Risk Obstetrical Consultants26-4483107PLLC 4.73 | — | — | — | $2.2M | 5.5% | |
| Putnam Large Cap Growth Y Mutual Fund | — | — | — | $2.1M | 5.2% | |
| University Physicians, PC 62-1697186 7.03 | — | — | — | $2.1M | 5.2% | |
| Nationwide Fixed Select Option Group Annuity Contract | — | — | — | $2.0M | 5.1% | |
| Victory Sycamore Established Value I Mutual Fund | — | — | — | $1.9M | 4.9% | |
| Vanguard Windsor Admiral Mutual Fund | — | — | — | $1.5M | 3.9% | |
| State Street Balanced Index Fund - Class K Mutual Fund | — | — | — | $1.4M | 3.6% | |
| Notes Receivable from Participants Interest Rates 4.25% - 9.50% | — | — | — | $1.1M | 2.9% | |
| American Century Ret Readiness InRet I Collective Investment Fund | — | — | — | $1.0M | 2.6% | |
| AMCENT RTRMNTRDNS I CIT BENEFIT TRUST COMPANY · EIN 83-6703531 / PN 000 | Master Trust | — | — | $1.0M | 2.6% | |
| Fidelity 500 Index Mutual Fund | — | — | — | $1.0M | 2.5% | |
| GI for Kids, PLLC 26-3748270 2.73 | — | — | — | $878K | 2.2% | |
| American Century Ret Readiness 2025 I Collective Investment Fund | — | — | — | $806K | 2.0% | |
| AMCENT RTRMNTRDNS 2025 I CIT BENEFIT TRUST COMPANY · EIN 83-6703531 / PN 000 | Master Trust | — | — | $806K | 2.0% | |
| Vanguard Total Stock Mkt Idx Adm Mutual Fund | — | — | — | $719K | 1.8% | |
| Dr. Wahid T Hanna, MD PC 62-1178151 1.65 | — | — | — | $679K | 1.7% | |
| Keeton Clinic, PLLC 27-3461841 0.65 | — | — | — | $622K | 1.6% | |
| Vanguard Total Intl Stock Idx Adm Mutual Fund | — | — | — | $620K | 1.6% | |
| American Century Ret Readiness 2065 I Collective Investment Fund | — | — | — | $578K | 1.5% | |
| AMCENT RTRMTRDNS 2065 I CIT BENEFIT TRUST COMPANY · EIN 83-6703531 / PN 000 | Master Trust | — | — | $578K | 1.5% | |
| DoubleLine Core Fixed Income Cl I Mutual Fund | — | — | — | $426K | 1.1% | |
| Morgan Stanley Inst Global Opp I Fund Mutual Fund ** 889 * Nationwide Geneva Small Cap Gr Instl Svc Mutual Fund | — | — | — | $398K | 1.0% | |
| Edmunds Gastroenterology 83-1344994 2.83 | — | — | — | $359K | 0.9% | |
| Milligan Surgical Clinic PLLC 27-2915965 1.22 | — | — | — | $352K | 0.9% | |
| Vanguard Value Idx Fund Adm Mutual Fund | — | — | — | $318K | 0.8% | |
| Vanguard Dividend Growth Fund Mutual Fund | — | — | — | $267K | 0.7% | |
| Free Medical Clinic of America68-0604388 1.12 | — | — | — | $265K | 0.7% | |
| Baird Core Plus Bond Instl Mutual Fund | — | — | — | $233K | 0.6% | |
| Tcw Metwst Ultra Short Bnd Fnd - Class I Mutual Fund | — | — | — | $199K | 0.5% | |
| Federated Instl High Yield Bond Instl Mutual Fund | — | — | — | $191K | 0.5% | |
| Preferred Surgical Associates,45-5087981PLLC 0.31 | — | — | — | $185K | 0.5% | |
| BlackRock Strategic Income Opps Inst Mutual Fund | — | — | — | $153K | 0.4% | |
| American Funds New World R6 Mutual Fund | — | — | — | $153K | 0.4% | |
| DFA US Small Cap Inst Mutual Fund | — | — | — | $150K | 0.4% | |
| Leggm ClearBridge Large Cap Growth Fd Cl 1 Mutual Fund | — | — | — | $149K | 0.4% | |
| Cohen & Steers Real Estate Securities I Mutual Fund | — | — | — | $140K | 0.4% | |
| DFA Intl Large Cap Gr Mutual Fund | — | — | — | $127K | 0.3% | |
| BlackRock 80/20 Target Allocation Fund Instl Mutual Fund | — | — | — | $125K | 0.3% | |
| Vanguard Inflation-Protected Sec Fd Adm Mutual Fund ** 2 Vanguard Intl Value Fund Investor Mutual Fund | — | — | — | $123K | 0.3% | |
| Shea Aesthetic Clinic, LLC 83-0742929 0.60 | — | — | — | $96K | 0.2% | |
| Joseph T Chun, MD 62-1504727 0.06 | — | — | — | $89K | 0.2% | |
| AQR Equity Market Neutral Fund Class I Mutual Fund | — | — | — | $86K | 0.2% | |
| Schedule MEP (Form 5500) Page 3- 1 2a Name of Participating Employer 2b EIN 2c Percentage of Total 2d Aggregate Account Balances Attributable Contributions for the Plan Year to Participating Employer Beacon Sleep Services, Inc. 46-1104396 0.29 | — | — | — | $85K | 0.2% | |
| Vanguard Commodity Strat Fd Adm Mutual Fund | — | — | — | $84K | 0.2% | |
| PIMCO International Bond USD-Hdg Instl Mutual Fund | — | — | — | $79K | 0.2% | |
| Fidelity US Bond Index Mutual Fund | — | — | — | $70K | 0.2% | |
| Brown Advisory Sustainable Growth Fund I Mutual Fund | — | — | — | $67K | 0.2% | |
| Artisan International Value Instl Mutual Fund | — | — | — | $66K | 0.2% | |
| Vanguard Emerging Mkts Stock Idx Fd Adm Mutual Fund | — | — | — | $51K | 0.1% | |
| Federated Short Term Intermediate Ttl Bd Fd Instl Mutual Fund | — | — | — | $47K | 0.1% | |
| Tranquility Sleep Specialists,27-4104110PLLC 0.34 | — | — | — | $47K | 0.1% | |
| T. Rowe Price Retirement 2060 Fund I Mutual Fund | — | — | — | $42K | 0.1% | |
| Vanguard Total Intl Bd Idx Adm Mutual Fund | — | — | — | $41K | 0.1% | |
| Fidelity Govt Money Mkt Fund Cl K6 Mutual Fund | — | — | — | $38K | <0.1% | |
| Rocky Top ENT, PLLC 62-1610351 0.52 | — | — | — | $30K | <0.1% | |
| Southeastern Surgical 35-2786252 0.32 | — | — | — | $24K | <0.1% | |
| Federated Government Obligs Premier Mutual Fund | — | — | — | $23K | <0.1% | |
| Schwab Personal Choice Retirement Account Self-Directed Brokerage Account | — | — | — | $20K | <0.1% | |
| Principal Mid-Cap R6 Mutual Fund | — | — | — | $13K | <0.1% | |
| Pediatric Consultants of Lenoir26-2605185City, PLLC 0.00 | — | — | — | $7K | <0.1% | |
| Vanguard Large Cap Index Fund Adm Mutual Fund | — | — | — | $5K | <0.1% | |
| Fidelity Advisor Equity Growth Fund Class Z Mutual Fund | — | — | — | $5K | <0.1% | |
| Fidelity Advisor Balance I Mutual Fund | — | — | — | $5K | <0.1% | |
| Putnam Dynamic Asset Alloc Bal R6 Mutual Fund | — | — | — | $5K | <0.1% | |
| Nationwide Us Quality Equity Fund - Class R6 Mutual Fund | — | — | — | $5K | <0.1% | |
| Calvert International Equity I Mutual Fund | — | — | — | $5K | <0.1% | |
| Vanguard Wellesley Income Admiral Mutual Fund | — | — | — | $5K | <0.1% | |
| Vanguard Small Cap Index Fund Adm Mutual Fund | — | — | — | $4K | <0.1% | |
| Vanguard Euro Stock Index Adm Mutual Fund ** 696 Vanguard Global Min Vol Adm Mutual Fund ** 809 Vanguard GNMA Adm Mutual Fund | — | — | — | $4K | <0.1% | |
| Fidelity Puritan K6 Mutual Fund | — | — | — | $4K | <0.1% | |
| Fidelity Balance K6 Mutual Fund | — | — | — | $4K | <0.1% | |
| Virtus AllianxGI Technology Inst Mutual Fund | — | — | — | $3K | <0.1% | |
| 29 CFR | — | — | — | $3K | <0.1% | |
| Vanguard Strat Equity Fund Investor Mutual Fund | — | — | — | $2K | <0.1% | |
| AB Discovery Growth Fund Class I Mutual Fund | — | — | — | $2K | <0.1% | |
| Fidelity Inflation-Prot Bd Index Mutual Fund | — | — | — | $2K | <0.1% | |
| Vanguard Ttl Bd Mkt Index Fd Adm Mutual Fund | — | — | — | $1K | <0.1% | |
| Alger Capital Appreciation Portfolio Cl I2 Mutual Fund | — | — | — | $1K | <0.1% | |
| Rydexsgi Nasdaq100 2x Strath Mutual Fund | — | — | — | $1K | <0.1% | |
| T. Rowe Price Communications & Tech Fund I Class Mutual Fund | — | — | — | $1K | <0.1% | |
| AB Large Cap Growth Fund Mutual Fund | — | — | — | $1K | <0.1% | |
| Fidelity Select Semiconductors Portfolio Mutual Fund | — | — | — | $1K | <0.1% | |
| Rydexsgi S P 500 2x Strath Mutual Fund | — | — | — | $1K | <0.1% | |
| Fidelity Advisor Industrials Class I Mutual Fund | — | — | — | $1K | <0.1% | |
| Fidelity Environment And Alternative Energy Fund Mutual Fund | — | — | — | $1K | <0.1% | |
| Nationwide Nyse Arctch100indx R6 Mutual Fund | — | — | — | $1K | <0.1% | |
| Franklin Utilities Fund - Class R6 Mutual Fund | — | — | — | $1K | <0.1% | |
| Allspring Precious Metals Inst Mutual Fund | — | — | — | $1K | <0.1% | |
| Fidelity Advisor Biotechnology Fund Class Z Mutual Fund | — | — | — | $1K | <0.1% |