Back to filter
Original filing (PDF)20251103114202NAL0005913329001
APPALACHIAN ORTHOPAEDIC ASSOCIATES, P.C.
Form 5500
FILING_RECEIVED
APPALACHIAN ORTHOPAEDIC ASSOCIATES P.C. 401(K) PROFIT SHARING PLAN
401(k) retirement plan
Signals · 1
No recordkeeper disclosed
Active participants
134
Accounts w/ balance
190
Plan assets (EOY)
$22.7M
Net assets (EOY)
$22.7M
How this plan invests
This plan
16 pooled trusts
Schedule D
37 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 APPALACHIAN ORTHOPAEDIC ASSOCIATES, P.C..
Plan sponsor
Name
APPALACHIAN ORTHOPAEDIC ASSOCIATES, P.C.
EIN
62-1654377
Address
4105 FORT HENRY DRIVE, SUITE 300 · KINGSPORT, TN · 37663
Phone
(423) 239-1550
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
2025-11-03
Pension benefit codes
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)
2A · Age/service weighted or new comparability
Audit & trust (Schedule H)
Auditor
BLACKBURN, CHILDERS & STEAGALL, PLC
Trustee / custodian
—
Trustee phone
—
Service providers (Schedule C)
3 rowsAdvisor / Consultant
1| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| MERRILL LYNCH PIERCE FENNER & SMITH | 13-5674085 | — | CONSULTANT | $39K | — |
TPA / Administrator
2| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| PRINCIPAL LIFE INSURANCE COMPANY | 42-0127290 | — | CONTRACT ADMINISTRATOR | $17K | — |
| QUALIFIED PLAN ADMINISTRATORS, INC | 62-1832817 | — | CONTRACT ADMINISTRATOR | $400 | — |
Investments
23 direct securities · 16 pooled funds· $22.7M(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.
Common Collective Trust
$12.7M
13 holdings
Uncategorized
$7.5M
23 holdings
Pooled Separate Account
$2.6M
3 holdings
| PI | Investment | Type | Shares / units | Cost | Current value | % of plan |
|---|---|---|---|---|---|---|
| PRIN LIFETIME HYBR 2020 CIT Z PRINCIPAL GLOBAL INVESTORS TRUST CO · EIN 26-6447574 / PN 003 | Common Collective Trust | — | $19K | $2.4M | 10.7% | |
| PRIN LIFETIME HYBR 2040 CIT Z PRINCIPAL GLOBAL INVESTORS TRUST CO · EIN 26-6447574 / PN 007 | Common Collective Trust | — | $23K | $2.3M | 10.0% | |
| PRIN LGCP S&P 500 INDEX SA-Z PRINCIPAL LIFE INSURANCE COMPANY · EIN 42-0127290 / PN 016 | Pooled Separate Account | — | $2K | $2.2M | 9.7% | |
| PRIN LIFETIME HYBR 2030 CIT Z PRINCIPAL GLOBAL INVESTORS TRUST CO · EIN 26-6447574 / PN 005 | Common Collective Trust | — | $15K | $1.8M | 7.8% | |
| PRIN LIFETIME HYBR 2035 CIT Z PRINCIPAL GLOBAL INVESTORS TRUST CO · EIN 26-6447574 / PN 006 | Common Collective Trust | — | $13K | $1.7M | 7.5% | |
| PRIN LIFETIME HYBR 2045 CIT Z PRINCIPAL GLOBAL INVESTORS TRUST CO · EIN 26-6447574 / PN 008 | Common Collective Trust | — | $10K | $1.6M | 7.2% | |
| PRIN LIFETIME HYBR 2050 CIT Z PRINCIPAL GLOBAL INVESTORS TRUST CO · EIN 26-6447574 / PN 009 | Common Collective Trust | — | $5K | $1.1M | 4.9% | |
| Vanguard Group Vanguard Int-Tm BD Idx Fund 45,406.6667 units | — | — | $45K | $1.0M | 4.5% | |
| Dimensional Fund Advisors DFA US SmallCap Value I Fund 5,579.5369 units | — | — | $6K | $924K | 4.1% | |
| PRIN LIFETIME HYBR 2025 CIT Z PRINCIPAL GLOBAL INVESTORS TRUST CO · EIN 26-6447574 / PN 004 | Common Collective Trust | — | $7K | $897K | 3.9% | |
| Vanguard Group Vanguard Equity-Inc Fund 2,824.6896 units | — | — | $3K | $782K | 3.4% | |
| Principal Trust Company Fixed Income Guaranteed Option | — | — | — | $742K | 3.3% | |
| PRIN LIFETIME HYBR 2055 CIT Z PRINCIPAL GLOBAL INVESTORS TRUST CO · EIN 26-6447574 / PN 010 | Common Collective Trust | — | $2K | $503K | 2.2% | |
| Fidelity US Bond Index 43,735.7980 units | — | — | $44K | $447K | 2.0% | |
| Vanguard Group Vanguard Hi Div Yld Idx Fund 1,014.4358 units | — | — | $1K | $428K | 1.9% | |
| Vanguard Group Vanguard Growth Index Fd 1,711.3930 units | — | — | $2K | $361K | 1.6% | |
| Vanguard Group Vanguard Value Index Fund 1,651.0305 units | — | — | $2K | $351K | 1.5% | |
| Vanguard Hi Dvd Yld Indx-Adm 8,653.8230 units | — | — | $9K | $333K | 1.5% | |
| PRIN SMCAP S&P 600 INDEX SA-Z PRINCIPAL LIFE INSURANCE COMPANY · EIN 42-0127290 / PN 028 | Pooled Separate Account | — | — | $274K | 1.2% | |
| Vanguard Group Vanguard Intl Growth Fund 867.8630 units | — | — | — | $252K | 1.1% | |
| PRIN LIFETIME HYBR 2060 CIT Z PRINCIPAL GLOBAL INVESTORS TRUST CO · EIN 26-6447574 / PN 012 | Common Collective Trust | — | $4K | $249K | 1.1% | |
| Federated Fed Herm TTL TRTN BND-INST 24,309.7390 units | — | — | $24K | $227K | 1.0% | |
| PIMCO Income Fund-Ins 21,273.1860 units | — | — | $21K | $224K | 1.0% | |
| Vanguard Group Vanguard Re Index Adm Fund 193.8583 units | — | — | — | $187K | 0.8% | |
| Vanguard Group Vanguard Intl Value Inv Fund 1,671.8612 units | — | — | $2K | $181K | 0.8% | |
| Dimensional Fund Advisors DFA International SmallCap Gr Ins Fund 3,463.8994 units | — | — | $3K | $173K | 0.8% | |
| Vanguard Group Vanguard Hi-Yld Corp Fund 5,802.4649 units | — | — | $6K | $157K | 0.7% | |
| PIMCO Inv GD Credi Bond Fund 4,534.8997 units | — | — | $5K | $154K | 0.7% | |
| Vanguard Group Vanguard TTL Intl Bond Idx Fd 1,962.9628 units | — | — | $2K | $125K | 0.5% | |
| Clearbridge Intl Growth-I 1,871.9240 units | — | — | $2K | $121K | 0.5% | |
| PIMCO Global Bd USD Hedge-In 8,774.2210 units | — | — | $9K | $84K | 0.4% | |
| PRIN MIDCAP S&P 400 IDX SA-Z PRINCIPAL LIFE INSURANCE COMPANY · EIN 42-0127290 / PN 023 | Pooled Separate Account | — | — | $84K | 0.4% | |
| Hartford Funds Hartford International Value Fund 4,294.1840 units | — | — | $4K | $76K | 0.3% | |
| PRIN LIFETIME HYBR 2015 CIT Z PRINCIPAL GLOBAL INVESTORS TRUST CO · EIN 26-6447574 / PN 002 | Common Collective Trust | — | — | $72K | 0.3% | |
| Fidelity Government Port-I 55,801.1300 units | — | — | $56K | $56K | 0.2% | |
| Vanguard Group Vanguard SmallCap Value Index Fund 119.1513 units | — | — | — | $43K | 0.2% | |
| PRIN LIFETIME HYBR INC CIT Z PRINCIPAL GLOBAL INVESTORS TRUST CO · EIN 26-6447574 / PN 011 | Common Collective Trust | — | — | $11K | <0.1% | |
| PRIN LIFETIME HYB 2070 CIT Z INCIPAL GLOBAL INVESTORS TRUST CO · EIN 26-6447574 / PN 014 | Common Collective Trust | — | — | $71 | <0.1% | |
| PRIN LIFETIME HYBR 2060 CIT Z PRINCIPAL GLOBAL INVESTORS TRUST CO · EIN 26-6447574 / PN 013 | Common Collective Trust | — | — | $2 | <0.1% |