Holdings are itemized directly on this plan's Schedule of Assets, below.
| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| CAPITAL GROUP RETIREMENT PLAN SERVI | — | IRVINE, CA | RECORDKEEPER | $4K | — |
| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| LPL FINANCIAL | 04-3046611 | — | INVESTMENT ADVISOR | $6K | — |
Rows tagged as a trust or pooled fund hold many underlying securities. Their holdings are itemized on each fund’s own Form 5500.
| PI | Investment | Type | Shares / units | Cost | Current value | % of plan |
|---|---|---|---|---|---|---|
| First Southwest Corporation Common Stock | — | — | $3.6M | $8.3M | 50.7% | |
| First Southwest Corporation Common Stock | — | — | $2.2M | $4.0M | 24.2% | |
| First Bank Certificates of Deposit Certificates of Deposit |
| — |
| — |
| $1.6M |
| $1.6M |
| 9.8% |
| American Funds 2015 Target Date Fund Mutual Fund | — | — | — | $497K | 3.0% |
| American Funds 2035 Target Date Fund Mutual Fund | — | — | — | $353K | 2.2% |
| American Funds 2020 Target Date Fund Mutual Fund | — | — | — | $287K | 1.7% |
| American Funds 2040 Target Date Fund Mutual Fund | — | — | — | $268K | 1.6% |
| American Funds 2045 Target Date Fund Mutual Fund | — | — | — | $162K | 1.0% |
| First Bank Cash Equivalents | — | — | $154K | $154K | 0.9% |
| American Funds 2025 Target Date Fund Mutual Fund | — | — | — | $144K | 0.9% |
| American Funds 2030 Target Date Fund Mutual Fund | — | — | — | $123K | 0.7% |
| American Funds 2055 Target Date Fund Mutual Fund | — | — | — | $92K | 0.6% |
| American Funds 2050 Target Date Fund Mutual Fund | — | — | — | $80K | 0.5% |
| American Funds 2010 Target Date Fund Mutual Fund | — | — | — | $79K | 0.5% |
| American Funds US Govt Money Market Mutual Fund | — | — | — | $55K | 0.3% |
| Pimco Income Instl Mutual Fund | — | — | — | $55K | 0.3% |
| American Funds 2060 Target Date Fund Mutual Fund | — | — | — | $28K | 0.2% |
| Fidelity 500 Index Mutual Fund | — | — | — | $18K | 0.1% |
| JP Morgan Large Cap Growth Mutual Fund | — | — | — | $15K | <0.1% |
| American Funds 2065 Target Date Fund Mutual Fund | — | — | — | $15K | <0.1% |
| American Funds Washington Mutual Fund | — | — | — | $14K | <0.1% |
| Fidelity Large Cap Growth Index Mutual Fund | — | — | — | $10K | <0.1% |
| American Funds Europacific Mutual Fund | — | — | — | $6K | <0.1% |
| American Funds New Perspective Mutual Fund | — | — | — | $5K | <0.1% |
| Fidelity Mid Cap Index Mutual Fund | — | — | — | $3K | <0.1% |
| MAP CONTRACT VOYA LIFE INSURANCE AND ANNUITY CO. · EIN 71-0294708 / PN 000 | Pooled Separate Account | — | — | $0 | <0.1% |
