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Original filing (PDF)20250925131925NAL0019519586001
OPUS ONE WINERY, LLC
Form 5500
FILING_RECEIVED
OPUS ONE 401(K) PLAN
401(k) retirement plan
Active participants
120
Accounts w/ balance
162
Plan assets (EOY)
$25.3M
Net assets (EOY)
$25.3M
How this plan invests
This plan
24 securities
funds · stocks · CUSIPs
Holdings are itemized directly on this plan's Schedule of Assets, below.
Plan health score (directional)
91
/ 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
65
Vendor stack
100
Participation health
100
Knocking points off
- 44 bps in Schedule C fees — 50% above peer band of 29 bps.
Decision-maker contacts
CFO / Head of HR / Benefits Manager — verified email + LinkedIn for OPUS ONE WINERY, LLC.
Plan sponsor
Name
OPUS ONE WINERY, LLC
EIN
68-0235610
Address
7900 ST. HELENA HIGHWAY PO BOX 6 · OAKVILLE, CA · 94562
Phone
(707) 948-2429
Industry
Manufacturingsee all
Plan administrator
Same as plan sponsor.
Plan characteristics
Plan number
002
Plan year
2024
Plan year begin
2024-01-01
Tax period
2024-12-31
Filed
2025-09-25
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
2R · Participant-directed brokerage (SDBA)
3B · Covers self-employed individuals
3D · Pre-approved plan (master / prototype / VS)
3F · Sponsor used leased employees
Audit & trust (Schedule H)
Auditor
BAKER TILLY US, LLP
Trustee / custodian
—
Trustee phone
—
Service providers (Schedule C)
4 rowsRecordkeeper
1| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| EMPOWER ANNUITY INSURANCE COMPANY O | — | GREENWOOD VILLAGE, CO | RECORDKEEPER | $7K | — |
Advisor / Consultant
1| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| NEWFRONT RETIREMENT SERVICES, INC. | — | SAN FRANCISCO, CA | INVESTMENT ADVISOR | $48K | — |
Broker
1| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| CHARLES SCHWAB & CO., INC | 94-1737782 | — | SECURITIES BROKERAGE | $1 | — |
Other
1| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| EMPOWER ADVISORY GROUP, LLC | — | GREENWOOD VILLAGE, CO | INVESTMENT MGMT | $55K | — |
Investments
24 direct securities· $25.3M(100% of reported assets)
| PI | Investment | Type | Shares / units | Cost | Current value | % of plan |
|---|---|---|---|---|---|---|
| VANGUARD 500 INDEX ADMIRAL Registered Investment Companies | — | — | — | $4.7M | 18.5% | |
| GUARANTEED PORTFOLIO FUND*** Guaranteed Investment Contract | — | — | — | $3.8M | 15.1% | |
| VANGUARD TOTAL BOND MARKET INDEX ADMIRAL Registered Investment Companies | — | — | — | $2.0M | 8.0% | |
| VANGUARD TOTAL INTL STOCK INDEX ADMIRAL Registered Investment Companies | — | — | — | $2.0M | 7.9% | |
| DODGE & COX INCOME X Registered Investment Companies | — | — | — | $1.8M | 7.3% | |
| VANGUARD MID CAP INDEX FUND - ADMIRAL Registered Investment Companies | — | — | — | $1.7M | 6.8% | |
| T. ROWE PRICE BLUE CHIP GROWTH I Registered Investment Companies | — | — | — | $1.2M | 4.8% | |
| EMPOWER LIFETIME 2035 FUND INST Registered Investment Companies | — | — | — | $1.2M | 4.7% | |
| VANGUARD SMALL CAP INDEX ADM Registered Investment Companies | — | — | — | $1.1M | 4.5% | |
| AMERICAN FUNDS EUROPACIFIC GR R6 Registered Investment Companies | — | — | — | $973K | 3.8% | |
| EMPOWER LIFETIME 2050 FUND INST Registered Investment Companies | — | — | — | $959K | 3.8% | |
| EMPOWER LIFETIME 2030 FUND INST Registered Investment Companies | — | — | — | $926K | 3.7% | |
| EMPOWER LIFETIME 2045 FUND INST Registered Investment Companies | — | — | — | $764K | 3.0% | |
| DFA REAL ESTATE SECURITIES I Registered Investment Companies | — | — | — | $429K | 1.7% | |
| EMPOWER LIFETIME 2040 FUND INST Registered Investment Companies | — | — | — | $366K | 1.4% | |
| JPMORGAN EQUITY INCOME R6 Registered Investment Companies | — | — | — | $264K | 1.0% | |
| UNDISCOVERED MGRS BEHAVIORAL VALUE R6 Registered Investment Companies | — | — | — | $216K | 0.9% | |
| FEDERATED HERMES GOVT OBL ADVISOR Registered Investment Companies | — | — | — | $212K | 0.8% | |
| JANUS HENDERSON TRITON N Registered Investment Companies | — | — | — | $205K | 0.8% | |
| SCHWAB SDB Self-Directed Brokerage Accounts | — | — | — | $157K | 0.6% | |
| maturing through December 2032 | — | — | — | $144K | 0.6% | |
| EMPOWER LIFETIME 2055 FUND INST Registered Investment Companies | — | — | — | $56K | 0.2% | |
| MFS INTERNATIONAL INTRINSIC VALUE R6 Registered Investment Companies | — | — | — | $20K | <0.1% | |
| EMPOWER LIFETIME 2060 FUND INST Registered Investment Companies | — | — | — | $2K | <0.1% |