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Original filing (PDF)20250930191444NAL0016875027001
TRIBECA PEDIATRICS PLLC
Form 5500
FILING_RECEIVED
TRIBECA PEDIATRICS PLLC 401(K) PLAN
401(k) retirement plan
Signals · 3
2 failed disclosures33% in single holdingNo recordkeeper disclosed
Active participants
361
Accounts w/ balance
361
Plan assets (EOY)
$19.5M
Net assets (EOY)
$19.5M
How this plan invests
This plan
17 pooled trusts
Schedule D
14 securities
funds · stocks · CUSIPs
Holdings are itemized directly on this plan's Schedule of Assets, below.
Plan health score (directional)
80
/ 100
Grade B
Above-average plan
Directional indicator computed from public Form 5500 data — compliance, concentration, cost, vendor stack and participation. Not a fiduciary tool.
Compliance & disclosures
80
Concentration risk
83
Total plan cost
65
Vendor stack
80
Participation health
100
Knocking points off
- 2 Schedule C providers failed to disclose compensation.
- Top holding "[DFE: PRINC LGCP S&P 500 INDEX SA-Z (no filing on disk)]" is 33% of plan.
- 44 bps in Schedule C fees — 53% 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 TRIBECA PEDIATRICS PLLC.
Plan sponsor
Name
TRIBECA PEDIATRICS PLLC
EIN
71-0902029
Address
11 PARK PLACE - SUITE 1200 · NEW YORK, NY · 10007
Phone
(212) 226-7666
Industry
Offices of Physicians· Health Care & Social Assistancesee all
Plan administrator
Same as plan sponsor.
Plan characteristics
Plan number
003
Plan year
2024
Plan year begin
2024-01-01
Tax period
2024-12-31
Filed
2025-09-30
Pension benefit codes
2A · Age/service weighted or new comparability
2E · Profit-sharing
2F · ERISA section 404(c)
2G · Total participant-directed accounts
2J · 401(k) feature
2T · Default investment account (QDIA)
3D · Pre-approved plan (master / prototype / VS)
3H · Sponsor in controlled / affiliated group
Audit & trust (Schedule H)
Auditor
LEHMAN FLYNN VOLLARO CPA'S PLLC
Trustee / custodian
—
Trustee phone
—
Service providers (Schedule C)
5 rowsAdvisor / Consultant
3| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| MAI CAPITAL MANAGEMENT, LLC | 61-1495162 | — | INVESTMENT ADVISORY | $0 | — |
| LWS WEALTH ADVISORS | 45-5222752 | — | INVESTMENT ADVISORY | $0 | — |
| WISHIRE ADVISORS LLC | 95-2755361 | — | INVESTMENT ADVISORY | $0 | — |
TPA / Administrator
1| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| PRINCIPAL LIFE INSURANCE COMPANY | 42-0127290 | — | CONTRACT ADMINISTRATOR | $87K | — |
Other
1| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| PRIME PENSIONS, INC. | 46-1224594 | — | OTHER SERVICES | $0 | — |
Failed / refused disclosures (Sched C Part 2)
| Provider | Nondisclosure info |
|---|---|
| WILSHIRE ADVISORS LLC | 0 |
| PRINCIPAL LIFE INSURANCE COMPANY | 1 BASIS POINT ANNUALLY ON ELIGIBLE PLAN ASSETS IN WILSHIRE 3(21) OR WILSHIRE 3(21) AUTO-EXECUTE FIDUCIARY SERVICE |
Investments
3 direct securities · 17 pooled funds· $12.3M(63% 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.
Pooled Separate Account
$7.6M
7 holdings
Uncategorized
$3.5M
3 holdings
Common Collective Trust
$1.2M
10 holdings
| PI | Investment | Type | Shares / units | Cost | Current value | % of plan |
|---|---|---|---|---|---|---|
| PRINC LGCP S&P 500 INDEX SA-Z PRINCIPAL LIFE INSURANCE COMPANY · EIN 42-0127920 / PN 016 | Pooled Separate Account | — | — | $2.9M | 14.9% | |
| [DFE: PRINCIPAL CORE FIXED INCOME SEPARATE ACCOUNT (extraction pending)] | — | — | — | $2.0M | 10.2% | |
| PRIN CORE FIX INC SEP ACCT-Z PRINCIPAL LIFE INSURANCE COMPANY · EIN 42-0127290 / PN 118 | Pooled Separate Account | — | — | $2.0M | 10.2% | |
| [DFE: PRINCIPAL DIVERSIFIED INTERNATIONAL SEPARATE ACCOUNT (extraction pending)] | — | — | — | $896K | 4.6% | |
| PRIN DIVERSIFIED INTL SA-Z PRINCIPAL LIFE INSURANCE COMPANY · EIN 42-0127290 / PN 015 | Pooled Separate Account | — | — | $896K | 4.6% | |
| [DFE: PRINCIPAL LARGECAP GROWTH I SEPARATE ACCOUNT (extraction pending)] | — | — | — | $624K | 3.2% | |
| PRINE LARGE CAP GROWTH I SA-Z PRINCIPAL GLOBAL INVESTORS TRUST CO · EIN 42-0127290 / PN 066 | Pooled Separate Account | — | — | $624K | 3.2% | |
| PRIN MIDCAP S&P 400 IDX SA-Z PRINCIPAL LIFE INSURANCE COMPANY · EIN 42-0127290 / PN 023 | Pooled Separate Account | — | — | $595K | 3.1% | |
| PRIN SMCAP S&P 600 INDEX SA-Z PRINCIPAL LIFE INSURANCE COMPANY · EIN 42-0127290 / PN 028 | Pooled Separate Account | — | — | $564K | 2.9% | |
| PRIN LIFETIME HYBR 2045 CIT Z PRINCIPAL GLOBAL INVESTORS TRUST CO · EIN 26-6447574 / PN 008 | Common Collective Trust | — | — | $359K | 1.8% | |
| PRIN LIFETIME HYBR 2055 CIT Z PRINCIPAL GLOBAL INVESTORS TRUST CO · EIN 26-6447574 / PN 010 | Common Collective Trust | — | — | $354K | 1.8% | |
| PRIN LIFETIME HYBR 2050 CIT Z PRINCIPAL GLOBAL INVESTORS TRUST CO · EIN 26-6447574 / PN 009 | Common Collective Trust | — | — | $243K | 1.2% | |
| PRIN LIFETIME HYBR 2060 CIT Z PRINCIPAL GLOBAL INVESTORS TRUST CO · EIN 26-6447574 / PN 012 | Common Collective Trust | — | — | $121K | 0.6% | |
| PRIN LIFETIME HYBR 2065 CIT Z PRINCIPAL GLOBAL INVESTORS TRUST CO · EIN 26-6447574 / PN 013 | Common Collective Trust | — | — | $84K | 0.4% | |
| PRIN LIFETIME HYBR 2030 CIT Z PRINCIPAL GLOBAL INVESTORS TRUST CO · EIN 26-6447574 / PN 005 | Common Collective Trust | — | — | $42K | 0.2% | |
| PRIN LIFETIME HYBR 2025 CIT Z PRINCIPAL GLOBAL INVESTORS TRUST CO · EIN 26-6447574 / PN 008 | Common Collective Trust | — | — | $15K | <0.1% | |
| PRIN LIFETIME HYBR INC CIT Z PRINCIPAL GLOBAL INVESTORS TRUST CO · EIN 26-6447574 / PN 011 | Common Collective Trust | — | — | $699 | <0.1% | |
| PRIN LIFETIME HYBR 2015 CIT C PRINCIPAL LIFE INSURANCE COMPANY · EIN 26-6447574 / PN 002 | Common Collective Trust | — | — | $0 | <0.1% | |
| PRIN LIFETIME HYBR 2040 CIT Z PRINCIPAL LIFE INSURANCE COMPANY · EIN 26-6447574 / PN 007 | Common Collective Trust | — | — | $0 | <0.1% | |
| PRIN SHORT-TERM INOME SA-Z PRINCIPAL LIFE INSURANCE COMPANY · EIN 42-0127290 / PN 124 | Pooled Separate Account | — | — | $0 | <0.1% |
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