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Original filing (PDF)20251015140008NAL0004754465001
THOMPSON HOLDINGS, INC.
Form 5500
FILING_RECEIVED
THOMPSON HOLDINGS, INC. 401(K) AND EMPLOYEE STOCK OWNERSHIP PLAN
401(k) retirement plan
Signals · 1
68% in single holding
Active participants
518
Accounts w/ balance
714
Plan assets (EOY)
$117.4M
Net assets (EOY)
$104.9M
How this plan invests
This plan
44 securities
funds · stocks · CUSIPs
Holdings are itemized directly on this plan's Schedule of Assets, below.
Plan health score (directional)
90
/ 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
75
Total plan cost
80
Vendor stack
100
Participation health
100
Knocking points off
- Top holding "THOMPSON HOLDINGS, INC. 60,469.60 shares" is 68% of plan.
- 15 bps in Schedule C fees — modestly above peer band of 10 bps.
Decision-maker contacts
CFO / Head of HR / Benefits Manager — verified email + LinkedIn for THOMPSON HOLDINGS, INC..
Plan sponsor
Name
THOMPSON HOLDINGS, INC.
EIN
72-1381313
Address
2970 COTTAGE HILL ROAD · SUITE 190 · MOBILE, AL · 36606
Phone
(251) 666-2443
Industry
Engineering Services· Professional & Technical Servicessee all
Plan administrator
Name
THOMPSON HOLDINGS, INC.
EIN
72-1381313
City
MOBILE, AL
Phone
(251) 666-2443
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
2H · Partial participant-directed accounts
2J · 401(k) feature
2K · 401(m) arrangement
2P · Leveraged ESOP
2R · Participant-directed brokerage (SDBA)
2Q · S-corporation ESOP
2S · Automatic enrollment
2T · Default investment account (QDIA)
3I · Requires investment in employer securities
Audit & trust (Schedule H)
Auditor
WARREN AVERETT, LLC
Trustee / custodian
—
Trustee phone
—
Service providers (Schedule C)
4 rowsRecordkeeper
1| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| EMPOWER ANNUITY INSURANCE COMPANY | 84-0467907 | GREENWOOD VILLAGE, CO | RECORDKEEPER | $32K | — |
Advisor / Consultant
2| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| EMPOWER ADVISORY GROUP, LLC | — | GREENWOOD VILLAGE, CO | INVESTMENT MANAGER | $71K | — |
| RAYMOND JAMES & ASSOCIATES, INC. | — | ST PETERSBURG, FL | INVESTMENT ADVISOR | $63K | — |
TPA / Administrator
1| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| BLUE RIDGE ESOP ASSOCIATES | 13-4238973 | CHARLOTTESVILLE, VA | CONTRACT ADMIN | $6K | — |
Investments
44 direct securities· $116.5M(99% of reported assets)
| PI | Investment | Type | Shares / units | Cost | Current value | % of plan |
|---|---|---|---|---|---|---|
| THOMPSON HOLDINGS, INC. 60,469.60 shares | — | — | $14.1M | $79.2M | 67.5% | |
| DODGE & COX INCOME X Mutual funds n/a | — | — | — | $3.8M | 3.3% | |
| AMERICAN FUNDS 2050 TRGT DATE RETIRE R6 Mutual funds n/a | — | — | — | $3.0M | 2.6% | |
| VANGUARD 500 INDEX ADMIRAL Mutual funds n/a | — | — | — | $3.0M | 2.6% | |
| AMERICAN FUNDS 2045 TRGT DATE RETIRE R6 Mutual funds n/a | — | — | — | $2.8M | 2.4% | |
| KEY GUARANTEED PORTFOLIO FUND Fixed annuity n/a | — | — | — | $2.4M | 2.1% | |
| INDIVIDUAL BROKERAGE ACCOUNTS Directed investments n/a | — | — | — | $2.3M | 2.0% | |
| AMERICAN FUNDS 2040 TRGT DATE RETIRE R6 Mutual funds n/a | — | — | — | $1.9M | 1.6% | |
| TCW METWEST TOTAL RETURN BOND PLAN Mutual funds n/a | — | — | — | $1.7M | 1.5% | |
| T. ROWE PRICE INFLATION PROTECTED BOND I Mutual funds n/a | — | — | — | $1.5M | 1.3% | |
| VANGUARD TOTAL INTL STOCK INDEX ADMIRAL Mutual funds n/a | — | — | — | $1.5M | 1.2% | |
| AMERICAN FUNDS 2035 TRGT DATE RETIRE R6 Mutual funds n/a | — | — | — | $1.3M | 1.1% | |
| JPMORGAN SMALL CAP GROWTH R6 Mutual funds n/a 12 LORD ABBETT BOND DEBENTURE R6 Mutual funds n/a | — | — | — | $1.1M | 0.9% | |
| INVESCO COMSTOCK R6 Mutual funds n/a | — | — | — | $1.1M | 0.9% | |
| AMERICAN FUNDS 2055 TRGT DATE RETIRE R6 Mutual funds n/a | — | — | — | $899K | 0.8% | |
| AMERICAN FUNDS 2060 TRGT DATE RETIRE R6 Mutual funds n/a | — | — | — | $751K | 0.6% | |
| AMERICAN FUNDS 2025 TRGT DATE RETIRE R6 Mutual funds n/a | — | — | — | $705K | 0.6% | |
| LORD ABBETT GROWTH LEADERS R6 Mutual funds n/a | — | — | — | $661K | 0.6% | |
| to 10.50% | — | — | — | $555K | 0.5% | |
| VANGUARD SMALL CAP INDEX ADM Mutual funds n/a | — | — | — | $498K | 0.4% | |
| MACQUARIE ASSET STRATEGY A Mutual funds n/a | — | — | — | $494K | 0.4% | |
| CLEARBRIDGE INTERNATIONAL GROWTH IS Mutual funds n/a | — | — | — | $486K | 0.4% | |
| EMPOWER T ROWE PRICE MDCP GR INST Mutual funds n/a | — | — | — | $481K | 0.4% | |
| OAKMARK INSTITUTIONAL Mutual funds n/a | — | — | — | $450K | 0.4% | |
| MASSMUTUAL BLUE CHIP GROWTH I Mutual funds n/a | — | — | — | $435K | 0.4% | |
| COLUMBIA DIVIDEND INCOME INSTL 3 Mutual funds n/a | — | — | — | $405K | 0.3% | |
| FIDELITY INSTITUTIONAL Money market funds n/a | — | — | — | $397K | 0.3% | |
| TOUCHSTONE SMALL COMPANY R6 Mutual funds n/a | — | — | — | $377K | 0.3% | |
| VANGUARD MID-CAP INDEX FUND - ADMIRAL Mutual funds n/a | — | — | — | $356K | 0.3% | |
| NUVEEN REAL ESTATE SECURITIES R6 Mutual funds n/a | — | — | — | $343K | 0.3% | |
| AMERICAN FUNDS 2065 TRGT DATE RETIRE R6 Mutual funds n/a | — | — | — | $319K | 0.3% | |
| HARTFORD CORE EQUITY R6 Mutual funds n/a | — | — | — | $272K | 0.2% | |
| INVESCO EQV EMERGING MRKTS ALL CAP FD R6 Mutual funds n/a | — | — | — | $195K | 0.2% | |
| ALLSPRING SPECIAL MID-CAP VALUE R6 Mutual funds n/a | — | — | — | $153K | 0.1% | |
| MACQUARIE SMALL CAP CORE R6 Mutual funds n/a | — | — | — | $107K | <0.1% | |
| MFS INTERNATIONAL INTRINSIC VALUE R6 Mutual funds n/a | — | — | — | $100K | <0.1% | |
| FRANKLIN SMALL CAP VALUE R6 Mutual funds n/a | — | — | — | $87K | <0.1% | |
| AMERICAN FUNDS 2030 TRGT DATE RETIRE R6 Mutual funds n/a | — | — | — | $73K | <0.1% | |
| COLUMBIA SMALL CAP GROWTH I3 Mutual funds n/a | — | — | — | $41K | <0.1% | |
| BLACKROCK HEALTH SCIENCES OPPS K Mutual funds n/a | — | — | — | $28K | <0.1% | |
| AMERICAN FUNDS 2020 TRGT DATE RETIRE R6 Mutual funds n/a | — | — | — | $27K | <0.1% | |
| ALLSPRING SMID-CAP Growth R6 Mutual funds n/a | — | — | — | $22K | <0.1% | |
| MFS CORPORATE BOND R6 Mutual funds n/a | — | — | — | $20K | <0.1% | |
| ALLSPRING PREMIER LARGE COMPANY GRWTH Mutual funds n/a | — | — | — | $19K | <0.1% |