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Original filing (PDF)20251015145424NAL0005195985002
HOUSTON EAR, NOSE & THROAT CLINIC, LLP
Form 5500
FILING_RECEIVED
HOUSTON EAR NOSE & THROAT CLINIC 401(K) PROFIT SHARING PLAN
401(k) retirement plan
Signals · 2
44% in single holdingNo recordkeeper disclosed
Active participants
110
Accounts w/ balance
172
Plan assets (EOY)
$27.0M
Net assets (EOY)
$27.0M
How this plan invests
This plan
30 pooled trusts
Schedule D
33 securities
funds · stocks · CUSIPs
Holdings are itemized directly on this plan's Schedule of Assets, below.
Plan health score (directional)
94
/ 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
78
Total plan cost
100
Vendor stack
80
Participation health
100
Knocking points off
- Top holding "IndexSelect Moderate 2035 Fund Common/collective trust" is 44% of plan.
- No recordkeeper disclosed on Schedule C.
Decision-maker contacts
CFO / Head of HR / Benefits Manager — verified email + LinkedIn for HOUSTON EAR, NOSE & THROAT CLINIC, LLP.
Plan sponsor
Name
HOUSTON EAR, NOSE & THROAT CLINIC, LLP
EIN
74-1195579
Address
14140 SOUTHWEST FREEWAY · SUITE 200 · SUGARLAND, TX · 77478
Phone
(281) 649-7000
Industry
Offices of Physicians· Health Care & Social Assistancesee 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
2025-10-15
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
2R · Participant-directed brokerage (SDBA)
2T · Default investment account (QDIA)
3D · Pre-approved plan (master / prototype / VS)
3H · Sponsor in controlled / affiliated group
Audit & trust (Schedule H)
Auditor
ARMANINO LLP
Trustee / custodian
—
Trustee phone
—
Service providers (Schedule C)
5 rowsAdvisor / Consultant
2| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| SOVERIGN WEALTH ADVISORS LLC | — | HOUSTON, TX | INVESTMENT ADVISOR | $29K | — |
| LPL FINANCIAL | — | SAN DIEGO, CA | INVESTMENT ADVISOR | $11K | — |
TPA / Administrator
1| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| NOVA 401(K) ASSOCIATES | — | HOUSTON, TX | TPA | $8K | — |
Accountant / Auditor
1| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| ARMANINO LLP | 94-6214841 | SAN RAMON, CA | AUDITOR | $28K | — |
Other
1| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| FLEXPATH STRATEGIES LLC | — | ALISO VIEJO, CA | OTHER | $12K | — |
Investments
12 direct securities · 30 pooled funds· $30.5M(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
$25.6M
30 holdings
Uncategorized
$4.9M
12 holdings
| PI | Investment | Type | Shares / units | Cost | Current value | % of plan |
|---|---|---|---|---|---|---|
| IDXSELECT MODERATE 2035 FD CLASS F GREAT GRAY · EIN 81-4457845 / PN 307 | Common Collective Trust | — | — | $11.8M | 43.9% | |
| INDXSELECT MODERATE 2045 FD CLASS F GREAT GRAY · EIN 81-4470950 / PN 308 | Common Collective Trust | — | — | $4.8M | 17.9% | |
| BLACKROCK EQUITY INDX 1 GREAT GRAY · EIN 20-3802168 / PN 001 | Common Collective Trust | — | — | $2.4M | 8.9% | |
| IndexSelect Moderate Retirement Fund Common/collective trust | — | — | — | $2.2M | 8.0% | |
| IDXSELECT MODERATE RET FUND CLASS F GREAT GRAY · EIN 81-4430771 / PN 305 | Common Collective Trust | — | — | $2.2M | 8.0% | |
| IndexSelect Moderate 2055 Fund Common/collective trust | — | — | — | $1.3M | 4.7% | |
| INDXSELECT MOD 2055 FUND CLASS F GREAT GRAY · EIN 81-4484368 / PN 309 | Common Collective Trust | — | — | $1.3M | 4.7% | |
| BLACKROCK EAFE EQUITY INDX 1 GREAT GRAY · EIN 20-3802495 / PN 007 | Common Collective Trust | — | — | $1.1M | 4.0% | |
| Fidelity Small Cap Index Mutual fund | — | — | — | $1.1M | 4.0% | |
| BLACKROCK MID CAP EQUITY INDX FUND GREAT GRAY · EIN 20-3802327 / PN 003 | Common Collective Trust | — | — | $704K | 2.6% | |
| LARGE CAP VALUE II GREAT GRAY · EIN 38-4065329 / PN 426 | Common Collective Trust | — | — | $353K | 1.3% | |
| BLACKROCK RUSSELL 1000 INDX 1 BLACKROCK FUNDS - COLLECTIVE TRUSTS · EIN 20-3802223 / PN 002 | Common Collective Trust | — | — | $223K | 0.8% | |
| Notes receivable from participants maturity through January 2036 - | — | — | — | $208K | 0.8% | |
| CORE BOND II GREAT GRAY · EIN 82-1986152 / PN 000 | Common Collective Trust | — | — | $165K | 0.6% | |
| BLACKROCK MSCI ACWI - US INDX R GREAT GRAY · EIN 81-1950980 / PN 013 | Common Collective Trust | — | — | $144K | 0.5% | |
| IndexSelect Aggressive 2055 Fund Common/collective trust | — | — | — | $69K | 0.3% | |
| INDXSELECT AGG 2055 FUND CLASS F GREAT GRAY · EIN 81-4418048 / PN 304 | Common Collective Trust | — | — | $69K | 0.3% | |
| SMALL CAP VALUE FUND III CL II GREAT GRAY · EIN 38-7289846 / PN 001 | Common Collective Trust | — | — | $60K | 0.2% | |
| BLACKROCK U.S. DEBT INDX 1 GREAT GRAY · EIN 20-3802445 / PN 010 | Common Collective Trust | — | — | $60K | 0.2% | |
| MID CAP GROWTH II GREAT GRAY · EIN 38-4126247 / PN 000 | Common Collective Trust | — | — | $54K | 0.2% | |
| INDXSELECT CONSERVATIVE RET CLASS F GREAT GRAY · EIN 81-4499160 / PN 310 | Common Collective Trust | — | — | $53K | 0.2% | |
| INDXSELECT MODERATE 2065 FD CLASS F GREAT GRAY · EIN 38-7275305 / PN 774 | Common Collective Trust | — | — | $36K | 0.1% | |
| EMERGING MARKETS FUND CLASS II GREAT GRAY · EIN 86-1819869 / PN 000 | Common Collective Trust | — | — | $30K | 0.1% | |
| PGIM High Yield Fund- Class R6 Mutual fund | — | — | — | $30K | 0.1% | |
| FIXED INCOME ALLOCATION II GREAT GRAY · EIN 38-4126269 / PN 573 | Common Collective Trust | — | — | $29K | 0.1% | |
| BLACKROCK RUSSELL 2000 INDX FUND R GREAT GRAY · EIN 20-3802587 / PN 004 | Common Collective Trust | — | — | $21K | <0.1% | |
| IndexSelect Conservative 2045 Fund Common/collective trust | — | — | — | $18K | <0.1% | |
| INDXSELECT CONSRV 2045 FD CLASS F GREAT GRAY · EIN 81-4532033 / PN 313 | Common Collective Trust | — | — | $18K | <0.1% | |
| IndexSelect Aggressive 2045 Fund Common/collective trust | — | — | — | $17K | <0.1% | |
| INDXSELECT AGG 2045 FUND CLASS F GREAT GRAY · EIN 81-4403657 / PN 303 | Common Collective Trust | — | — | $17K | <0.1% | |
| American Century Ultra Fund R6 Class Mutual fund | — | — | — | $14K | <0.1% | |
| SMALL CAP GROWTH FUND II FEE CLASS GREAT GRAY · EIN 38-4126288 / PN 592 | Common Collective Trust | — | — | $10K | <0.1% | |
| Empower Investments Fixed Account - Series Class I Guaranteed interest account | — | — | — | $10K | <0.1% | |
| MFS Global Real Estate R6 Mutual fund | — | — | — | $8K | <0.1% | |
| BLACKROCK DEVELOPED REAL ESTATE I BLACKROCK FUNDS - COLLECTIVE TRUSTS · EIN 38-4065314 / PN 411 | Common Collective Trust | — | — | $7K | <0.1% | |
| Individually Directed Accounts Self directed brokerage accounts | — | — | — | $6K | <0.1% | |
| INTERNATIONAL STOCK II GREAT GRAY · EIN 82-2436292 / PN 000 | Common Collective Trust | — | — | $4K | <0.1% | |
| BLACKROCK U.S. TIPS INDX 1 BLACKROCK FUNDS - COLLECTIVE TRUSTS · EIN 38-4116835 / PN 510 | Common Collective Trust | — | — | $2K | <0.1% | |
| SSGA US INFLATION PROTECTED BD IDX STATE STREET GLOBAL ADVISORS COLLECTIVE TRUSTS · EIN 90-0337987 / PN 168 | Common Collective Trust | — | — | $0 | <0.1% | |
| IDXSELECT CONSERVATIVE 2025 FD F GREAT GRAY · EIN 81-4509619 / PN 311 | Common Collective Trust | — | — | $0 | <0.1% | |
| INDXSELECT CONSRV 2035 FD CLASS F GREAT GRAY · EIN 81-4515825 / PN 312 | Common Collective Trust | — | — | $0 | <0.1% | |
| INDXSELECT MODERATE 2025 FD CLASS F GREAT GRAY · EIN 81-4447624 / PN 306 | Common Collective Trust | — | — | $0 | <0.1% |