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Original filing (PDF)20250801054500NAL0006909889001
DUKES ROOT CONTROL, INC.
Form 5500
FILING_RECEIVED
DUKE'S ROOT CONTROL, INC. 401(K) PLAN
401(k) retirement plan
Active participants
342
Accounts w/ balance
229
Plan assets (EOY)
$22.6M
Net assets (EOY)
$22.6M
How this plan invests
This plan
32 securities
funds · stocks · CUSIPs
Holdings are itemized directly on this plan's Schedule of Assets, below.
Plan health score (directional)
97
/ 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
100
Vendor stack
100
Participation health
80
Knocking points off
- 67% balance-to-active ratio — below typical for a healthy 401(k).
Decision-maker contacts
CFO / Head of HR / Benefits Manager — verified email + LinkedIn for DUKES ROOT CONTROL, INC..
Plan sponsor
Name
DUKES ROOT CONTROL, INC.
EIN
75-3026801
Address
400 AIRPORT RD. SUITE E · ELGIN, IL · 60123
Phone
(800) 447-6687
Industry
Utilitiessee all
Plan administrator
Name
ADMINISTRATIVE GROUP, LLC DBA TAG RESOURCES
EIN
42-1484983
City
KNOXVILLE, TN
Phone
(865) 670-1844
Plan characteristics
Plan number
002
Plan year
2024
Plan year begin
2024-01-01
Tax period
2024-12-31
Filed
2025-08-01
Pension benefit codes
2E · Profit-sharing
2F · ERISA section 404(c)
2G · Total participant-directed accounts
2J · 401(k) feature
2K · 401(m) arrangement
2T · Default investment account (QDIA)
3D · Pre-approved plan (master / prototype / VS)
Audit & trust (Schedule H)
Auditor
WISS & COMPANY
Trustee / custodian
—
Trustee phone
—
Service providers (Schedule C)
3 rowsRecordkeeper
2| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| ADP, INC. | 13-3036745 | — | RECORD KEEPER | $11K | — |
| ADP BROKER-DEALER | 22-3319984 | — | RECORD KEEPER | $0 | — |
Other
1| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| HIGHTOWER ADVISORS, LLC | 36-4500709 | — | INVESTMENT/FINANCIAL ADVI | $42K | — |
Investments
32 direct securities· $22.2M(98% of reported assets)
| PI | Investment | Type | Shares / units | Cost | Current value | % of plan |
|---|---|---|---|---|---|---|
| VANGUARD 500 INDEX FUND - ADM | Registered Investment Companies | — | — | $4.0M | 17.8% | |
| VANGUARD FEDERAL MM INV | Registered Investment Companies | — | — | $2.7M | 11.8% | |
| VANGUARD GROWTH INDEX FUND ADM | Registered Investment Companies | — | — | $1.6M | 7.3% | |
| TRPRICE RETIREMENT 2035 INV | Registered Investment Companies | — | — | $1.3M | 5.7% | |
| DODGE & COX INCOME I | Registered Investment Companies | — | — | $1.3M | 5.6% | |
| VANGUARD VALUE INDEX FUND ADMR | Registered Investment Companies | — | — | $1.1M | 4.9% | |
| T ROWE LARGE CAP GROWTH I | Registered Investment Companies | — | — | $1.1M | 4.8% | |
| VIRTUS NFJ MID-CAP VALUE A 180 REGISTERED INVESTMENT COMPANY PIMCO INCOME FUND - INSTL | Registered Investment Companies | — | — | $863K | 3.8% | |
| TROWEPRICE RETIREMENT 2030 INV | Registered Investment Companies | — | — | $844K | 3.7% | |
| INVESCO OPP INTL GR R6 | Registered Investment Companies | — | — | $813K | 3.6% | |
| TROWEPRICE RETIREMENT 2055 INV | Registered Investment Companies | — | — | $773K | 3.4% | |
| VANG TOT STK MKT IDX - ADMIRAL | Registered Investment Companies | — | — | $772K | 3.4% | |
| VANGUARD DEV MKT INDEX ADMIRAL | Registered Investment Companies | — | — | $734K | 3.3% | |
| TROWEPRICE RETIREMENT 2045 INV | Registered Investment Companies | — | — | $539K | 2.4% | |
| TROWEPRICE RETIREMENT 2050 INV | Registered Investment Companies | — | — | $477K | 2.1% | |
| BLACKROCK HIGH YIELD K | Registered Investment Companies | — | — | $392K | 1.7% | |
| VANGUARD MID CAP VALUE IND ADM | Registered Investment Companies | — | — | $359K | 1.6% | |
| VANGUARD SMALL CAP INDEX ADMRL | Registered Investment Companies | — | — | $348K | 1.5% | |
| VANGUARD MID CAP INDEX - ADM | Registered Investment Companies | — | — | $329K | 1.5% | |
| TROWEPRICE RETIRE 2020 INV 91 REGISTERED INVESTMENT COMPANY TROWEPRICE RETIREMENT 2005 INV 379 REGISTERED INVESTMENT COMPANY VANGUARD REAL ESTATE INDEX ADM | Registered Investment Companies | — | — | $325K | 1.4% | |
| TROWEPRICE RETIREMENT 2060 INV | Registered Investment Companies | — | — | $320K | 1.4% | |
| VANGUARD MIDCAP GROWTH IDX ADM | Registered Investment Companies | — | — | $315K | 1.4% | |
| TROWEPRICE RETIREMENT 2040 INV | Registered Investment Companies | — | — | $278K | 1.2% | |
| DODGE & COX STOCK I | Registered Investment Companies | — | — | $153K | 0.7% | |
| TROWEPRICE RETIREMENT 2065 INV | Registered Investment Companies | — | — | $152K | 0.7% | |
| JPMORGAN MID CAP GROWTH R6 | Registered Investment Companies | — | — | $136K | 0.6% | |
| MFS INTL INTRINSIC VALUE R6 | Registered Investment Companies | — | — | $94K | 0.4% | |
| VANGUARD BAL IDX - ADM | Registered Investment Companies | — | — | $76K | 0.3% | |
| VANGUARD SM CP GR IDX -ADMIRAL | Registered Investment Companies | — | — | $74K | 0.3% | |
| JANUS HENDERSON TRITON FUND N | Registered Investment Companies | — | — | $3K | <0.1% | |
| MACQUARIE SMALL CAP VALUE R6 | Registered Investment Companies | — | — | $2K | <0.1% | |
| VANGUARD SM CAP VAL INDEX ADM | Registered Investment Companies | — | — | $1K | <0.1% |
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