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Original filing (PDF)20251015222025NAL0002922387001
SMART LOCAL 1041, DISTRICT 3401(A)
Form 5500
FILING_RECEIVED
SMART LOCAL 104, DISTRICT 3401(A)
Defined-contribution retirement plan
Active participants
1,111
Accounts w/ balance
588
Plan assets (EOY)
$27.6M
Net assets (EOY)
$27.5M
How this plan invests
This plan
1 pooled trust
Schedule D
11 securities
funds · stocks · CUSIPs
Holdings are itemized directly on this plan's Schedule of Assets, below.
Plan health score (directional)
92
/ 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
80
Vendor stack
100
Participation health
80
Knocking points off
- 43 bps in Schedule C fees — modestly above peer band of 29 bps.
- 53% balance-to-active ratio — below typical for a healthy 401(k).
Decision-maker contacts
CFO / Head of HR / Benefits Manager — verified email + LinkedIn for SMART LOCAL 1041, DISTRICT 3401(A).
Plan sponsor
Name
SMART LOCAL 1041, DISTRICT 3401(A)
EIN
77-0352309
Address
1794 GOODYEAR AVENUE · VENTURA, CA · 89003
Phone
(805) 658-0053
Industry
Constructionsee all
Plan administrator
Same as plan sponsor.
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
2C · Money purchase (other than target benefit)
2G · Total participant-directed accounts
Audit & trust (Schedule H)
Auditor
MILLER KAPLAN ARASE LLP
Trustee / custodian
—
Trustee phone
—
Service providers (Schedule C)
3 rowsRecordkeeper
1| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| EMPOWER ANNUITY IN CO OF AMERICA | — | GREENWOOD VILLAGE, CO | RECORDKEEPER | $170 | — |
Advisor / Consultant
1| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| MORGAN STANLEY | 20-8764829 | NEW YORK, NY | INVESTMENT ADVISOR | $49K | — |
Other
1| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| SMART LOCAL 104 DISTRICT 3401(A) | — | EL SEGUNDO, CA | SERVICE PROVIDER | $70K | — |
Investments
10 direct securities · 1 pooled fund· $27.2M(99% 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.
Uncategorized
$23.0M
10 holdings
Common Collective Trust
$4.1M
1 holding
| PI | Investment | Type | Shares / units | Cost | Current value | % of plan |
|---|---|---|---|---|---|---|
| Equity Growth Fund | — | — | — | $4.7M | 17.0% | |
| IINVESCO IRT STABLE VALUE FUND INVESCO FUND · EIN 84-1142974 / PN 001 | Common Collective Trust | — | — | $4.1M | 15.1% | |
| Allspring Core Plus Bond Fund | — | — | — | $3.9M | 14.2% | |
| Carillon Eagle Mid Cap Growth Fund | — | — | — | $3.9M | 14.1% | |
| BlackRock: Equity Dividend Fund | — | — | — | $3.2M | 11.7% | |
| DFA US Small Cap | — | — | — | $2.3M | 8.3% | |
| Mutual and Exchange Traded Funds American Funds Balanced Fund | — | — | — | $1.4M | 5.1% | |
| Victory Sycamore Small Co Opp | — | — | — | $1.1M | 4.0% | |
| Pioneer International Equity | — | — | — | $1.1M | 3.9% | |
| Ishare S&P 500 Index | — | — | — | $878K | 3.2% | |
| Fidelity: Focused Emerging Markets Fund | — | — | — | $504K | 1.8% |
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