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Original filing (PDF)20250616103754NAL0000419331001
CAIPA MSO LLC
Form 5500
FILING_RECEIVED
CAIPA MSO LLC 401(K) PLAN
401(k) retirement plan
Signals · 1
No recordkeeper disclosed
Active participants
141
Accounts w/ balance
138
Plan assets (EOY)
$11.2M
Net assets (EOY)
$11.2M
How this plan invests
This plan
17 pooled trusts
Schedule D
42 securities
funds · stocks · CUSIPs
Holdings are itemized directly on this plan's Schedule of Assets, below.
Plan health score (directional)
89
/ 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
65
Vendor stack
80
Participation health
100
Knocking points off
- 54 bps in Schedule C fees — 84% 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 CAIPA MSO LLC.
Plan sponsor
Name
CAIPA MSO LLC
EIN
82-5391983
Address
202 CANAL STREET, SUITE 500 · NEW YORK, NY · 100134517
Phone
(212) 965-9888
Industry
All Other Professional Services· Professional & Technical Servicessee 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
2025-06-16
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)
3H · Sponsor in controlled / affiliated group
Audit & trust (Schedule H)
Auditor
PKF O'CONNOR DAVIES, LLP
Trustee / custodian
—
Trustee phone
—
Service providers (Schedule C)
2 rowsAdvisor / Consultant
1| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| MERRILL LYNCH PIERCE FENNER & SMITH | 13-5674085 | — | CONSULTANT | $27K | — |
TPA / Administrator
1| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| PRINCIPAL LIFE INSURANCE COMPANY | 42-0127290 | — | CONTRACT ADMINISTRATOR | $33K | — |
Investments
26 direct securities · 17 pooled funds· $10.4M(93% 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
$5.9M
12 holdings
Uncategorized
$2.3M
25 holdings
Pooled Separate Account
$1.6M
5 holdings
Mutual Funds
$590K
1 holding
| PI | Investment | Type | Shares / units | Cost | Current value | % of plan |
|---|---|---|---|---|---|---|
| PRIN LIFETIME HYBR 2025 CIT Z PRINCIPAL GLOBAL INVESTORS TRUST CO · EIN 26-6447574 / PN 004 | Common Collective Trust | — | $47K | $1.8M | 15.8% | |
| PRIN LGCP S&P 500 INDEX SA-Z PRINCIPAL LIFE INSURANCE COMPANY · EIN 42-0127290 / PN 016 | Pooled Separate Account | — | $3K | $988K | 8.8% | |
| PRIN LIFETIME HYBR 2045 CIT Z PRINCIPAL GLOBAL INVESTORS TRUST CO · EIN 26-6447574 / PN 008 | Common Collective Trust | — | $18K | $906K | 8.1% | |
| PRIN LIFETIME HYBR 2055 CIT Z PRINCIPAL GLOBAL INVESTORS TRUST CO · EIN 26-6447574 / PN 010 | Common Collective Trust | — | $16K | $868K | 7.7% | |
| PRIN LIFETIME HYBR 2050 CIT Z PRINCIPAL GLOBAL INVESTORS TRUST CO · EIN 26-6447574 / PN 009 | Common Collective Trust | — | $16K | $832K | 7.4% | |
| S T.Rowe Price Bl Chip Gr I Fd | Mutual Funds | — | $3K | $590K | 5.3% | |
| PRIN LIFETIME HYBR 2060 CIT Z PRINCIPAL GLOBAL INVESTORS TRUST CO · EIN 26-6447574 / PN 012 | Common Collective Trust | — | $20K | $508K | 4.5% | |
| PRIN LIFETIME HYBR 2035 CIT Z PRINCIPAL GLOBAL INVESTORS TRUST CO · EIN 26-6447574 / PN 006 | Common Collective Trust | — | $10K | $445K | 4.0% | |
| Am Fds Grth of Am R6 Fund | — | — | $5K | $347K | 3.1% | |
| PRIN LIFETIME HYBR 2030 CIT Z PRINCIPAL GLOBAL INVESTORS TRUST CO · EIN 26-6447574 / PN 005 | Common Collective Trust | — | $8K | $335K | 3.0% | |
| PRIN SMCAP S&P 600 INDEX SA-Z PRINCIPAL LIFE INSURANCE COMPANY · EIN 42-0127290 / PN 028 | Pooled Separate Account | — | $3K | $297K | 2.7% | |
| American Funds NewPrsp R6 Fnd | — | — | $3K | $200K | 1.8% | |
| Columbia Contra Core I3 Fund | — | — | $4K | $159K | 1.4% | |
| Brown Advisory Sust Grw I Fd | — | — | $3K | $159K | 1.4% | |
| Vanguard Hi-Yld Corp Adm Fund | — | — | $28K | $154K | 1.4% | |
| Vanguard MidCap Val Idx Adm Fd | — | — | $2K | $148K | 1.3% | |
| PRIN INTL EQUITY INDEX SA-Z PRINCIPAL LIFE INSURANCE COMPANY · EIN 42-0127290 / PN 121 | Pooled Separate Account | — | $7K | $143K | 1.3% | |
| Vanguard Explorer Admiral Fund | — | — | $1K | $141K | 1.3% | |
| PRIN BOND MARKET INDEX SA-Z PRINCIPAL LIFE INSURANCE COMPANY · EIN 42-0127290 / PN 122 | Pooled Separate Account | — | — | $129K | 1.1% | |
| Fidelity Adv New Insights Z Fd | — | — | $3K | $126K | 1.1% | |
| PRIN LIFETIME HYBR 2065 CIT Z PRINCIPAL GLOBAL INVESTORS TRUST CO · EIN 26-6447574 / PN 013 | Common Collective Trust | — | $6K | $116K | 1.0% | |
| Columbia Div Income I3 Fund | — | — | $3K | $114K | 1.0% | |
| PRIN LIFETIME HYBR 2040 CIT Z PRINCIPAL GLOBAL INVESTORS TRUST CO · EIN 26-6447574 / PN 007 | Common Collective Trust | — | $2K | $105K | 0.9% | |
| Vanguard Balncd Index Admrl Fd | — | — | $2K | $101K | 0.9% | |
| MFS Intl Diversification R6 Fund | — | — | $4K | $98K | 0.9% | |
| GROUP ANNUITY CONTRACT * Principal Fixed Income Guaranteed Option | — | — | — | $81K | 0.7% | |
| Fid Adv Strat Div & Inc Z Fd | — | — | $4K | $70K | 0.6% | |
| PRIN MIDCAP S&P 400 IDX SA-Z PRINCIPAL LIFE INSURANCE COMPANY · EIN 42-0127290 / PN 023 | Pooled Separate Account | — | — | $66K | 0.6% | |
| (E) | — | — | $15K | $66K | 0.6% | |
| Fidelity Adv Str Inc Z Fund | — | — | $5K | $63K | 0.6% | |
| MFS Value R6 Fund | — | — | $1K | $61K | 0.5% | |
| MFS Mid-Cap Growth R6 Fund | — | — | $2K | $59K | 0.5% | |
| Amer Funds Amer Bal R 6 Fd | — | — | $1K | $36K | 0.3% | |
| BlackRock Infl Pro Bd K Fd | — | — | $3K | $32K | 0.3% | |
| Vanguard Wellesley INC ADM FD 398 | — | — | — | $24K | 0.2% | |
| Western Asset Cr Pls Bd Is Fd | — | — | $2K | $22K | 0.2% | |
| PRIN LIFETIME HYB 2070 CIT Z PRINCIPAL GLOBAL INVESTORS TRUST CO · EIN 26-6447574 / PN 014 | Common Collective Trust | — | $1K | $16K | 0.1% | |
| Vanguard Int-Tm Treas Idx Adm 758 | — | — | — | $15K | 0.1% | |
| PRIN LIFETIME HYBR 2020 CIT Z PRINCIPAL GLOBAL INVESTORS TRUST CO · EIN 26-6447574 / PN 003 | Common Collective Trust | — | — | $15K | 0.1% | |
| DWS RREEF RE SEC R6 Fund 493 | — | — | — | $11K | <0.1% | |
| Am Fnds Cap Inc Builder R6 Fd 139 | — | — | — | $10K | <0.1% | |
| PGIM Global Total Ret R6 Fd | — | — | $1K | $6K | <0.1% | |
| PRIN LIFETIME HYBR 2015 CIT Z PRINCIPAL GLOBAL INVESTORS TRUST CO · EIN 26-6447574 / PN 002 | Common Collective Trust | — | — | $0 | <0.1% |
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