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Original filing (PDF)20251015153329NAL0005001873001
APPLIED BEHAVIOR HEALTH MANAGEMENT, LLC
Form 5500
FILING_RECEIVED
APPLIED BEHAVIOR HEALTH MANAGEMENT, LLC 401(K) PLAN
401(k) retirement plan
Signals · 1
No recordkeeper disclosed
Active participants
690
Accounts w/ balance
497
Plan assets (EOY)
$7.2M
Net assets (EOY)
$7.2M
How this plan invests
This plan
2 pooled trusts
Schedule D
19 securities
funds · stocks · CUSIPs
Holdings are itemized directly on this plan's Schedule of Assets, below.
Plan health score (directional)
93
/ 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
80
Participation health
100
Knocking points off
- 73 bps in Schedule C fees — modestly above peer band of 52 bps.
- No recordkeeper disclosed on Schedule C.
Decision-maker contacts
CFO / Head of HR / Benefits Manager — verified email + LinkedIn for APPLIED BEHAVIOR HEALTH MANAGEMENT, LLC.
Plan sponsor
Name
APPLIED BEHAVIOR HEALTH MANAGEMENT, LLC
EIN
83-1082259
Address
1400 OLD COUNTRY ROAD, SUITE C103N · WESTBURY, NY · 11590
Phone
(516) 806-6969
Industry
Health Care & Social Assistancesee 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
2A · Age/service weighted or new comparability
2E · Profit-sharing
2J · 401(k) feature
2K · 401(m) arrangement
2F · ERISA section 404(c)
2G · Total participant-directed accounts
3D · Pre-approved plan (master / prototype / VS)
3H · Sponsor in controlled / affiliated group
2S · Automatic enrollment
2T · Default investment account (QDIA)
3B · Covers self-employed individuals
Audit & trust (Schedule H)
Auditor
CRAIG,FITZSIMMONS & MEYER, LLP
Trustee / custodian
—
Trustee phone
—
Service providers (Schedule C)
5 rowsAdvisor / Consultant
2| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| AMERIPRISE FINANCIAL SERVICES INC. | 51-6041053 | — | INVESTMENT ADVISORY | $0 | — |
| WILSHIRE ADVISORS LLC | 95-2755361 | — | INVESTMENT ADVISORY | $0 | — |
TPA / Administrator
2| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| PRINCIPAL LIFE INSURANCE COMPANY | 42-0127290 | — | CONTRACT ADMINISTRATOR | $38K | — |
| ORENDA RETIREMENT, LLC | 36-4877979 | — | CONTRACT ADMINISTRATOR | $15K | — |
Other
1| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| MORNINGSTAR INVESTMENT MANAGEMENT L | 36-4317381 | — | INV ADV, PARTICIPANTS | $0 | — |
Investments
17 direct securities · 2 pooled funds· $6.8M(94% 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
$6.4M
17 holdings
Pooled Separate Account
$386K
2 holdings
| PI | Investment | Type | Shares / units | Cost | Current value | % of plan |
|---|---|---|---|---|---|---|
| Guaranteed Interest Account * Principal Life Insurance Company Guaranteed Investment Option {+} | — | — | — | $1.4M | 19.2% | |
| Vanguard Investments Intermediate-Term Bond Index Fund {+} | — | — | — | $1.3M | 18.3% | |
| Vanguard Investments Developed Markets Index Fund {+} | — | — | — | $1.0M | 14.2% | |
| Vanguard Investments Growth Index Fund {+} | — | — | — | $665K | 9.2% | |
| Vanguard Investments Value Index Fund {+} | — | — | — | $634K | 8.8% | |
| Fidelity Investments 500 Index Fund {+} | — | — | — | $541K | 7.5% | |
| Vanguard Investments Small-Cap Value Index Fund {+} | — | — | — | $286K | 4.0% | |
| PRIN SMCAP S&P 600 INDEX SA-Z PRINCIPAL LIFE INSURANCE COMPANY · EIN 42-0127290 / PN 028 | Pooled Separate Account | — | — | $194K | 2.7% | |
| PRIN MIDCAP S&P 400 INDEX SA-Z PRINCIPAL LIFE INSURANCE COMPANY · EIN 42-0127290 / PN 023 | Pooled Separate Account | — | — | $192K | 2.7% | |
| Fidelity Investments Mid Cap Value Index Fund {+} | — | — | — | $173K | 2.4% | |
| Vanguard Investments Small-Cap Growth Index Fund {+} | — | — | — | $143K | 2.0% | |
| Vanguard Investments Mid-Cap Growth Index Fund {+} | — | — | — | $131K | 1.8% | |
| Vanguard Investments Real Estate Index Fund {+} | — | — | — | $25K | 0.3% | |
| Vanguard Investments High-Yield Corporate Fund {+} | — | — | — | $23K | 0.3% | |
| Participant Loans Rate 9.00% - 9.50% {+} | — | — | — | $22K | 0.3% | |
| Vanguard Investments Emerginf Markets Stock Index Fund {+} | — | — | — | $9K | 0.1% | |
| Vanguard Investments Intermediate-Term Treasury Index Fund {+} | — | — | — | $5K | <0.1% | |
| Vanguard Investments Total International Bond Index Fund {+} | — | — | — | $2K | <0.1% | |
| Vanguard Investments Long-Term Investment Grade Fund {+} | — | — | — | $1K | <0.1% |
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