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Original filing (PDF)20251003114949NAL0002220448001
LEE & HAYES, P.C.
Form 5500
FILING_RECEIVED
LEE & HAYES 401(K) PLAN
401(k) retirement plan
Active participants
132
Accounts w/ balance
181
Plan assets (EOY)
$28.2M
Net assets (EOY)
$28.1M
How this plan invests
This plan
10 pooled trusts
Schedule D
36 securities
funds · stocks · CUSIPs
Holdings are itemized directly on this plan's Schedule of Assets, below.
Plan health score (directional)
100
/ 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
100
Decision-maker contacts
CFO / Head of HR / Benefits Manager — verified email + LinkedIn for LEE & HAYES, P.C..
Plan sponsor
Name
LEE & HAYES, P.C.
EIN
83-1253059
Address
601 W. RIVERSIDE, SUITE 1400 · SPOKANE, WA · 99201
Phone
(509) 944-4717
Industry
Law Offices· Professional & Technical Servicessee 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
2025-10-03
Pension benefit codes
2E · Profit-sharing
2J · 401(k) feature
2K · 401(m) arrangement
2F · ERISA section 404(c)
2G · Total participant-directed accounts
2R · Participant-directed brokerage (SDBA)
3D · Pre-approved plan (master / prototype / VS)
2S · Automatic enrollment
3B · Covers self-employed individuals
Audit & trust (Schedule H)
Auditor
BAKER TILLY US, LLP
Trustee / custodian
—
Trustee phone
—
Service providers (Schedule C)
5 rowsRecordkeeper
1| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| EMPOWER | 93-1052371 | GREENWOOD VILLAGE, CO | RECORDKEEPER | $20K | — |
Advisor / Consultant
2| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| RICHARDS MERRILL & PETERSON | — | SPOKANE, WA | INVESTMENT ADVISOR | $52K | — |
| COLDSTREAM WEALTH MANAGEMENT | 93-1052371 | BELLEVUE, WA | ADVISOR | $18K | — |
Broker
1| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| CHARLES SCHWAB | 94-1737782 | — | BROKERAGE | $209 | — |
TPA / Administrator
1| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| RANDALL & HURLEY | — | LIBERTY LAKE, WA | CONTRACT ADMIN | $3K | — |
Investments
26 direct securities · 10 pooled funds· $28.2M(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.
Uncategorized
$15.6M
25 holdings
Common Collective Trust
$12.1M
10 holdings
Registered Investment Companies
$439K
1 holding
| PI | Investment | Type | Shares / units | Cost | Current value | % of plan |
|---|---|---|---|---|---|---|
| PUTNAM RETIREMENT ADV. TRST 2035 X PUTNAM INVESTMENTS CIT · EIN 26-0788428 / PN 268 | Common Collective Trust | — | — | $4.5M | 15.9% | |
| Charles Schwab self directed brokerage accounts Self Directed Brokerage Accounts | — | — | — | $3.5M | 12.3% | |
| VANGUARD 500 INDEX ADMIRAL Registered investment company fund | — | — | — | $2.8M | 10.0% | |
| PGIM JENNISON GROWTH R6 Registered investment company fund | — | — | — | $2.0M | 7.0% | |
| PUTNAM RETIREMENT ADV. TRST 2025 X PUTNAM INVESTMENTS CIT · EIN 26-0788428 / PN 268 | Common Collective Trust | — | — | $1.8M | 6.3% | |
| PUTNAM RETIREMENT ADV. TRST 2050 X PUTNAM INVESTMENTS CIT · EIN 26-0788428 / PN 268 | Common Collective Trust | — | — | $1.4M | 4.9% | |
| JPMORGAN EQUITY INCOME R6 Registered investment company fund | — | — | — | $1.2M | 4.4% | |
| PUTNAM RETIREMENT ADV. TRST 2060 X PUTNAM INVESTMENTS CIT · EIN 26-0788428 / PN 268 | Common Collective Trust | — | — | $1.2M | 4.2% | |
| MFS INTL DIVERSIFICATION R6 Registered investment company fund | — | — | — | $1.1M | 4.0% | |
| PUTNAM RETIREMENT ADV. TRST 2055 X PUTNAM INVESTMENTS CIT · EIN 26-0788428 / PN 268 | Common Collective Trust | — | — | $877K | 3.1% | |
| JANUS HENDERSON TRITON N Registered investment company fund | — | — | — | $821K | 2.9% | |
| PUTNAM RETIREMENT ADV. TRST 2045 X PUTNAM INVESTMENTS CIT · EIN 26-0788428 / PN 268 | Common Collective Trust | — | — | $816K | 2.9% | |
| PUTNAM RETIREMENT ADV. TRST 2060 X PUTNAM INVESTMENTS CIT · EIN 26-0788428 / PN 268 | Common Collective Trust | — | — | $559K | 2.0% | |
| PUTNAM STABLE VALUE FUND PUTNAM INVESTMENTS · EIN 04-3159710 / PN 202 | Common Collective Trust | — | — | $486K | 1.7% | |
| DFA REAL ESTATE SECURITIES I Registered investment company fund | — | — | — | $447K | 1.6% | |
| funds AMERICAN FUNDS AMERICAN BALANCED R6 Registered investment company fund | Registered Investment Companies | — | — | $439K | 1.6% | |
| FEDERATED HERMES KAUFMANN SMALL CP IS Registered investment company fund | — | — | — | $419K | 1.5% | |
| FIDELITY MID CAP INDEX Registered investment company fund | — | — | — | $362K | 1.3% | |
| JPMORGAN GLOBAL BOND OPPORTUNITIES R6 Registered investment company fund | — | — | — | $340K | 1.2% | |
| AMERICAN FUNDS EUROPACIFIC GR R6 Registered investment company fund | — | — | — | $304K | 1.1% | |
| PUTNAM RETIREMENT ADV. TRST 2030 X PUTNAM INVESTMENTS CIT · EIN 26-0788428 / PN 268 | Common Collective Trust | — | — | $301K | 1.1% | |
| maturing through September 2029 | — | — | — | $263K | 0.9% | |
| PGIM TOTAL RETURN BOND R6 Registered investment company fund | — | — | — | $230K | 0.8% | |
| PUTNAM EMERGING MARKETS EQUITY FUND Y Registered investment company fund | — | — | — | $220K | 0.8% | |
| FIDELITY INTERNATIONAL INDEX Registered investment company fund | — | — | — | $220K | 0.8% | |
| VANGUARD SHORT-TERM TREASURY ADM Registered investment company fund | — | — | — | $217K | 0.8% | |
| PUTNAM RETIREMENT ADVTGE TRST MAT X PUTNAM INVESTMENTS CIT · EIN 26-0788428 / PN 268 | Common Collective Trust | — | — | $199K | 0.7% | |
| VANGUARD SMALL CAP VALUE INDEX ADMIRAL Registered investment company fund | — | — | — | $193K | 0.7% | |
| AMERICAN FUNDS INCOME FUND OF AMERICA Registered investment company fund | — | — | — | $179K | 0.6% | |
| INVESCO NASDAQ 100 INDEX R6 Registered investment company fund | — | — | — | $172K | 0.6% | |
| EMPOWER T. ROWE PRICE MID CAP GR INST Registered investment company fund | — | — | — | $154K | 0.5% | |
| AMERICAN FUNDS CAPITAL INC BLDR R6 Registered investment company fund | — | — | — | $146K | 0.5% | |
| FRANKLIN INCOME ADV Registered investment company fund | — | — | — | $128K | 0.5% | |
| FIDELITY US BOND INDEX Registered investment company fund | — | — | — | $117K | 0.4% | |
| EATON VANCE FLOATING-RATE ADVANTAGE I Registered investment company fund ** 6 * EMPOWER MID CAP VALUE INSTL Registered investment company fund | — | — | — | $94K | 0.3% | |
| PGIM HIGH YIELD Z Registered investment company fund | — | — | — | $3K | <0.1% |
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