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Original filing (PDF)20250625174349NAL0011533040001
ASSERTIO MANAGEMENT, LLC
Form 5500
FILING_RECEIVED
ASSERTIO MANAGEMENT, LLC 401(K) RETIREMENT PLAN
401(k) retirement plan
Active participants
57
Accounts w/ balance
203
Plan assets (EOY)
$17.3M
Net assets (EOY)
$17.3M
How this plan invests
This plan
1 pooled trust
Schedule D
30 securities
funds · stocks · CUSIPs
Holdings are itemized directly on this plan's Schedule of Assets, below.
Plan health score (directional)
95
/ 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
100
Knocking points off
- 39 bps in Schedule C fees — modestly above peer band of 29 bps.
Decision-maker contacts
CFO / Head of HR / Benefits Manager — verified email + LinkedIn for ASSERTIO MANAGEMENT, LLC.
Plan sponsor
Name
ASSERTIO MANAGEMENT, LLC
EIN
85-0772867
Address
100 S SAUNDERS RD STE 300 · LAKE FOREST, IL · 600452508
Phone
(224) 441-6564
Industry
Manufacturingsee 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
2025-06-25
Pension benefit codes
2E · Profit-sharing
2F · ERISA section 404(c)
2G · Total participant-directed accounts
2J · 401(k) feature
2K · 401(m) arrangement
2S · Automatic enrollment
2T · Default investment account (QDIA)
3D · Pre-approved plan (master / prototype / VS)
Audit & trust (Schedule H)
Auditor
FORVIS MAZARS LLP
Trustee / custodian
—
Trustee phone
—
Service providers (Schedule C)
2 rowsAdvisor / Consultant
1| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| NEWFRONT RETIREMENT SERVICES, INC. | 80-0833114 | — | INVESTMENT ADVISORY | $0 | — |
TPA / Administrator
1| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| PRINCIPAL LIFE INSURANCE COMPANY | 42-0127290 | — | CONTRACT ADMINISTRATOR | $67K | — |
Investments
29 direct securities · 1 pooled fund· $17.4M(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
$16.0M
28 holdings
Common Collective Trust
$999K
1 holding
Mutual Funds
$346K
1 holding
| PI | Investment | Type | Shares / units | Cost | Current value | % of plan |
|---|---|---|---|---|---|---|
| American Funds Service Company Target Date Retirement 2030 Fund | — | — | — | $3.0M | 17.5% | |
| Fidelity Investments 500 Index Fund | — | — | — | $2.9M | 16.8% | |
| American Funds Service Company Target Date Retirement 2050 Fund | — | — | — | $1.4M | 8.2% | |
| Eagle Financial Services, Inc. Carillon Eagle Mid Cap Growth Fund | — | — | — | $1.3M | 7.7% | |
| JP Morgan Funds Large Cap Growth Fund | — | — | — | $1.3M | 7.6% | |
| PRINCIPAL STABLE VALUE Z FUND PRINCIPAL GLOBAL INVESTORS TRUST CO · EIN 93-6274328 / PN 001 | Common Collective Trust | — | — | $999K | 5.8% | |
| American Funds Service Company Target Date Retirement 2035 Fund | — | — | — | $864K | 5.0% | |
| PGIM Investments Total Return Bond Fund | — | — | — | $668K | 3.9% | |
| American Funds Service Company Target Date Retirement 2040 Fund | — | — | — | $599K | 3.5% | |
| American Funds Service Company Target Date Retirement 2045 Fund | — | — | — | $523K | 3.0% | |
| JP Morgan Funds Equity Income Fund | — | — | — | $393K | 2.3% | |
| JP Morgan Funds Undiscovered Managers Behavioral Value Fund | — | — | — | $346K | 2.0% | |
| American Funds Service Company Target Date Retirement 2010 Fund | Mutual Funds | — | — | $346K | 2.0% | |
| Vanguard Group Small Cap Index Admiral Fund | — | — | — | $329K | 1.9% | |
| Cohen & Steers Real Estate Securities Fund | — | — | — | $308K | 1.8% | |
| Vanguard Group Mid Cap Index Admiral Fund | — | — | — | $263K | 1.5% | |
| T. Rowe Price Funds Overseas Stock I Fund | — | — | — | $257K | 1.5% | |
| Federated Securities Corporation Kaufmann Small Cap Fund | — | — | — | $235K | 1.4% | |
| American Funds Service Company Target Date Retirement 2055 Fund | — | — | — | $222K | 1.3% | |
| The American Funds New World Fund | — | — | — | $196K | 1.1% | |
| American Funds Service Company Target Date Retirement 2020 Fund | — | — | — | $186K | 1.1% | |
| American Funds Service Company Target Date Retirement 2065 Fund | — | — | — | $140K | 0.8% | |
| Vanguard Group Total International Stock Index Admiral Fund | — | — | — | $98K | 0.6% | |
| American Funds Service Company Target Date Retirement 2025 Fund | — | — | — | $89K | 0.5% | |
| Victory Funds Integrity Mid Cap Value Fund | — | — | — | $83K | 0.5% | |
| Participant loans Interest rate of 8.50% -0- | — | — | — | $55K | 0.3% | |
| (E) | — | — | — | $51K | 0.3% | |
| Vanguard Group Intermediate-Term Bond Index Admiral Fund | — | — | — | $51K | 0.3% | |
| (E) | — | — | $89K | $41K | 0.2% | |
| American Funds Service Company Target Date Retirement 2060 Fund | — | — | — | $41K | 0.2% |