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Original filing (PDF)20251124112702NAL0001785985001
ASSUREDPARTNERS INVESTMENT ADVISORS, LLC
Form 5500
FILING_RECEIVED
ASSUREDPARTNERS PEP
401(k) retirement plan
Signals · 2
Late filing · 0.3 mo78% in single holding
Active participants
1,761
Accounts w/ balance
1,143
Plan assets (EOY)
$35.3M
Net assets (EOY)
$35.3M
How this plan invests
This plan
4 pooled trusts
Schedule D
4 securities
funds · stocks · CUSIPs
Holdings are itemized directly on this plan's Schedule of Assets, below.
Plan health score (directional)
83
/ 100
Grade B
Above-average plan
Directional indicator computed from public Form 5500 data — compliance, concentration, cost, vendor stack and participation. Not a fiduciary tool.
Compliance & disclosures
99
Concentration risk
75
Total plan cost
65
Vendor stack
100
Participation health
80
Knocking points off
- Filed 0.3 months past the 10.5-month grace window.
- Top holding "[DFE: FUTUREFUNDS SERIES ACCOUNT II OF GREAT-WEST LIFE & ANNUITY INSURANCE COMPANY (extraction pending)]" is 78% of plan.
- 64 bps in Schedule C fees — 120% above peer band of 29 bps.
- 65% balance-to-active ratio — below typical for a healthy 401(k).
Decision-maker contacts
CFO / Head of HR / Benefits Manager — verified email + LinkedIn for ASSUREDPARTNERS INVESTMENT ADVISORS, LLC.
Plan sponsor
Name
ASSUREDPARTNERS INVESTMENT ADVISORS, LLC
EIN
85-0777552
Address
4600 WEST CYPRESS STREET, SUITE 405 · TAMPA, FL · 33607
Phone
(407) 708-0050
Industry
Finance & Insurancesee all
Plan administrator
Name
PENTEGRA SERVICES, INC.
EIN
13-3745616
City
WHITE PLAINS, NY
Phone
(844) 367-2848
Plan characteristics
Plan number
001
Plan year
2024
Plan year begin
2024-01-01
Tax period
2024-12-31
Filed
2025-11-24
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)
2W · Pooled employer plan (PEP)
3B · Covers self-employed individuals
3D · Pre-approved plan (master / prototype / VS)
3H · Sponsor in controlled / affiliated group
Audit & trust (Schedule H)
Auditor
TEMMPLETON & COMPANY, LLP
Trustee / custodian
—
Trustee phone
—
Service providers (Schedule C)
5 rowsRecordkeeper
1| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| EMPOWER ANNUITY INSURANCE COMPANY | — | GREENWOOD VILLAGE, CO | RECORDKEEPER | $10K | — |
Advisor / Consultant
1| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| ASSUREDPARTNERS CAPITAL INC DBA ASS | — | SANTA BARBARA, CA | INVESTMENT ADVISOR | $61K | — |
Trustee
1| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| BENEFIT TRUST COMPANY | — | OVERLAND PARK, KS | TRUSTEE | $7K | — |
TPA / Administrator
1| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| PENTEGRA SERVICES INC | — | WHITE PLAINS, NY | CONTRACT ADMIN | $133K | — |
Other
1| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| EMPOWER ADVISORY GROUP, LLC | — | GREENWOOD VILLAGE, CO | INVESTMENT MGMT | $14K | — |
Investments
4 pooled funds· $2.5M(7% 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.
Pooled Separate Account
$2.0M
1 holding
Common Collective Trust
$557K
3 holdings
| PI | Investment | Type | Shares / units | Cost | Current value | % of plan |
|---|---|---|---|---|---|---|
| FUTUREFUNDS SERIES ACCOUNT II OF GR GREAT-WEST LIFE & ANNUITY INSURANCE COMPANY · EIN 84-0467907 / PN 003 | Pooled Separate Account | — | — | $2.0M | 5.5% | |
| MFS MID CAP VALUE FUND CL 2W GREAT GRAY COLLECTIVE INVESTMENT TRUST · EIN 38-4139822 / PN 000 | Common Collective Trust | — | — | $418K | 1.2% | |
| FRANKLIN SMID CAP GR GG TR CIT FEE GREAT GRAY COLLECTIVE INVESTMENT TRUST · EIN 38-4116867 / PN 530 | Common Collective Trust | — | — | $118K | 0.3% | |
| CLEARBRIDGE INTL GROWTH CIT CL R1 GREAT GRAY COLLECTIVE INVESTMENT TRUST · EIN 82-3125078 / PN 346 | Common Collective Trust | — | — | $22K | <0.1% |
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