How big is Joseph A. Caplan, MD, PC DBA Cardiac Solutions' plan?

Joseph A. Caplan, MD, PC DBA Cardiac Solutions' plan reported $7.0M in assets and 264 participants for 2024.

Original filing (PDF)20251009122929NAL0006981329001

Joseph A. Caplan, MD, PC DBA Cardiac Solutions

Name: Joseph A. Caplan, MD, PC DBA Cardiac Solutions — Form 5500 Plan 001 (2024)
Creator: Joseph A. Caplan, MD, PC DBA Cardiac Solutions
License: https://www.usa.gov/government-works

Form 5500

FILING_RECEIVED

Joseph A. Caplan, MD, PC 401(k) Profit Sharing Plan & Trust

401(k) retirement plan · Joseph A. Caplan, MD, PC DBA Cardiac Solutions' Joseph A. Caplan, MD, PC 401(k) Profit Sharing Plan & Trust held $7.0M in plan assets for 264 participants in 2024.

Signals · 4

42% in single holdingCorrective distributions issued~92 bps in Sched C feesNo recordkeeper disclosed

Active participants

264

Accounts w/ balance

414

Plan assets (EOY)

$7.0M

Net assets (EOY)

$7.0M

Plan identifiers

Joseph A. Caplan, MD, PC DBA Cardiac Solutions' EIN is 86-0633950.

EIN 86-0633950

Plan number 001

Plan year 2024

ACK ID 20251009122929NAL0006981329001

Official Form 5500 document

Download the official 2024 Form 5500 (PDF) for Joseph A. Caplan, MD, PC DBA Cardiac Solutions from the U.S. Department of Labor's EFAST2 system.

Download the official 2024 Form 5500 (PDF)

Plan features

Joseph A. Caplan, MD, PC DBA Cardiac Solutions' plan includes profit-sharing, a 401(k) feature, a default investment (QDIA).

Decision-maker contacts

One unlock reveals every key decision-maker — plan signer, CFO, HR & Benefits — with verified email + LinkedIn for JOSEPH A. CAPLAN, MD, PC DBA CARDIAC SOLUTIONS.

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How this plan invests

This plan

28 securities

funds · stocks · CUSIPs

Holdings are itemized directly on this plan's Schedule of Assets, below.

Plan health score

Above-average plan

Directional indicator from public Form 5500 data — compliance & integrity, total plan cost, participant health and vendor stack, benchmarked against same-size peers. Not a fiduciary tool.

Compliance & integrity

Total plan cost

Plan health

Vendor & structure

100

Knocking points off

Corrective distributions issued (likely failed ADP/ACP testing).

Helping the score

High account-holder ratio — balance-holders per active participant in the top 15% of peers (86th percentile).

Plan sponsor

Name

JOSEPH A. CAPLAN, MD, PC DBA CARDIAC SOLUTIONS

EIN

all filings

Address

13460 N. 94TH DR., SUITE J-1 · PEORIA, AZ · 85381

Phone

(623) 876-8816

Industry

Offices of Physicians· Health Care & Social Assistance

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

2025-10-09

Pension benefit codes

2A · Age/service weighted or new comparability

2E · Profit-sharing

2G · Total participant-directed accounts

2J · 401(k) feature

2T · Default investment account (QDIA)

3D · Pre-approved plan (master / prototype / VS)

3H · Sponsor in controlled / affiliated group

Audit & trust (Schedule H)

Service providers (Schedule C)

1 rows

TPA / Administrator

Name	EIN	Location	Relation	Direct comp	Indirect comp
PCS RETIREMENT, LLC	23-3038464	—	CONTRACT ADMINISTRATOR	$64K	—

Investments

28 direct securities· $7.0M(100% of reported assets)

Mutual Funds

$6.5M

22 holdings

Other securities

$342K

4 holdings

Common Stocks

$130K

1 holding

Bonds / Notes

$57K

1 holding

					% of plan
5 American Funds Moderate Growth and Income Portfolio Class R-6	Mutual Funds	—	—	$3.0M	42.2%
21 Vanguard Target Retirement 2045 Fund Investor Shares	Mutual Funds	—	—	$747K	10.7%
3 American Funds The Growth Fund of America Class R-6	Mutual Funds	—	—	$487K	6.9%
19 Vanguard Target Retirement 2035 Fund Investor Shares	Mutual Funds	—	—	$480K	6.8%
11 JPMorgan Mid Cap Value Class R6	Other securities	—	—	$295K	4.2%
22 Vanguard Target Retirement 2050 Fund Investor Shares	Mutual Funds	—	—	$250K	3.6%
4 American Funds Growth Portfolio Class R-6	Mutual Funds	—	—	$231K	3.3%
6 American Funds EuroPacific Growth Fund Class R-6	Mutual Funds	—	—	$214K	3.1%
2 American Funds Growth and Income Portfolio Class R-6	Mutual Funds	—	—	$178K	2.5%
8 American Funds American Mutual Fund R6	Mutual Funds	—	—	$159K	2.3%
18 Vanguard Target Retirement 2030 Fund Investor Shares	Mutual Funds	—	—	$156K	2.2%
26 Voya Small Company Fund Class R6	Common Stocks	—	—	$130K	1.9%
23 Vanguard Target Retirement 2055 Fund Investor Shares	Mutual Funds	—	—	$101K	1.4%
7 American Funds SMALLCAP World Fund Class R-6	Mutual Funds	—	—	$95K	1.4%
25 Vanguard Target Retirement 2065 Fund Investor Shares	Mutual Funds	—	—	$82K	1.2%
17 Vanguard Target Retirement 2025 Fund Investor Shares	Mutual Funds	—	—	$82K	1.2%
14 Vanguard Inflation-Protected Securities Fund Admiral Shares	Mutual Funds	—	—	$68K	1.0%
PARTICIPANT LOANS INTEREST RATES RANGING FROM 5.25% TO 10.50% -	Bonds / Notes	—	—	$57K	0.8%
1 American Funds Conservative Growth and Income Portfolio Class R-6	Mutual Funds	—	—	$54K	0.8%
9 Dodge & Cox Income I	Mutual Funds	—	—	$53K	0.8%
24 Vanguard Target Retirement 2060 Fund Investor Shares	Mutual Funds	—	—	$31K	0.4%
10 JPMorgan Global Bond Opportunities Fund Class R6	Other securities	—	—	$25K	0.4%
20 Vanguard Target Retirement 2040 Fund Investor Shares	Mutual Funds	—	—	$18K	0.3%
12 Northern Global Real Estate Index	Other securities	—	—	$14K	0.2%
15 Vanguard Target Retirement Income Fund Investor Shares	Mutual Funds	—	—	$11K	0.2%
13 Northern High Yield Fixed Income	Other securities	—	—	$7K	0.1%
27 *Charles Schwab Government Money Fund	Mutual Funds	—	—	$5K	<0.1%
16 Vanguard Target Retirement 2020 Fund Investor Shares	Mutual Funds	—	—	$2K	<0.1%