Back to filter
Original filing (PDF)20251013100617NAL0000458547001
YATES, LLC
Form 5500
FILING_RECEIVED
YATES INSURANCE AGENCY, INC. PROFIT SHARING PLAN
401(k) retirement plan
Active participants
130
Accounts w/ balance
142
Plan assets (EOY)
$25.0M
Net assets (EOY)
$25.0M
How this plan invests
This plan
1 pooled trust
Schedule D
19 securities
funds · stocks · CUSIPs
Holdings are itemized directly on this plan's Schedule of Assets, below.
Plan health score (directional)
91
/ 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
65
Vendor stack
100
Participation health
100
Knocking points off
- 45 bps in Schedule C fees — 55% above peer band of 29 bps.
Decision-maker contacts
CFO / Head of HR / Benefits Manager — verified email + LinkedIn for YATES, LLC.
Plan sponsor
Name
YATES, LLC
EIN
87-3779035
Address
2800 CENTURY PKWY NE STE 300 · ATLANTA, GA · 303453140
Phone
(404) 633-4321
Industry
Insurance Agencies & Brokerages· Finance & Insurancesee 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
2025-10-13
Pension benefit codes
2A · Age/service weighted or new comparability
2E · Profit-sharing
2F · ERISA section 404(c)
2G · Total participant-directed accounts
2J · 401(k) feature
2K · 401(m) arrangement
2T · Default investment account (QDIA)
3D · Pre-approved plan (master / prototype / VS)
Audit & trust (Schedule H)
Auditor
MSTILLER LLC
Trustee / custodian
—
Trustee phone
—
Service providers (Schedule C)
4 rowsRecordkeeper
1| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| EMPOWER ANNUITY INSURANCE COMPANY O | — | GREENWOOD VILLAGE, CO | RECORDKEEPER | $46K | — |
Advisor / Consultant
1| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| MERRILL LYNCH PIERCE FENNER & SMITH | — | PENNINGTON, NJ | INVESTMENT ADVISOR | $60K | — |
TPA / Administrator
1| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| ASCENSUS HOLDINGS INC DBA FUTUREPLA | — | SAN DIEGO, CA | CONTRACT ADMIN | $5K | — |
Other
1| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| EMPOWER ADVISORY GROUP, LLC | — | GREENWOOD VILLAGE, CO | INVESTMENT MGMT | $124 | — |
Investments
19 direct securities · 1 pooled fund· $45.9M(100% of reported assets)
Rows tagged as a trust or pooled fund hold many underlying securities. Their holdings are itemized on each fund’s own Form 5500.
Common Collective Trust
$23.0M
1 holding
Uncategorized
$23.0M
19 holdings
| PI | Investment | Type | Shares / units | Cost | Current value | % of plan |
|---|---|---|---|---|---|---|
| SEPARATE ACCOUNT 401 TALCOTT RESOLUTION LIFE INSURANCE COMPANY · EIN 06-0974148 / PN 000 | Common Collective Trust | — | — | $23.0M | 91.9% | |
| Talcott Resolution Life Insurance Co. Blackrock Global Allocation K | — | — | — | $5.2M | 20.8% | |
| Talcott Resolution Life Insurance Co. JPMorgan US Equity R6 | — | — | — | $5.0M | 19.9% | |
| Talcott Resolution Life Insurance Co. PGIM High Yield R6 | — | — | — | $2.5M | 10.1% | |
| Talcott Resolution Life Insurance Co. Vanguard Total Intl Stock Index Admiral | — | — | — | $2.5M | 9.9% | |
| Talcott Resolution Life Insurance Co. American Funds American Mutual R6 | — | — | — | $1.8M | 7.3% | |
| Talcott Resolution Life Insurance Co. Columbia Large Cap Growth Inst3 | — | — | — | $1.7M | 6.9% | |
| Talcott Resolution Life Insurance Co. Vanguard Small-Cap Index Adm | — | — | — | $1.5M | 6.1% | |
| Talcott Resolution Life Insurance Co. Allspring Special Mid Cap Value R6 | — | — | — | $935K | 3.7% | |
| Talcott Resolution Life Insurance Co. American Funds 2035 Trgt Date Retire R6 | — | — | — | $511K | 2.0% | |
| Talcott Resolution Life Insurance Co. Goldman Sachs Small/Mid Cap Growth R6 | — | — | — | $369K | 1.5% | |
| Talcott Resolution Life Insurance Co. Pioneer Strategic Income K | — | — | — | $238K | 1.0% | |
| Talcott Resolution Life Insurance Co. PIMCO Total Return Instl | — | — | — | $225K | 0.9% | |
| Talcott Resolution Life Insurance Co. MFS International Growth R6 | — | — | — | $206K | 0.8% | |
| Talcott Resolution Life Insurance Co. American Funds 2045 Trgt Date Retire R6 | — | — | — | $105K | 0.4% | |
| Talcott Resolution Life Insurance Co. Hartford Schroders Intl Multi-Cp Val SDR | — | — | — | $102K | 0.4% | |
| Talcott Resolution Life Insurance Co. American Funds 2040 Trgt Date Retire R6 | — | — | — | $21K | <0.1% | |
| Talcott Resolution Life Insurance Co. American Funds 2060 Trgt Date Retire R6 | — | — | — | $15K | <0.1% | |
| Talcott Resolution Life Insurance Co. American Funds 2050 Trgt Date Retire R6 | — | — | — | $5K | <0.1% | |
| Talcott Resolution Life Insurance Co. American Funds 2065 Trgt Date Retire R6 | — | — | — | $1K | <0.1% |