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Original filing (PDF)20251013102534NAL0001105969001
BROADWIND, INC.
Form 5500
FILING_RECEIVED
BROADWIND, INC. EMPLOYEES' 401(K) PLAN
401(k) retirement plan
Signals · 1
No recordkeeper disclosed
Active participants
422
Accounts w/ balance
521
Plan assets (EOY)
$30.9M
Net assets (EOY)
$30.9M
How this plan invests
This plan
2 pooled trusts
Schedule D
19 securities
funds · stocks · CUSIPs
Holdings are itemized directly on this plan's Schedule of Assets, below.
Plan health score (directional)
89
/ 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
80
Participation health
100
Knocking points off
- 57 bps in Schedule C fees — 98% above peer band of 29 bps.
- No recordkeeper disclosed on Schedule C.
Decision-maker contacts
CFO / Head of HR / Benefits Manager — verified email + LinkedIn for BROADWIND, INC..
Plan sponsor
Name
BROADWIND, INC.
EIN
88-0409160
Address
3240 S CENTRAL AVENUE · CICERO, IL · 608043939
Phone
(708) 780-4800
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
2025-10-13
Pension benefit codes
2E · Profit-sharing
2F · ERISA section 404(c)
2H · Partial 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
SASSETTI LLC
Trustee / custodian
—
Trustee phone
—
Service providers (Schedule C)
2 rowsAdvisor / Consultant
1| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| RAYMOND JAMES FIN SVCS ADVISORS | 59-2937883 | — | INVESTMENT ADVISORY | $0 | — |
TPA / Administrator
1| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| PRINCIPAL LIFE INSURANCE COMPANY | 42-0127290 | — | CONTRACT ADMINISTRATOR | $178K | — |
Investments
18 direct securities · 2 pooled funds· $31.3M(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
$30.2M
18 holdings
Pooled Separate Account
$1.0M
2 holdings
| PI | Investment | Type | Shares / units | Cost | Current value | % of plan |
|---|---|---|---|---|---|---|
| Fidelity 500 Index Fund | — | — | — | $4.5M | 14.6% | |
| BlackRock LifePath Index Retirement Fund | — | — | — | $4.1M | 13.3% | |
| BlackRock LifePath Index 2030 | — | — | — | $3.9M | 12.6% | |
| BlackRock LifePath Index 2040 | — | — | — | $3.2M | 10.4% | |
| Broadwind Energy, Inc. | — | — | — | $2.9M | 9.3% | |
| BlackRock LifePath Index 2035 | — | — | — | $2.3M | 7.6% | |
| BlackRock LifePath Index 2050 | — | — | — | $2.2M | 7.3% | |
| BlackRock LifePath Index 2045 | — | — | — | $2.1M | 6.7% | |
| BlackRock LifePath Index 2055 | — | — | — | $997K | 3.2% | |
| Participant loans (4.25% to 9.5%) -0- | — | — | — | $888K | 2.9% | |
| Fixed Income Guaranteed Option | — | — | — | $722K | 2.3% | |
| Fidelity International Index Fund | — | — | — | $605K | 2.0% | |
| PRIN SMCAP S&P 600 INDEX SA-Z PRINCIPAL LIFE INSURANCE COMPANY · EIN 42-0127290 / PN 028 | Pooled Separate Account | — | — | $553K | 1.8% | |
| BlackRock LifePath Index 2065 | — | — | — | $518K | 1.7% | |
| Principal Global Investors M idcap S&P 400 Index Separate Account | — | — | — | $491K | 1.6% | |
| PRIN MIDCAP S&P 400 IDX SA-Z PRINCIPAL LIFE INSURANCE COMPANY · EIN 42-0127290 / PN 023 | Pooled Separate Account | — | — | $491K | 1.6% | |
| BlackRock LifePath Index 2060 | — | — | — | $399K | 1.3% | |
| Fidelity US Bond Index Fund | — | — | — | $191K | 0.6% | |
| Vanguard Short-Term Federal Fund Admiral Shares | — | — | — | $66K | 0.2% | |
| Principal Pension Builder | — | — | — | $45K | 0.1% |
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