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Original filing (PDF)20251015082653NAL0004068273001
LOCKTON, INC.
Form 5500
FILING_RECEIVED
LOCKTON, INC. 401(K) PLAN
401(k) retirement plan
Signals · 2
No recordkeeper disclosed9 service providers
Active participants
7,058
Accounts w/ balance
8,620
Plan assets (EOY)
$1.4B
Net assets (EOY)
$1.4B
How this plan invests
This plan
19 pooled trusts
Schedule D
37 securities
funds · stocks · CUSIPs
Holdings are itemized directly on this plan's Schedule of Assets, below.
Plan health score (directional)
98
/ 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
100
Vendor stack
80
Participation health
100
Knocking points off
- No recordkeeper disclosed on Schedule C.
Decision-maker contacts
CFO / Head of HR / Benefits Manager — verified email + LinkedIn for LOCKTON, INC..
Plan sponsor
Name
LOCKTON, INC.
EIN
90-0007886
Address
444 W 47TH STREET · SUITE 900 · KANSAS CITY, MO · 641121906
Phone
(816) 960-9747
Industry
Insurance Agencies & Brokerages· Finance & Insurancesee all
Plan administrator
Name
LOCKTON, INC.
EIN
90-0007886
City
KANSAS CITY, MO
Phone
(816) 960-9200
Plan characteristics
Plan number
002
Plan year
2024
Plan year begin
2024-01-01
Tax period
2024-12-31
Filed
2025-10-15
Pension benefit codes
2E · Profit-sharing
2F · ERISA section 404(c)
2G · Total participant-directed accounts
2J · 401(k) feature
2K · 401(m) arrangement
2R · Participant-directed brokerage (SDBA)
2S · Automatic enrollment
2T · Default investment account (QDIA)
3B · Covers self-employed individuals
3H · Sponsor in controlled / affiliated group
Audit & trust (Schedule H)
Auditor
RUBIN BROWN LLP
Trustee / custodian
—
Trustee phone
—
Service providers (Schedule C)
9 rowsBroker
1| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| CHARLES SCHWAB & CO, INC. | 94-1737782 | — | BROKER/DEALER | $5K | — |
TPA / Administrator
1| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| PRINCIPAL LIFE INSURANCE COMPANY | 42-0127290 | — | CONTRACT ADMINISTRATOR | $619K | — |
Other
7| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| CREATIVE PLANNING LLC | 43-1270780 | — | INV ADV, PARTICIPANTS | $84K | — |
| CETERA INVESTMENT ADVISERS LLC | 36-3258176 | — | INV ADV, PARTICIPANTS | $36K | — |
| BCWM, LLC. | 26-0817243 | — | INV ADV, PARTICIPANTS | $18K | — |
| MARINER LLC | 20-4553256 | — | INV ADV, PARTICIPANTS | $17K | — |
| PRIME CAPITAL INVESTMENT ADVIS | 82-1364595 | — | INV ADV, PARTICIPANTS | $8K | — |
| GOODMAN FINANCIAL CORPORATION | 76-0266967 | — | INV ADV, PARTICIPANTS | $5K | — |
| CREATIVE PLANNING, LLC | 84-4519624 | — | INV ADV, PARTICIPANTS | $0 | — |
Investments
20 direct securities · 19 pooled funds· $2.2B(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.
Common Collective Trust
$1.1B
14 holdings
Uncategorized
$903.7M
19 holdings
Common Collective Trusts
$131.7M
1 holding
Pooled Separate Account
$31.6M
5 holdings
| PI | Investment | Type | Shares / units | Cost | Current value | % of plan |
|---|---|---|---|---|---|---|
| AMERICAN CENT IN RET TRUST XII GLOBAL TRUST COMPANY · EIN 30-6406015 / PN 001 | Common Collective Trust | — | — | $671.9M | 48.1% | |
| Fidelity Investments Fidelity Contrafund | Common Collective Trusts | — | — | $131.7M | 9.4% | |
| FIDELITY CTRAFD COMM PL CLSS I FIDELITY MANAGEMENT TRUST COMPANY · EIN 04-3022712 / PN 133 | Common Collective Trust | — | — | $131.7M | 9.4% | |
| BLACKROCK EQUITY INDEX M FUND BLACKROCK INST TRUST CO · EIN 45-4365907 / PN 001 | Common Collective Trust | — | — | $124.2M | 8.9% | |
| American Century Investments Am Cent Retire Dt 2045 Trust XII | — | — | — | $97.4M | 7.0% | |
| American Century Investments Am Cent Retire Dt 2050 Trust XII | — | — | — | $94.0M | 6.7% | |
| American Century Investments Am Cent Retire Dt 2030 Trust XII | — | — | — | $90.0M | 6.4% | |
| American Century Investments Am Cent Retire Dt 2035 Trust XII | — | — | — | $87.1M | 6.2% | |
| Individually Directed Accounts | — | — | — | $85.3M | 6.1% | |
| American Century Investments Am Cent Retire Dt 2055 Trust XII | — | — | — | $80.9M | 5.8% | |
| American Century Investments Am Cent Retire Dt 2040 Trust XII | — | — | — | $80.6M | 5.8% | |
| American Century Investments Am Cent Retire Dt 2060 Trust XII | — | — | — | $54.9M | 3.9% | |
| American Century Investments Am Cent Retire Dt 2025 Trust XII | — | — | — | $46.2M | 3.3% | |
| COLUMBIA TR DIV INC INST 100 AMERIPRISE TRUST COMPANY · EIN 41-0007957 / PN 218 | Common Collective Trust | — | — | $39.8M | 2.9% | |
| BLACKROCK MIDCP EQ INDEX M FD BLACKROCK INST TRUST CO · EIN 45-4378115 / PN 001 | Common Collective Trust | — | — | $35.1M | 2.5% | |
| Registered Investment Companies American Funds Service Company Am Fds EuroPacific Grth R6 Fd | — | — | — | $28.2M | 2.0% | |
| BLKROCK RUSSELL 2000 IDX M FD BLACKROCK INST TRUST CO · EIN 45-4352603 / PN 001 | Common Collective Trust | — | — | $27.7M | 2.0% | |
| T. Rowe Price Funds T. Rowe Price Mid-Cap Value I Fd | — | — | — | $25.9M | 1.9% | |
| Vanguard Group Vanguard Dev Mkts Index Inst Fd | — | — | — | $25.8M | 1.8% | |
| BLACKROCK US DEBT INDEX M FUND BLACKROCK INST TRUST CO · EIN 45-4395752 / PN 001 | Common Collective Trust | — | — | $25.2M | 1.8% | |
| Separately Managed Account Met Life Guaranteed investment contract | — | — | — | $25.1M | 1.8% | |
| American Century Investments Am Cent Retire Trust XII | — | — | — | $21.2M | 1.5% | |
| PRUDENTIAL CORE PLUS BOND 12 PRUDENTIAL TRUST COMPANY · EIN 23-6994310 / PN 165 | Common Collective Trust | — | — | $20.5M | 1.5% | |
| The American Funds American Funds Newworld R6 | — | — | — | $19.9M | 1.4% | |
| American Century Investments Am Cent Retire Dt 2065 Trust XII | — | — | — | $19.4M | 1.4% | |
| PRIN SMCAP GROWTH I SEP ACCT-Z PRINCIPAL LIFE INSURANCE COMPANY · EIN 42-0127290 / PN 070 | Pooled Separate Account | — | — | $16.3M | 1.2% | |
| FRANKLN SMALL CAP VALUE GG R GREAT GRAY TRUST COMPANY · EIN 38-4126289 / PN 594 | Common Collective Trust | — | — | $16.0M | 1.1% | |
| PIMCO Income Institutional Fund | — | — | — | $10.7M | 0.8% | |
| Principal Life Insurance Company Principal LargeCap S&P 500 Index SA-NE | — | — | — | $9.2M | 0.7% | |
| PRIN LGCP S&P 500 IDX SA-NE PRINCIPAL LIFE INSURANCE COMPANY · EIN 42-0127290 / PN 016 | Pooled Separate Account | — | — | $9.2M | 0.7% | |
| MFS MID CAP GROWTH FUND CL 2W GREAT GRAY TRUST COMPANY · EIN 38-4126294 / PN 597 | Common Collective Trust | — | — | $5.4M | 0.4% | |
| STATE ST WD DV EX US IDX II FD STATE STREET BANK AND TRUST COMPANY · EIN 04-0025081 / PN 034 | Common Collective Trust | — | — | $3.0M | 0.2% | |
| PRINCIPAL DIV REAL ASSET SA-Z PRINCIPAL LIFE INSURANCE COMPANY · EIN 42-0127290 / PN 123 | Pooled Separate Account | — | — | $2.8M | 0.2% | |
| PRIN MIDCAP S&P 400 IDX SA-NE PRINCIPAL LIFE INSURANCE COMPANY · EIN 42-0127290 / PN 023 | Pooled Separate Account | — | — | $1.8M | 0.1% | |
| STATE STREET US BD ID SL XIV STATE STREET BANK AND TRUST COMPANY · EIN 90-0337987 / PN 477 | Common Collective Trust | — | — | $1.8M | 0.1% | |
| STATE STREET EM IDX SL II FD STATE STREET GLOBAL ADVISORS · EIN 32-6528132 / PN 035 | Common Collective Trust | — | — | $1.6M | 0.1% | |
| PRIN SMCAP S&P 600 INDEX SA-NE PRINCIPAL LIFE INSURANCE COMPANY · EIN 42-0127290 / PN 028 | Pooled Separate Account | — | — | $1.6M | 0.1% | |
| Columbia Trust Money Market Fund Money market fund | — | — | — | $1.6M | 0.1% | |
| STABLE VALUE FIXED INCOME CIT ALTA TRUST COMPANY · EIN 88-2465398 / PN 001 | Common Collective Trust | — | — | $1.2M | <0.1% |