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Original filing (PDF)20250729083836NAL0001442883001
SMITH AND HOWARD ADVISORY LLC
Form 5500
FILING_RECEIVED
SMITH AND HOWARD ADVISORY LLC 401(K) PROFIT SHARING PLAN
401(k) retirement plan
Active participants
276
Accounts w/ balance
276
Plan assets (EOY)
$42.7M
Net assets (EOY)
$42.7M
How this plan invests
This plan
69 collective trusts
Schedule D
Individual securities
on each trust's filing
This plan doesn't hold securities directly — it invests through trusts. Click a trust below to drill into its securities.
Plan health score (directional)
95
/ 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
75
Total plan cost
100
Vendor stack
100
Participation health
100
Helping the score
- Concentration not scored — Schedule of Assets PDF not yet parsed for this plan.
Decision-maker contacts
CFO / Head of HR / Benefits Manager — verified email + LinkedIn for SMITH AND HOWARD ADVISORY LLC.
Plan sponsor
Name
SMITH AND HOWARD ADVISORY LLC
EIN
92-0749631
Address
271 17TH STREET N.W., SUITE 2100 · ATLANTA, GA · 30363
Phone
(404) 874-6244
Industry
CPA Offices· Professional & Technical Servicessee all
Plan administrator
Same as plan sponsor.
Plan characteristics
Plan number
001
Plan year
2023
Plan year begin
2023-11-01
Tax period
2024-10-31
Filed
2025-07-29
Pension benefit codes
2A · Age/service weighted or new comparability
2E · Profit-sharing
2J · 401(k) feature
2K · 401(m) arrangement
2F · ERISA section 404(c)
2G · Total participant-directed accounts
3D · Pre-approved plan (master / prototype / VS)
3H · Sponsor in controlled / affiliated group
2M · 403(b)(7) custodial accounts
Audit & trust (Schedule H)
Auditor
AAFCPAS
Trustee / custodian
—
Trustee phone
—
Service providers (Schedule C)
2 rowsRecordkeeper
1| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| JOHN HANCOCK LIFE INS CO | 01-0233346 | — | RECORDKEEPER | $63K | — |
Advisor / Consultant
1| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| SMITH & HOWARD WEALTH MANAGEMENT | 58-2474069 | — | INVESTMENT ADVISORY | $66K | — |
Investments
69 pooled funds· $41.4M(97% 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.
| Investment | Type | Current value | % of plan |
|---|---|---|---|
| JH MULTIMANAGER GROWTH LS JOHN HANCOCK USA · EIN 01-0233346 / PN 000 | Pooled Separate Account | $6.4M | 15.1% |
| 500 INDEX FUND JOHN HANCOCK USA · EIN 01-0233346 / PN 000 | Pooled Separate Account | $3.8M | 8.9% |
| JH MULTIMANAGER AGRESSIVE LS JOHN HANCOCK USA · EIN 01-0233346 / PN 000 | Pooled Separate Account | $2.4M | 5.6% |
| CAPITAL APPRECIATION GROWTH JOHN HANCOCK USA · EIN 01-0233346 / PN 000 | Pooled Separate Account | $2.3M | 5.5% |
| EQUITY INCOME FUND JOHN HANCOCK USA · EIN 01-0233346 / PN 000 | Pooled Separate Account | $2.0M | 4.7% |
| JH MULTIMANAGER CONSERTAIVE LS JOHN HANCOCK USA · EIN 01-0233346 / PN 000 | Pooled Separate Account | $1.9M | 4.5% |
| JH MULTIMANAGER 2045 LIFETIME JOHN HANCOCK USA · EIN 01-0233346 / PN 000 | Pooled Separate Account | $1.6M | 3.8% |
| BLUE CHIP GROWTH JOHN HANCOCK USA · EIN 01-0233346 / PN 000 | Pooled Separate Account | $1.5M | 3.4% |
| FIDELITY ADVISOR TOTAL JOHN HANCOCK USA · EIN 01-0233346 / PN 000 | Pooled Separate Account | $1.3M | 3.0% |
| CORE BOND FUND JOHN HANCOCK USA · EIN 01-0233346 / PN 000 | Pooled Separate Account | $1.2M | 2.9% |
| INTL EQUITY INDEX FUND JOHN HANCOCK USA · EIN 01-0233346 / PN 000 | Pooled Separate Account | $1.2M | 2.8% |
| TOTAL STOCK MARKET INDEX FUND JOHN HANCOCK USA · EIN 01-0233346 / PN 000 | Pooled Separate Account | $1.1M | 2.6% |
| MID CAP INDEX FUND JOHN HANCOCK USA · EIN 01-0233346 / PN 000 | Pooled Separate Account | $1.1M | 2.5% |
| JH MULTIMANAGER 2010 LIFETIME JOHN HANCOCK USA · EIN 01-0233346 / PN 000 | Pooled Separate Account | $798K | 1.9% |
| JH DISCIPLINED VALUE INT FUND JOHN HANCOCK USA · EIN 01-0233346 / PN 000 | Pooled Separate Account | $791K | 1.9% |
| JH MULTIMANAGER BALANCED LS JOHN HANCOCK USA · EIN 01-0233346 / PN 000 | Pooled Separate Account | $771K | 1.8% |
| HIGH YIELD FUND JOHN HANCOCK USA · EIN 01-0233346 / PN 000 | Pooled Separate Account | $636K | 1.5% |
| T ROWE PRICE SMALL CAP JOHN HANCOCK USA · EIN 01-0233346 / PN 000 | Pooled Separate Account | $606K | 1.4% |
| JH MULTIMANAGER 2040 LIFETIME JOHN HANCOCK USA · EIN 01-0233346 / PN 000 | Pooled Separate Account | $550K | 1.3% |
| REAL EST SECURITIES FUND JOHN HANCOCK USA · EIN 01-0233346 / PN 000 | Pooled Separate Account | $530K | 1.2% |
| JOHN HANCOCK US GROWTH FUND JOHN HANCOCK USA · EIN 01-0233346 / PN 000 | Pooled Separate Account | $452K | 1.1% |
| STRATEGIC INCOME OPP FUND JOHN HANCOCK USA · EIN 01-0233346 / PN 000 | Pooled Separate Account | $445K | 1.0% |
| JH MULTIMANAGER 2055 LIFETIME JOHN HANCOCK USA · EIN 01-0233346 / PN 000 | Pooled Separate Account | $419K | 1.0% |
| SCIENCE & TECHNOLOGY FUND JOHN HANCOCK USA · EIN 01-0233346 / PN 000 | Pooled Separate Account | $385K | 0.9% |
| JH MULTIMANAGER MODERATE LS JOHN HANCOCK USA · EIN 01-0233346 / PN 000 | Pooled Separate Account | $355K | 0.8% |
| JANUS HENDERSON GBL EQ INCOME JOHN HANCOCK USA · EIN 01-0233346 / PN 000 | Pooled Separate Account | $341K | 0.8% |
| AMERICAN FUNDS FUNDAMENTAL INV JOHN HANCOCK USA · EIN 01-0233346 / PN 000 | Pooled Separate Account | $333K | 0.8% |
| T ROWE PRICE HEALTH SCI JOHN HANCOCK USA · EIN 01-0233346 / PN 000 | Pooled Separate Account | $330K | 0.8% |
| JH MULTIMANAGER 2035 LIFETIME JOHN HANCOCK USA · EIN 01-0233346 / PN 000 | Pooled Separate Account | $303K | 0.7% |
| JH MULTIMANAGER 2050 LIFETIME JOHN HANCOCK USA · EIN 01-0233346 / PN 000 | Pooled Separate Account | $303K | 0.7% |
| WASHINGTON MUTUAL INVESTORS JOHN HANCOCK USA · EIN 01-0233346 / PN 000 | Pooled Separate Account | $302K | 0.7% |
| JH MULTIMANAGER 2060 LIFETIME JOHN HANCOCK USA · EIN 01-0233346 / PN 000 | Pooled Separate Account | $286K | 0.7% |
| JOHN HANCOCK MID CAP GROWTH JOHN HANCOCK USA · EIN 01-0233346 / PN 000 | Pooled Separate Account | $274K | 0.6% |
| AMERICAN FUNDS EUROPAC GROWTH JOHN HANCOCK USA · EIN 01-0233346 / PN 000 | Pooled Separate Account | $256K | 0.6% |
| PIMCO REAL RETURN JOHN HANCOCK USA · EIN 01-0233346 / PN 000 | Pooled Separate Account | $256K | 0.6% |
| OPPORTUNISTIC FIXED INCOME JOHN HANCOCK USA · EIN 01-0233346 / PN 000 | Pooled Separate Account | $243K | 0.6% |
| JP MORGAN US EQUITY FUND JOHN HANCOCK USA · EIN 01-0233346 / PN 000 | Pooled Separate Account | $230K | 0.5% |
| VANGUARD SMALL CAP GROWTH JOHN HANCOCK USA · EIN 01-0233346 / PN 000 | Pooled Separate Account | $223K | 0.5% |
| AMERICAN CENTURY HERITAGE JOHN HANCOCK USA · EIN 01-0233346 / PN 000 | Pooled Separate Account | $223K | 0.5% |
| JH MULTIMANAGER 2030 LIFETIME JOHN HANCOCK USA · EIN 01-0233346 / PN 000 | Pooled Separate Account | $218K | 0.5% |
| 3 YEAR COMPOUND JOHN HANCOCK USA · EIN 01-0233346 / PN 000 | Pooled Separate Account | $196K | 0.5% |
| AF THE GROWTH FUND OF AMERICA JOHN HANCOCK USA · EIN 01-0233346 / PN 000 | Pooled Separate Account | $190K | 0.4% |
| AF AMERICAN BALANCED FUND JOHN HANCOCK USA · EIN 01-0233346 / PN 000 | Pooled Separate Account | $188K | 0.4% |
| DFA US SMALL CAP FUND JOHN HANCOCK USA · EIN 01-0233346 / PN 000 | Pooled Separate Account | $184K | 0.4% |
| MONEY MARKET FUND JOHN HANCOCK USA · EIN 01-0233346 / PN 000 | Pooled Separate Account | $173K | 0.4% |
| FUNDAMENTAL LARGE CAP VALUE JOHN HANCOCK USA · EIN 01-0233346 / PN 000 | Pooled Separate Account | $151K | 0.4% |
| DFA US TARGETED VALUE FUND JOHN HANCOCK USA · EIN 01-0233346 / PN 000 | Pooled Separate Account | $151K | 0.4% |
| JH MULTIMANAGER 2065 LIFETIME JOHN HANCOCK USA · EIN 01-0233346 / PN 000 | Pooled Separate Account | $147K | 0.3% |
| SMALL CAP INDEX JOHN HANCOCK USA · EIN 01-0233346 / PN 000 | Pooled Separate Account | $130K | 0.3% |
| NEW OPPORTUNITIES FUND JOHN HANCOCK USA · EIN 01-0233346 / PN 000 | Pooled Separate Account | $129K | 0.3% |
| MID VALUE FUND JOHN HANCOCK USA · EIN 01-0233346 / PN 000 | Pooled Separate Account | $128K | 0.3% |
| INVESCO EQV INTL EQUITY FUND JOHN HANCOCK USA · EIN 01-0233346 / PN 000 | Pooled Separate Account | $125K | 0.3% |
| MFS UTILITIES FUND JOHN HANCOCK USA · EIN 01-0233346 / PN 000 | Pooled Separate Account | $119K | 0.3% |
| INVESTMENT CO OF AMERICA JOHN HANCOCK USA · EIN 01-0233346 / PN 000 | Pooled Separate Account | $117K | 0.3% |
| FINANCIAL INDUSTRIES FUND JOHN HANCOCK USA · EIN 01-0233346 / PN 000 | Pooled Separate Account | $109K | 0.3% |
| T ROWE PRICE NEW ERA FUND JOHN HANCOCK USA · EIN 01-0233346 / PN 000 | Pooled Separate Account | $69K | 0.2% |
| NORTHERN EM EQUITY INDEX FUND JOHN HANCOCK USA · EIN 01-0233346 / PN 000 | Pooled Separate Account | $66K | 0.2% |
| JOHN HANCOCK BOND FUND JOHN HANCOCK USA · EIN 01-0233346 / PN 000 | Pooled Separate Account | $64K | 0.1% |
| BLACKROCK GLOBAL ALLOCATION JOHN HANCOCK USA · EIN 01-0233346 / PN 000 | Pooled Separate Account | $56K | 0.1% |
| 10 YEAR COMPOUND JOHN HANCOCK USA · EIN 01-0233346 / PN 000 | Pooled Separate Account | $45K | 0.1% |
| TEMPLETON FOREIGN SMALLER CO JOHN HANCOCK USA · EIN 01-0233346 / PN 000 | Pooled Separate Account | $36K | <0.1% |
| AMERICAN CENTURY EM FUND JOHN HANCOCK USA · EIN 01-0233346 / PN 000 | Pooled Separate Account | $26K | <0.1% |
| INVESCO SMALL CAP GROWTH JOHN HANCOCK USA · EIN 01-0233346 / PN 000 | Pooled Separate Account | $19K | <0.1% |
| DFA INTERNATIONAL VALUE FUND 128 JOHN HANCOCK USA · EIN 01-0233346 / PN 000 | Pooled Separate Account | $12K | <0.1% |
| SMALL CAP VALUE FUND JOHN HANCOCK USA · EIN 01-0233346 / PN 000 | Pooled Separate Account | $11K | <0.1% |
| FUNDAMENTAL ALL CAP CORE FUND JOHN HANCOCK USA · EIN 01-0233346 / PN 000 | Pooled Separate Account | $9K | <0.1% |
| SMALL CAP STOCK FUND JOHN HANCOCK USA · EIN 01-0233346 / PN 000 | Pooled Separate Account | $9K | <0.1% |
| VANGUARD SHORT-TERM FEDERAL JOHN HANCOCK USA · EIN 01-0233346 / PN 000 | Pooled Separate Account | $8K | <0.1% |
| 5 YEAR COMPOUND JOHN HANCOCK USA · EIN 01-0233346 / PN 000 | Pooled Separate Account | $2K | <0.1% |