Back to filter
Original filing (PDF)20251008140233NAL0013939298001
WINERY EXCHANGE, INC.
Form 5500
FILING_RECEIVED
WINERY EXCHANGE INC., 401(K) PLAN
401(k) retirement plan
Active participants
138
Accounts w/ balance
185
Plan assets (EOY)
$15.2M
Net assets (EOY)
$15.2M
How this plan invests
This plan
42 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
- 47 bps in Schedule C fees — 63% above peer band of 29 bps.
Decision-maker contacts
CFO / Head of HR / Benefits Manager — verified email + LinkedIn for WINERY EXCHANGE, INC..
Plan sponsor
Name
WINERY EXCHANGE, INC.
EIN
94-3353812
Address
4 HAMILTON LANDING, SUITE 110 · NOVATO, CA · 94954
Phone
(415) 382-6803
Industry
Wholesale Tradesee 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
2025-10-08
Pension benefit codes
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
APRIO LLP
Trustee / custodian
—
Trustee phone
—
Service providers (Schedule C)
3 rowsRecordkeeper
1| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| EMPOWER ANNUITY INSURANCE COMPANY | — | GREENWOOD VILLAGE, CO | RECORDKEEPER | $8K | — |
Advisor / Consultant
1| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| MORGAN STANLEY | — | NEW YORK, NY | INVESTMENT ADVISOR | $56K | — |
Other
1| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| EMPOWER ADVISORY GROUP, LLC | — | GREENWOOD VILLAGE, CO | INVESTMENT MGMT | $8K | — |
Investments
42 direct securities· $15.2M(100% of reported assets)
| PI | Investment | Type | Shares / units | Cost | Current value | % of plan |
|---|---|---|---|---|---|---|
| Alger Capital Appreciation Instl I Mutual Fund | — | — | — | $2.3M | 15.0% | |
| Vanguard 500 Index Admiral Mutual Fund | — | — | — | $2.1M | 13.9% | |
| Vanguard Target Retirement 2035 Inv Mutual Fund | — | — | — | $1.2M | 7.9% | |
| Vanguard Target Retirement 2050 Inv Mutual Fund | — | — | — | $1.2M | 7.6% | |
| Carillon Eagle Mid Cap Growth R6 Mutual Fund | — | — | — | $753K | 4.9% | |
| Vanguard Target Retirement 2060 Inv Mutual Fund | — | — | — | $537K | 3.5% | |
| Vanguard Target Retirement 2045 Inv Mutual Fund | — | — | — | $526K | 3.5% | |
| Vanguard Target Retirement 2040 Inv Mutual Fund | — | — | — | $499K | 3.3% | |
| Dfa Enhanced Us Large Company I Mutual Fund | — | — | — | $469K | 3.1% | |
| Vanguard Small Cap Index Adm Mutual Fund | — | — | — | $441K | 2.9% | |
| Vanguard Mid Cap Index Fund - Admiral Mutual Fund | — | — | — | $435K | 2.9% | |
| Vanguard Target Retirement 2055 Inv Mutual Fund | — | — | — | $426K | 2.8% | |
| Vanguard Target Retirement 2030 Inv Mutual Fund | — | — | — | $378K | 2.5% | |
| Dfa Large Cap International I Mutual Fund | — | — | — | $367K | 2.4% | |
| Ab Relative Value I Mutual Fund | — | — | — | $364K | 2.4% | |
| Clearbridge International Growth I Mutual Fund | — | — | — | $340K | 2.2% | |
| Vanguard Inflation-protected Secs Adm Mutual Fund | — | — | — | $191K | 1.3% | |
| Invesco Core Bond R6 Mutual Fund | — | — | — | $191K | 1.3% | |
| Vanguard Mid-cap Growth Index Admiral Mutual Fund | — | — | — | $188K | 1.2% | |
| Vanguard Target Retirement Income Inv Mutual Fund | — | — | — | $185K | 1.2% | |
| Macsquare High Income Institutional Mutual Fund | — | — | — | $182K | 1.2% | |
| American Funds Intl Gr And Inc R6 Mutual Fund | — | — | — | $180K | 1.2% | |
| Various maturity dates; interest * Participant loans rates from 4.50% to 9.50% - | — | — | — | $166K | 1.1% | |
| Vanguard Gnma Inv Mutual Fund | — | — | — | $162K | 1.1% | |
| Dodge & Cox Global Bond - I Mutual Fund | — | — | — | $154K | 1.0% | |
| Invesco Developing Markets R6 Mutual Fund | — | — | — | $153K | 1.0% | |
| Goldman Sachs Small Cp Val Insghts R6 Mutual Fund | — | — | — | $131K | 0.9% | |
| Vanguard Real Estate Index Admiral Mutual Fund | — | — | — | $127K | 0.8% | |
| Franklin Small Cap Growth R6 Mutual Fund | — | — | — | $123K | 0.8% | |
| Vanguard Selected Value Inv Mutual Fund | — | — | — | $114K | 0.7% | |
| Vanguard Target Retirement 2025 Inv Mutual Fund | — | — | — | $109K | 0.7% | |
| Key Guaranteed Portfolio Fund Guaranteed Interest Account | — | — | — | $107K | 0.7% | |
| Invesco Equity And Income R6 Mutual Fund | — | — | — | $101K | 0.7% | |
| Vanguard Wellesley Income Fund Mutual Fund | — | — | — | $89K | 0.6% | |
| Fidelity Multi-asset Index Fund Mutual Fund | — | — | — | $79K | 0.5% | |
| Mfs Mid Cap Value R6 Mutual Fund | — | — | — | $77K | 0.5% | |
| Vanguard Target Retirement 2020 Inv Mutual Fund | — | — | — | $35K | 0.2% | |
| Vanguard Materials Index Adm Mutual Fund | — | — | — | $31K | 0.2% | |
| Nuveen Core Impact Bond R6 Mutual Fund | — | — | — | $25K | 0.2% | |
| Dfa International Value I Mutual Fund | — | — | — | $17K | 0.1% | |
| Invesco Gold & Special Minerals R6 Mutual Fund | — | — | — | $14K | <0.1% | |
| Parnassus Mid-cap Mutual Fund | — | — | — | $7K | <0.1% |
Related plans
Other plans using MORGAN STANLEY
JOHNSON AND JOHNSON
JOHNSON AND JOHNSON SAVINGS PLAN TRUST
$24.2B
JOHNSON AND JOHNSON
JOHNSON AND JOHNSON PENSION AND SAVINGS PLAN MASTER TRUST
$22.7B
TENET HEALTHCARE CORPORATION
TENET HEALTHCARE CORPORATION 401(K) RETIREMENT SAVINGS PLAN
$8.7B · 103,052 participants
BOARD OF TRUSTEES-NEW YORK STATE NURSES ASSOCIATION PENSION PLAN
NEW YORK STATE NURSES ASSOCIATION PENSION PLAN
$5.9B · 22,140 participants
NEXTERA ENERGY, INC.
NEXTERA ENERGY, INC. EMPLOYEE PENSION PLAN
$5.3B · 15,485 participants
NATIONAL MEDICAL CARE, INC.
FRESENIUS MEDICAL CARE NORTH AMERICA 401(K) SAVINGS PLAN
$4.4B · 61,883 participants
Similar-size Wholesale Trade plans
BUDWEISER DISTRIBUTING COMPANY OF BORGER, L.P.
BUDWEISER DISTRIBUTING COMPANY OF BORGER 401(K) RETIREMENT PLAN
$15.2M · 148 participants
EDER BROS., INC.
EDER BROTHERS, INC. 401(K) PLAN
$15.3M
GRIFFIN BEVERAGE COMPANY
GRIFFIN BEVERAGE COMPANY 401(K) PLAN
$15.3M · 113 participants
THE COLUMBUS DISTRIBUTING COMPANY
COLUMBUS DISTRIBUTING UNIONIZED EMPLOYEES 401(K) PLAN
$15.3M · 73 participants
SFB BUCK, LLC
BUCK DISTRIBUTING 401(K) PROFIT SHARING PLAN
$15.1M · 69 participants
SFB BUCK, LLC
BUCK DISTRIBUTING 401(K) PROFIT SHARING PLAN
$15.1M · 69 participants
Large plans in California
BLACKROCK INSTITUTIONAL TRUST COMPANY, N.A.
EQUITY INDEX FUND
$215.1B
BLACKROCK INSTITUTIONAL TRUST COMPANY, N.A.
EQUITY INDEX FUND E
$190.9B
BLACKROCK INSTITUTIONAL TRUST COMPANY, N.A.
EQUITY INDEX FUND F
$188.1B
BLACKROCK INSTITUTIONAL TRUST COMPANY, N.A.
RUSSELL 1000 INDEX FUND
$187.7B
BLACKROCK INSTITUTIONAL TRUST COMPANY, N.A.
CASH EQUIVALENT FUND II
$125.0B
BLACKROCK INSTITUTIONAL TRUST COMPANY, N.A.
BLACKROCK MSCI ACWI EX-US IMI INDEX FUND E
$88.3B