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Original filing (PDF)20251015150221NAL0002507939001
PRINCIPLES, INC.
Form 5500
FILING_RECEIVED
IMPACT TAX DEFERRED ANNUITY PLAN
403(b) retirement plan
Signals · 2
100% in single holdingNo recordkeeper disclosed
Active participants
162
Accounts w/ balance
241
Plan assets (EOY)
$8.9M
Net assets (EOY)
$8.9M
How this plan invests
This plan
1 pooled trust
Schedule D
1 securities
funds · stocks · CUSIPs
Holdings are itemized directly on this plan's Schedule of Assets, below.
Plan health score (directional)
87
/ 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
75
Vendor stack
80
Participation health
100
Knocking points off
- Top holding "[DFE: VARIABLE ANNUITY ACCOUNT C (no filing on disk)]" is 100% of plan.
- No recordkeeper disclosed on Schedule C.
Helping the score
- No Schedule C compensation disclosed — likely a small plan or unbundled.
Decision-maker contacts
CFO / Head of HR / Benefits Manager — verified email + LinkedIn for PRINCIPLES, INC..
Plan sponsor
Name
PRINCIPLES, INC.
DBA
DBA IMPACT DRUG & ALCOHOL TREATMENT
EIN
95-2769659
Address
1680 N. FAIR OAKS AVE. · PASADENA, CA · 91103
Phone
(626) 798-0884
Industry
Health Care & Social Assistancesee all
Plan administrator
Name
PRINCIPLES, INC.
EIN
95-2769659
City
PASADENA, CA
Phone
(626) 798-0884
Plan characteristics
Plan number
001
Plan year
2024
Plan year begin
2024-01-01
Tax period
2024-12-31
Filed
2025-10-15
Pension benefit codes
2F · ERISA section 404(c)
2G · Total participant-directed accounts
2L · 403(b)(1) annuity
3D · Pre-approved plan (master / prototype / VS)
Audit & trust (Schedule H)
Auditor
STERN, KORY, SREDEN & MORGAN
Trustee / custodian
—
Trustee phone
—
Service providers (Schedule C)
No Schedule C providers reportedInvestments
1 pooled fund· $5.7M(65% 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.
| PI | Investment | Type | Shares / units | Cost | Current value | % of plan |
|---|---|---|---|---|---|---|
| VARIABLE ANNUITY ACCOUNT C VOYA RETIREMENT AND INSURANCE ANNUITY COMPANY · EIN 71-0294708 / PN 000 | Pooled Separate Account | — | — | $5.7M | 64.6% |
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