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Original filing (PDF)20250929175616NAL0027426786001
REGENCY ENTERPRISES, INCORPORATED
Form 5500
FILING_RECEIVED
REGENCY ENTERPRISES 401(K) SAVINGS & INVESTMENT PLAN TRUST
401(k) retirement plan
Signals · 1
1 failed disclosure
Active participants
169
Accounts w/ balance
264
Plan assets (EOY)
$23.6M
Net assets (EOY)
$23.6M
How this plan invests
This plan
2 pooled trusts
Schedule D
32 securities
funds · stocks · CUSIPs
Holdings are itemized directly on this plan's Schedule of Assets, below.
Plan health score (directional)
96
/ 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
85
Concentration risk
100
Total plan cost
100
Vendor stack
100
Participation health
100
Knocking points off
- 1 Schedule C provider failed to disclose compensation.
Decision-maker contacts
CFO / Head of HR / Benefits Manager — verified email + LinkedIn for REGENCY ENTERPRISES, INCORPORATED.
Plan sponsor
Name
REGENCY ENTERPRISES, INCORPORATED
EIN
95-3601775
Address
9261 JORDAN AVENUE · CHATSWORTH, CA · 91311
Phone
(818) 901-0255
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
2025-09-29
Pension benefit codes
2K · 401(m) arrangement
2S · Automatic enrollment
2T · Default investment account (QDIA)
3H · Sponsor in controlled / affiliated group
2E · Profit-sharing
2F · ERISA section 404(c)
2G · Total participant-directed accounts
2J · 401(k) feature
3D · Pre-approved plan (master / prototype / VS)
2R · Participant-directed brokerage (SDBA)
Audit & trust (Schedule H)
Auditor
AUDIT AND TAX SOLUTIONS, CPAS, INC.
Trustee / custodian
—
Trustee phone
—
Service providers (Schedule C)
4 rowsRecordkeeper
1| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| FIDELITY INVESTMENTS INSTITUTIONAL | 04-2647786 | — | RECORDKEEPER | $30K | — |
Advisor / Consultant
1| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| WORLD INVESTMENT ADVISORS LLC | 61-1758632 | — | ADVISOR | $31K | — |
Accountant / Auditor
2| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| BAKER TILLY ADVISORY GROUP, LP | 99-1405547 | — | ACCOUNTANT/AUDITOR | $7K | — |
| BAKER TILLY US,LLP | 39-0859910 | — | ACCOUNTANT/AUDITOR | $7K | — |
Failed / refused disclosures (Sched C Part 2)
| Provider | Nondisclosure info |
|---|---|
| — | — |
Investments
30 direct securities · 2 pooled funds· $23.6M(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
$23.0M
30 holdings
Common Collective Trust
$597K
2 holdings
| PI | Investment | Type | Shares / units | Cost | Current value | % of plan |
|---|---|---|---|---|---|---|
| FA Technology Mutual Funds | — | — | — | $4.0M | 17.1% | |
| Fid Fdm Idx 2030 Mutual Funds | — | — | — | $3.6M | 15.3% | |
| Fid Fdm Idx 2035 Mutual Funds | — | — | — | $3.0M | 12.6% | |
| Fid Fdm Idx 2040 Mutual Funds | — | — | — | $2.8M | 11.8% | |
| Fid Fdm Idx 2045 Mutual Funds | — | — | — | $2.1M | 9.1% | |
| Fid Fdm Idx 2050 Mutual Funds | — | — | — | $1.4M | 5.8% | |
| Fid 500 Index Mutual Funds | — | — | — | $1.1M | 4.6% | |
| Fid Fdm Idx 2055 Mutual Funds | — | — | — | $870K | 3.7% | |
| Participant loans 61 loans; 4.25-9.50% | — | — | — | $535K | 2.3% | |
| PUTNAM STABLE VALUE PUTNAM FIDUCIARY TRUST COMPANY · EIN 04-3159710 / PN 202 | Common Collective Trust | — | — | $471K | 2.0% | |
| Fid Fdm Idx 2060 Mutual Funds | — | — | — | $357K | 1.5% | |
| Fid Fdm Idx 2015 Mutual Funds | — | — | — | $291K | 1.2% | |
| Fid Sm Cap Idx Mutual Funds | — | — | — | $282K | 1.2% | |
| Fid Lg Cap Gr Idx Mutual Funds | — | — | — | $274K | 1.2% | |
| Fid Fdm Idx 2020 Mutual Funds | — | — | — | $272K | 1.2% | |
| Fid Mid Cap Idx Mutual Funds | — | — | — | $269K | 1.1% | |
| Fid Fdm Idx 2025 Mutual Funds | — | — | — | $247K | 1.0% | |
| Pgim J Mid Cap Gr Mutual Funds | — | — | — | $236K | 1.0% | |
| BlkRk Tot Return Mutual Funds | — | — | — | $185K | 0.8% | |
| Af Europac Growth Mutual Funds | — | — | — | $172K | 0.7% | |
| Interest-bearing Cash Money Market Funds | — | — | — | $160K | 0.7% | |
| Brokerage Accounts Self Directed Accounts | — | — | — | $151K | 0.6% | |
| PUTN LARGE CP VAL R1 GREAT GRAY TRUST COMPANY, LLC · EIN 38-4065329 / PN 426 | Common Collective Trust | — | — | $127K | 0.5% | |
| Af New Perspect Mutual Funds | — | — | — | $117K | 0.5% | |
| Fid Fdm Idx 2065 Mutual Funds | — | — | — | $117K | 0.5% | |
| C&S Real Estate Mutual Funds | — | — | — | $99K | 0.4% | |
| Fid US Bond Idx Mutual Funds | — | — | — | $98K | 0.4% | |
| J H Venture Mutual Funds | — | — | — | $91K | 0.4% | |
| Am Cent Md Cp Val Mutual Funds | — | — | — | $85K | 0.4% | |
| Af New World Mutual Funds | — | — | — | $44K | 0.2% | |
| similar party Investment Value GS Sm Cp Val Ins Mutual Funds | — | — | — | $21K | <0.1% | |
| Fid Fdm Idx Inc Mutual Funds | — | — | — | $11K | <0.1% |
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