Back to filter
Original filing (PDF)20250916115759NAL0001930273001
TAPIA BROTHERS
Form 5500
FILING_RECEIVED
TAPIA BROTHERS 401K
401(k) retirement plan
Signals · 2
42% in single holding6 service providers
Active participants
322
Accounts w/ balance
178
Plan assets (EOY)
$4.9M
Net assets (EOY)
$4.9M
How this plan invests
This plan
1 pooled trust
Schedule D
31 securities
funds · stocks · CUSIPs
Holdings are itemized directly on this plan's Schedule of Assets, below.
Plan health score (directional)
93
/ 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
79
Total plan cost
100
Vendor stack
100
Participation health
80
Knocking points off
- Top holding "Goldman Sachs Dynamic Bond R Pooled separate account 150 * MassMutual Fixed Account Group Annuity Contract" is 42% of plan.
- 55% balance-to-active ratio — below typical for a healthy 401(k).
Decision-maker contacts
CFO / Head of HR / Benefits Manager — verified email + LinkedIn for TAPIA BROTHERS.
Plan sponsor
Name
TAPIA BROTHERS
EIN
95-3965613
Address
6067 DISTRICT BLVD. · MAYWOOD, CA · 90270
Phone
(323) 560-7415
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
2025-09-16
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)
3B · Covers self-employed individuals
2T · Default investment account (QDIA)
Audit & trust (Schedule H)
Auditor
HUTCHINSON AND BLOODGOOD LLP
Trustee / custodian
—
Trustee phone
—
Service providers (Schedule C)
6 rowsRecordkeeper
1| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| EMPOWER ANNUITY INSURANCE COMPANY | — | GREENWOOD VILLAGE, CO | RECORD KEEPER | $1K | — |
Advisor / Consultant
2| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| CATALINA CAPITAL GROUP LLC | — | TORRANCE, CA | INVESTMENT ADVISOR | $18K | — |
| COMMONWEALTH EQUITY SERVICES LLC | — | WALTHAM, MA | INVESTMENT ADVISOR | $4K | — |
TPA / Administrator
1| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| DYATECH | 64-0936231 | RIDGELAND, MS | CONTRACT ADMIN | $1K | — |
Other
2| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| EMANUAL AVINA DBA AVINA FINANCIAL | — | WHITTIER, CT | OTHER | $673 | — |
| EMPOWER ADVISORY GROUP, LLC | — | GREENWOOD VILLAGE, CO | INVESTMENT MGMT | $75 | — |
Investments
31 direct securities · 1 pooled fund· $7.7M(100% 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.
Uncategorized
$4.9M
31 holdings
Pooled Separate Account
$2.8M
1 holding
| PI | Investment | Type | Shares / units | Cost | Current value | % of plan |
|---|---|---|---|---|---|---|
| SEPERATE ACCOUNT SCAI MASSMUTAL · EIN 04-1590850 / PN 000 | Pooled Separate Account | — | — | $2.8M | 56.3% | |
| Goldman Sachs Dynamic Bond R Pooled separate account 150 * MassMutual Fixed Account Group Annuity Contract | — | — | — | $2.1M | 42.3% | |
| American Funds 2025 TD Retire R2E Pooled separate account | — | — | — | $431K | 8.8% | |
| American Funds 2030 TD Retire R2E Pooled separate account | — | — | — | $395K | 8.0% | |
| American Funds 2045 TD Retire R2E Pooled separate account | — | — | — | $386K | 7.9% | |
| American Funds 2040 TD Retire R2E Pooled separate account | — | — | — | $331K | 6.7% | |
| American Funds 2035 TD Retire R2E Pooled separate account | — | — | — | $264K | 5.4% | |
| American Funds 2050 TD Retire R2E Pooled separate account | — | — | — | $262K | 5.3% | |
| MM S&P 500 Index R3 Pooled separate account | — | — | — | $243K | 4.9% | |
| American Funds 2055 TD Retire R2E Pooled separate account | — | — | — | $110K | 2.2% | |
| JP Morgan U.S. Equity R2 Pooled separate account | — | — | — | $98K | 2.0% | |
| participants' vested account balances, maturing on various dates through December 2029 | — | — | — | $68K | 1.4% | |
| Invesco Real Estate R Pooled separate account | — | — | — | $65K | 1.3% | |
| American Funds 2020 TD Retire R2E Pooled separate account | — | — | — | $29K | 0.6% | |
| Alger Capital Appreciation Instl R Pooled separate account | — | — | — | $24K | 0.5% | |
| Pimco Real Return R Pooled separate account | — | — | — | $19K | 0.4% | |
| American Funds EuroPacific Growth R1 Pooled separate account | — | — | — | $18K | 0.4% | |
| Virtus Ceredex Large Cap Value Equity A Pooled separate account | — | — | — | $16K | 0.3% | |
| Goldman Sachs Small Cap Value R Pooled separate account | — | — | — | $13K | 0.3% | |
| Macquarie Emerging Markets R Pooled separate account | — | — | — | $10K | 0.2% | |
| MassMutual High Yield R3 Pooled separate account | — | — | — | $10K | 0.2% | |
| Hartford Balanced Income R3 Pooled separate account | — | — | — | $9K | 0.2% | |
| Invesco Small Cap Growth R Pooled separate account | — | — | — | $8K | 0.2% | |
| Victory Sycamore Small Company Opportunity R Pooled separate account | — | — | — | $6K | 0.1% | |
| MassMutual Total Return Bond R3 Pooled separate account | — | — | — | $5K | <0.1% | |
| Investo Global Strategic Income R Pooled separate account | — | — | — | $4K | <0.1% | |
| BNYM Mellon NSL Aggregate Bond Index Fund UC1 Pooled separate account | — | — | — | $4K | <0.1% | |
| American Funds American Balanced R2E Pooled separate account | — | — | — | $3K | <0.1% | |
| American Funds Capital Income Builder R2E Pooled separate account | — | — | — | $2K | <0.1% | |
| Blackrock Total Return R Pooled separate account | — | — | — | $2K | <0.1% | |
| American Funds Fundamental Investors R2E Pooled separate account | — | — | — | $1K | <0.1% | |
| Pimco Income R Pooled separate account | — | — | — | $1K | <0.1% |
Related plans
Other plans using CATALINA CAPITAL GROUP LLC
PRINTING INDUSTRIES ASSOCIATION, INC.
GRAPHIC COMMUNICATIONS 401(K) PLAN
$20.1M · 506 participants
TREESAP FARMS, LLC
TREESAP FARMS, LLC 401(K) PLAN
$9.4M · 1,682 participants
CREDIT CARD SERVICES, INC.
BANKCARD SERVICE 401(K) PLAN
$5.5M · 122 participants
NEXT TRUCKING, INC.
NEXT TRUCKING 401(K) PLAN
$5.4M · 24 participants
AMRO FABRICATING CORPORATION
AMRO FABRICATING CORPORATION 401K PLAN & TRUST
$4.7M · 186 participants
ENVOY MORTGAGE, LTD
ENVOY MORTGAGE, LTD 401(K) PLAN
$0
Similar-size Wholesale Trade plans
RITEWAY FOOD BROKERS, INC
RITEWAY FOOD BROKERS, INC. 401(K) PROFIT SHARING PLAN AND TRUST
$4.9M · 55 participants
J.J. JARDINA CO., INC.
J.J. JARDINA CO., INC. PROFIT SHARING PLAN
$4.9M · 28 participants
WASHINGTON VEGETABLE COMPANY
WASHINGTON VEGETABLE COMPANY PROFIT SHARING PLAN
$4.9M · 18 participants
U.S. 1 DELI PROVISIONS, INC.
U.S. 1 DELI PROVISIONS, INC. EMPLOYEES SAVINGS TRUST
$4.9M · 26 participants
MARINE FOODS EXPRESS, LTD.
MARINE FOODS EXPRESS, LTD. 401(K) PLAN
$4.9M · 51 participants
ROSE MEAT SERVICES, INC. D.B.A. GLEN ROSE MEAT COMPANY
THE GLEN ROSE MEAT COMPANY SAFE HARBOR 401(K) PROFIT SHARING PLAN
$5.0M · 54 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