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Original filing (PDF)20251013120210NAL0000568739004
TRACE3, LLC
Form 5500
FILING_RECEIVED
TRACE3 401(K) PLAN
401(k) retirement plan
Active participants
1,267
Accounts w/ balance
1,648
Plan assets (EOY)
$173.3M
Net assets (EOY)
$173.3M
How this plan invests
This plan
24 pooled trusts
Schedule D
28 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
- 20 bps in Schedule C fees — 98% above peer band of 10 bps.
Decision-maker contacts
CFO / Head of HR / Benefits Manager — verified email + LinkedIn for TRACE3, LLC.
Plan sponsor
Name
TRACE3, LLC
EIN
95-4876514
Address
7505 IRVINE CENTER DR, SUITE 100 · IRVINE, CA · 92618
Phone
(949) 333-2300
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
2025-10-13
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
GRANT THORNTON LLP
Trustee / custodian
—
Trustee phone
—
Service providers (Schedule C)
4 rowsRecordkeeper
1| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| EMPOWER ANNUITY INSURANCE COMPANY | — | GREENWOOD VILLAGE, CO | RECORDKEEPER | $36K | — |
Advisor / Consultant
1| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| MMA SECURITIES LLC | — | NEW YORK, NY | INVESTMENT ADVISOR | $135K | — |
TPA / Administrator
1| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| CROSSPLANS | — | DANA POINT, CA | CONTRACT ADMIN | $48K | — |
Other
1| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| EMPOWER ADVISORY GROUP, LLC | — | GREENWOOD VILLAGE, CO | INVESTMENT MGMT | $124K | — |
Investments
15 direct securities · 24 pooled funds· $173.2M(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
$88.4M
15 holdings
Common Collective Trust
$84.8M
24 holdings
| PI | Investment | Type | Shares / units | Cost | Current value | % of plan |
|---|---|---|---|---|---|---|
| Vanguard 500 Index Admiral Mutual Funds | — | — | — | $26.6M | 15.3% | |
| BLACKROCK LIFEPATH INDEX 2040 G BLACKROCK FUNDS - COLLECTIVE TRUSTS · EIN 82-3199119 / PN 001 | Common Collective Trust | — | — | $16.5M | 9.5% | |
| BLACKROCK LIFEPATH INDEX 2045 G BLACKROCK FUNDS - COLLECTIVE TRUSTS · EIN 82-3214715 / PN 001 | Common Collective Trust | — | — | $15.1M | 8.7% | |
| Vanguard Information Technology Idx Adm Mutual Funds | — | — | — | $12.6M | 7.3% | |
| BLACKROCK LIFEPATH INDEX 2035 FD G BLACKROCK FUNDS - COLLECTIVE TRUSTS · EIN 82-3182755 / PN 001 | Common Collective Trust | — | — | $11.7M | 6.7% | |
| BLACKROCK LIFEPATH INDEX 2050 G BLACKROCK FUNDS - COLLECTIVE TRUSTS · EIN 82-3226904 / PN 001 | Common Collective Trust | — | — | $10.2M | 5.9% | |
| BLACKROCK LIFEPATH INDEX 2055 G BLACKROCK FUNDS - COLLECTIVE TRUSTS · EIN 82-3243273 / PN 001 | Common Collective Trust | — | — | $8.4M | 4.8% | |
| Vanguard Developed Markets Index Admiral Mutual Funds | — | — | — | $8.2M | 4.7% | |
| Vanguard Small Cap Index Adm Mutual Funds | — | — | — | $6.8M | 3.9% | |
| American Funds New World R6 Mutual Funds | — | — | — | $5.9M | 3.4% | |
| BLACKROCK LIFEPATH INDEX 2060 FD G BLACKROCK FUNDS - COLLECTIVE TRUSTS · EIN 82-3258496 / PN 001 | Common Collective Trust | — | — | $5.8M | 3.3% | |
| Vanguard Total Bond Market Index Admiral Mutual Funds | — | — | — | $5.8M | 3.3% | |
| MFS Growth R3 Mutual Funds | — | — | — | $5.3M | 3.1% | |
| BLACKROCK LIFEPATH INDEX 2030 G BLACKROCK FUNDS - COLLECTIVE TRUSTS · EIN 82-3152218 / PN 001 | Common Collective Trust | — | — | $5.3M | 3.0% | |
| Vanguard Mid Cap Index Fund - Admiral Mutual Funds | — | — | — | $5.3M | 3.0% | |
| BLACKROCK LIFEPATH INDEX RET G BLACKROCK FUNDS - COLLECTIVE TRUSTS · EIN 82-3274988 / PN 001 | Common Collective Trust | — | — | $3.4M | 1.9% | |
| STABLE VALUE FUND FEE CLASS R1 GREAT GRAY · EIN 85-4031707 / PN 000 | Common Collective Trust | — | — | $3.3M | 1.9% | |
| JPMorgan Core Bond R6 Mutual Funds | — | — | — | $3.0M | 1.8% | |
| LARGE CAP VALUE FUND CLASS R1 GREAT GRAY · EIN 38-4065329 / PN 426 | Common Collective Trust | — | — | $3.0M | 1.7% | |
| PIMCO Income Instl Mutual Funds | — | — | — | $2.4M | 1.4% | |
| Vanguard Real Estate Index Admiral Mutual Funds | — | — | — | $2.3M | 1.3% | |
| maturing through June 2041 | — | — | — | $1.8M | 1.0% | |
| MID CAP GROWTH FUND FEE CLASS R1 GREAT GRAY · EIN 38-4126247 / PN 549 | Common Collective Trust | — | — | $1.7M | 1.0% | |
| Fidelity Small Cap Growth K6 Mutual Funds | — | — | — | $993K | 0.6% | |
| All Spring Special Small Cap Value A Mutual Funds | — | — | — | $890K | 0.5% | |
| MFS Mid Cap Value R3 Mutual Funds | — | — | — | $680K | 0.4% | |
| BLACKROCK LIFEPATH INDEX 2065 G BLACKROCK FUNDS - COLLECTIVE TRUSTS · EIN 84-1787954 / PN 001 | Common Collective Trust | — | — | $489K | 0.3% | |
| BLACKROCK LIFEPATH INDEX 2070 G BLACKROCK FUNDS - COLLECTIVE TRUSTS · EIN 99-3723891 / PN 001 | Common Collective Trust | — | — | $20K | <0.1% | |
| BLACKROCK LIFEPATH INDEX 2055 S GREAT GRAY · EIN 46-3302432 / PN 178 | Common Collective Trust | — | — | $0 | <0.1% | |
| BLACKROCK LIFEPATH INDEX 2060 S GREAT GRAY · EIN 47-2700166 / PN 158 | Common Collective Trust | — | — | $0 | <0.1% | |
| BLACKROCK LIFEPATH INDEX 2030 S GREAT GRAY · EIN 26-3770302 / PN 153 | Common Collective Trust | — | — | $0 | <0.1% | |
| BLACKROCK LIFEPATH INDEX 2025 S GREAT GRAY · EIN 26-3773730 / PN 154 | Common Collective Trust | — | — | $0 | <0.1% | |
| BLACKROCK LIFEPATH INDEX 2040 S GREAT GRAY · EIN 26-3770208 / PN 151 | Common Collective Trust | — | — | $0 | <0.1% | |
| BLACKROCK LIFEPATH INDEX 2050 S GREAT GRAY · EIN 26-3763061 / PN 149 | Common Collective Trust | — | — | $0 | <0.1% | |
| BLACKROCK LIFEPATH INDEX 2045 S GREAT GRAY · EIN 26-3770058 / PN 150 | Common Collective Trust | — | — | $0 | <0.1% | |
| PUTNAM LARGE CAP VALUE TRUST I PUTNAM INVESTMENTS CIT · EIN 82-3639536 / PN 275 | Common Collective Trust | — | — | $0 | <0.1% | |
| BLACKROCK LIFE PATH INDEX 2035 S GREAT GRAY · EIN 26-3770263 / PN 152 | Common Collective Trust | — | — | $0 | <0.1% | |
| BLACKROCK LIFEPATH INDEX RET S GREAT GRAY · EIN 26-3773846 / PN 157 | Common Collective Trust | — | — | $0 | <0.1% | |
| PUTNAM STABLE VALUE FUND PUTNAM INVESTMENTS · EIN 04-3159710 / PN 202 | Common Collective Trust | — | — | $0 | <0.1% |
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