Providers › Investment advisory and management
Service provider · Schedule C, plan year 2024
Securities America Advisors, Inc.
Most often reported for investment advisory and management
Form 5500 information is as filed by the plan administrator with the Department of Labor and may be amended. Figures reflect the plan year shown, not current balances. Schedule C lists only providers a plan paid $5,000 or more, and is filed only by plans with 100 or more participants.
For plan year 2024, 54 retirement plans with 100 or more participants reported paying Securities America Advisors, Inc. $5,000 or more. Those plans cover 38,039 participant records, and the service most often reported is investment advisory and management.
Reported compensation from those plans, direct and indirect, totalled $1.4M. Per plan, the median was $51.46 per participant, with the middle half of plans between $28.06 and $83.65. These are amounts plans reported paying this organisation, not a price list: they depend on which services each plan buys and on how much is paid through fund expenses instead.
Its client plans are most numerous in Pennsylvania (9), California (9) and Minnesota (5).
In 2011 it appeared on 6 such filings; in 2024, 55. Yearly counts include every filing that names it, so they can run slightly above the number of plans with pages here, and name or EIN changes after mergers can break the series.
Reported compensation per plan
| Across this provider's plans | 25th percentile | Median | 75th percentile |
|---|---|---|---|
| Compensation per participant | $28.06 | $51.46 | $83.65 |
| Compensation as a share of plan net assets | 0.07% | 0.15% | 0.22% |
What each plan reported paying this organisation, not the plan's total cost. For reference, the median US defined contribution plan reported $123 per participant to all Schedule C providers combined.
Plans served by year
Matched by employer identification number. A merger or a change of filing entity starts a new series, so a drop to zero is not a loss of clients by itself.
By state
By plan size
Services reported
Largest plans naming this provider
| Plan | Sponsor | State | Participants | Net assets | Reported to this provider |
|---|---|---|---|---|---|
| Risk Strategies Prevailing Wage Retirement Program | Plan Compliance Services, Inc. | FL | 6,033 | $22.9M | $51K |
| Americantcs 401(k) Plan | Americantcs Fiduciary Services, LLC | PA | 3,341 | $54.2M | $17K |
| Xanitos Inc. 401(k) Profit Sharing Plan and Trust | Xanitos Inc. | PA | 3,002 | $5.9M | $13K |
| Risk Strategies Pooled Employer Plan for Private Equity Portfolio Co's | Plan Compliance Services, Inc. | FL | 2,255 | $72.1M | $83K |
| Milk Specialties Company Retirement Plan | Milk Specialties Company | MN | 1,759 | $66.6M | $11K |
| Future Automotive Group 401(k) Plan | Future Ford, Inc. | CA | 1,349 | $48.7M | $10K |
| Pvi Holdings, INC.401(K) Profit Sharing Plan | Pvi Holdings, Inc. | TX | 1,221 | $108M | $74K |
| The Langdale Company Retirement Savings Plan | The Langdale Company | GA | 1,123 | $70.4M | $0 |
| Marquardt Memorial Manor, Inc. Savings Plan | Marquardt Memorial Manor, Inc. | WI | 1,122 | $17.8M | $47K |
| Qui(k) 401(k) Plan | Americantcs Fiduciary Services, LLC | PA | 942 | $22.3M | $22K |
| Greater Philadelphia Health Action, Inc. 401(k) Plan | Greater Philadelphia Health Action, Inc. | PA | 926 | $27.3M | $40K |
| C.F.G. Health 401(k) Plan | CFG Health Systems, L.L.C. | NJ | 815 | $13.1M | $8,473 |
| Oceanside Auto Country, Inc. Profit Sharing 401(k) Plan | Toyota Carlsbad | CA | 708 | $55.1M | $32K |
| Diamond Plastics Corporation 401(k) Plan | Diamond Plastics Corporation | NE | 630 | $26.9M | $18K |
| Federal International, Inc. 401(k) Retirement Plan | Federal International, Inc. | MO | 585 | $40.5M | $14K |
| Pension Plan for Employees of A.M. Castle & Co. | A.M. Castle & Co. | IL | 548 | $99.5M | $30K |
| Sunnen Employees' Retirement Plan | Sunnen Products Company | MO | 535 | $95.4M | $40K |
| Wayfinder Family Services 401(k) Retirement Plan | Wayfinder Family Services | CA | 529 | $15.7M | $38K |
| D.L. Evans Bank 401(k) Retirement Savings Plan | D L Evans Bank | ID | 515 | $35.9M | $24K |
| Stratus Team, LLC 401(k) Plan | Stratus Team, LLC | PA | 515 | $38.2M | $38K |
| Lindsay Precast 401(k) Plan | Javelin Acquisition Vehicle LLC | OH | 497 | $27.0M | $11K |
| The Leclerc 401(k) Plan | Leclerc Foods USA, Inc. | PA | 458 | $8.1M | $19K |
| Southeast Mechanical LLC 401(k) Plan | Southeast Mechanical LLC | NC | 426 | $7.1M | $10K |
| Akebia Therapeutics 401(k) Plan | Akebia Therapeutics, Inc. | MA | 407 | $42.8M | $24K |
| Level Access, Inc. 401(k) Plan | Level Access, Inc. | VA | 406 | $25.6M | $46K |
| Eagle Eye Produce 401(k) Plan | Eagle Eye Produce | ID | 394 | $9.8M | $14K |
| Blue Ridge Companies 401(k) Plan | Blue Ridge Companies, Inc. | NC | 392 | $13.0M | $11K |
| Midcap Financial Services, LLC 401(k) Plan | Midcap Financial Services, LLC | MD | 364 | $64.2M | $16K |
| Fortune School of Education 403(b) Retirement Plan | Rex and Margaret Fortune School of Education | CA | 360 | $4.1M | $8,641 |
| JL Schwieters Construction 401(k) Profit Sharing Plan | JL Schwieters Construction, Inc. | MN | 352 | $18.4M | $32K |
| SA Automotive 401(k) & Profit Sharing Plan | SA Automotive, Ltd. | WI | 337 | $7.8M | $17K |
| Elemental Management Group, LLC 401(k) Plan | Elemental Management Group, LLC | NY | 327 | $3.5M | $7,512 |
| Warfel Construction Company Profit Sharing Plan | Warfel Construction Company | PA | 316 | $18.5M | $23K |
| Saco Aei Polymers, Inc. 401(k) and Profit Sharing Plan | Saco Aei Polymers, Inc. | WI | 315 | $23.4M | $53K |
| Grill Concepts Services, Inc. 401(k) Plan | Daily Grill Concepts | CA | 305 | $1.4M | $9,578 |
| Benefit and Risk Management Services, Inc. 401(k) Profit Sharing Plan & Trust | Benefit and Risk Management Services, Inc. | CA | 301 | $12.6M | $73K |
| Dan Cristiani Enterprises 401(k) Retirement Savings Plan | Dan Cristiani Excavating Co., Inc. | IN | 300 | $12.0M | $20K |
| Umatilla-Morrow Head Start, Inc. 403(b) Plan | Umatilla-Morrow Head Start, Inc. | OR | 295 | $6.2M | $22K |
| DC Group, Inc. 401(k) Plan | DC Group, Inc. | MN | 285 | $13.7M | $32K |
| Critical Electric Systems Group, LLC 401(k) Plan | Critical Electric Systems Group, LLC | TX | 258 | $8.7M | $3,751 |
Questions and answers
How many plans does Securities America Advisors, Inc. serve?
54 plans with 100 or more participants named it on Schedule C for plan year 2024. Plans that paid it under $5,000, small plans that file Form 5500-SF, and plans whose filings spell its name without an EIN under a different form are not counted.
What do plans pay Securities America Advisors, Inc.?
The median plan reported $51.46 per participant in direct and indirect compensation (53 plans reporting an amount), or 0.15% of plan net assets. Eligible indirect compensation disclosed to the plan by formula is not reported as a dollar amount, so many filings understate what a provider receives.
What services are reported?
The service codes most often attached to it are Investment advisory (plan) (44 plans), Investment advisory (participants) (5 plans), Recordkeeping and information management (3 plans) and Trustee (bank, trust company, or similar financial institution) (3 plans).
Where does this come from?
Schedule C of Form 5500, Part I line 2, from the EBSA research files with filings received through 24 Aug 2026. Individuals named on Schedule C are excluded from this site.
Provenance
Source: U.S. Department of Labor, Employee Benefits Security Administration, Form 5500 research files, Schedule C Part I line 2, public domain, with filings received through 24 Aug 2026. Rows are grouped by the provider's EIN as entered by each plan; rows without an EIN join the EIN most often filed under the same name. Providers named on fewer than 25 plans have no page. See the methodology and corrections.