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Reports

The pages the committee reads.

Two standard reports come out of PlanTools. The Monitoring Report is the quarterly record of the lineup and what was decided about it. The CGOG™ Investment Analysis compares candidate funds in one peer group before a fund is added or replaced.

Sample · Nuts & Bolts 401k Plan

Monitoring Report

Prepared each quarter under the advisor's name. It opens with what needs a decision: removals, watch list, proposed changes. It carries the scoring, returns, and fact sheets behind each one.

  1. Cover

    Prepared under the advisor’s name and the plan’s, for the quarter the committee is reviewing.

    Cover

    Monitoring Report

    Nuts & Bolts 401k Plan

    Funds
    11
    Plan assets
    $6,539,899.91
    Proposed changes
    PICYX → FBKWX

    Contents

    1. Executive Summary
    2. Fund Menu
    3. Fund Decisions
    4. Scoring Legend
    5. Fund Scoring Executive Summary
    6. Fund Scoring Report
    7. Fund Fact Sheet

    Prepared by George WashingtonAAA Wealth Management, Inc.

    Powered by PlanTools

    Drawn from the sample Monitoring Report. The plan, advisor, and preparer are the sample’s.

  2. Executive Summary

    Opens with what needs a decision: funds recommended for removal, funds on the watch list, and how many are passing.

    Executive Summary

    AAA Wealth Management, Inc. is retained as the plan’s ERISA Section 3(38) Discretionary Fiduciary Investment Manager.

    11of 11

    • Recommended for removal0

      No funds recommended for removal.

    • Watch list0

      No funds on the watch list.

    • Passing11

    Drawn from the sample Monitoring Report’s Executive Summary.

  3. Fund Menu

    Every fund in the lineup by asset class, with ticker, peer group, balance, and its weighting of plan assets.

    Fund Menu

    FundTickerPeer groupBalanceWeight
    Target Date3,667,695.3656.08%
    BlackRock LifePath® Index 2040 KLIKKXTarget-Date 20402,174,150.1833.24%
    BlackRock LifePath® Index 2045 KLIHKXTarget-Date 20451,493,545.1822.84%
    Equity1,421,935.0321.75%
    Putnam Large Cap Value R6PEQSXLarge Value102,000.001.56%
    Fidelity 500 IndexFXAIXLarge Blend636,805.129.74%
    JPMorgan Large Cap Growth R6JLGMXLarge Growth286,990.354.39%
    Victory RS Partners R6RPPRXSmall Value102,500.001.57%
    Morgan Stanley Inst Inception R6MFLLXSmall Growth287,000.004.39%
    American Funds New World R6RNWGXDiversified Emerging Mkts6,639.560.10%
    Fixed Income498,132.597.62%
    Fidelity Advisor Total Bond ZFBKWXIntermediate Core-Plus Bond362,000.005.54%
    Victory Pioneer Bond Y(Removal)PICYXIntermediate Core-Plus Bond136,132.592.08%
    Money Market952,136.9314.56%
    JPMorgan US Government MMkt InstlIJGXXMoney Market-Taxable952,136.9314.56%
    Total6,539,899.91100.00%
    Drawn from the sample Monitoring Report’s Fund Menu. Index funds are italicized, as the report prints them.

  4. Fund Decisions

    Additions, removals, and proxy funds for the quarter, and each proposed change mapped from the current fund to its replacement.

    Fund Decisions

    Additions

    No additions this quarter.

    Removals

    No removals this quarter.

    Proposed fund changes

    Victory Pioneer Bond Y

    11

    PICYX · Intermediate Core-Plus Bond

    Removal

    Map to

    Fidelity Advisor Total Bond Z

    12

    FBKWX · Intermediate Core-Plus Bond

    Proposed

    Proxy funds

    No Proxy funds.

    Drawn from the sample Monitoring Report’s Fund Decisions page.

  5. Scoring Legend

    The standards in the investment policy statement, their criteria, and the points each is worth, for active and target date funds.

    Scoring Legend

    StandardCriteriaActiveTarget Date
    Performance
    Total Return 1YTop 50%11
    Total Return 3YTop 50%11
    Total Return 5YTop 50%11
    Fund characteristics
    Expense RatioLowest 50%11
    Manager Tenure5 or more years11
    Risk-adjusted performance
    Beta Collar 3Y1.15 – 0.7511
    Beta Collar 5Y1.15 – 0.7511
    Capture Ratio 3YGreater than 111
    Info Ratio 3YAbove 011
    Info Ratio 5YAbove 011
    Sharpe Ratio 5YTop 50%Not scored1
    R-squared 3YAbove 801Not scored
    R-squared 5YAbove 8011
    Total points1212
    Pass
    12 – 7
    Fail
    ≤ 6
    Drawn from the sample Monitoring Report’s Scoring Legend. A dash means the standard is not in that set.

  6. Fund Scoring Executive Summary

    Every fund’s score for the last twelve quarters, with its average, so a trend shows before it becomes a decision.

    Fund Scoring Executive Summary

    3Q26 - 4Q23

    Fund3Q262Q261Q264Q253Q252Q251Q254Q243Q242Q241Q244Q23Avg
    Target Date
    LIKKX9989999999899
    LIHKX9989999999899
    Equity
    PEQSX12121212121212121212121212
    JLGMX9101212111110101011121211
    RPPRX12121212121212121212––10
    MFLLX91088888888898
    RNWGX11111212121212121212121212
    Fixed Income
    FBKWX12121212121212121212121212
    FBKWX(Proposed)12121212121212121212121212
    PICYX(Removal)11121212121112121212121112
    Money Market
    IJGXX–––––––––––––
    Index
    FXAIX12121212121212121212121212
    Drawn from the sample Monitoring Report’s Fund Scoring Executive Summary, shown as of 3Q26. A dash means the fund had no score that quarter.

  7. Fund Scoring Report

    One fund, standard by standard: its value this quarter, whether it met the criteria, and the points it earned each quarter.

    Fund Scoring Report

    Putnam Large Cap Value R6

    PEQSX · Large Value

    Pass

    12 / 12

    StandardCriteria3Q26Points 3Q26 – 4Q23
    Total Return 1YTop 50%35%
    Total Return 3YTop 50%11%
    Total Return 5YTop 50%9%
    Beta Collar 3Y1.15 – 0.750.92
    Beta Collar 5Y1.15 – 0.750.93
    Capture Ratio 3YGreater than 11.26
    Info Ratio 3YAbove 01.47
    Info Ratio 5YAbove 01.52
    R-squared 3YAbove 8097
    R-squared 5YAbove 8097.83
    Expense RatioLowest 50%15%
    Manager Tenure5 or more years13 yrs
    Score12
    Drawn from the sample Monitoring Report’s Fund Scoring Report for PEQSX. Each square is a quarter, 3Q26 first.

  8. Fund Fact Sheet

    Returns against the calculation index and the category, holdings, portfolio data, and expenses, for every fund in the lineup.

    Fund Fact Sheet

    Putnam Large Cap Value R6

    PEQSX · Large Value

    12 / 12

    Annualized total returnsQTRYTD1Y3Y5Y10Y
    PEQSX6.0113.5911.1620.7417.5813.35
    Calculation Index5.3311.659.4416.9613.8710.72
    Category Average5.5211.339.6617.1014.1310.90
    Rank in category32%24%35%11%9%4%

    Since inception 13.68

    Asset allocation

    • US Stocks93.35%
    • Non-US Stocks4.13%
    • Cash2.45%
    • US Bonds0.07%

    Portfolio data

    Peer Group
    Large Value
    Calculation Index
    S&P 500 TR USD
    Manager Tenure
    13 yrs
    Strategy Assets
    $42.22b
    Turnover
    16%
    P/E
    17.30
    Prospectus net / gross
    0.54% / 0.54%
    Category average net / gross
    1.13% / 1.48%
    Drawn from the sample Monitoring Report’s fact sheet for PEQSX. Returns are annualized, in percent.

Sample · Large Value

CGOG™ Investment Analysis

Consistently Good, Occasionally Great™. Four funds in the same peer group, compared on excess return over the calculation index, rolling-period risk and reward, and peer rank.

  1. Cover

    Consistently Good, Occasionally Great™: four funds in one peer group.

    Cover

    Investment Analysis

    CGOG™ Investment Analysis

    Consistently Good, Occasionally Great™

    Peer group
    Large Value
    Benchmark
    Calculation Index
    Funds compared
    4

    Contents

    1. Cumulative Excess Return
    2. Excess Risk and Excess Reward
    3. Peer Rank Distribution
    4. Metric Comparison

    Powered by PlanTools

    Drawn from the sample CGOG™ Investment Analysis. The funds are the sample’s, named only by number.

  2. Cumulative Excess Return

    Growth of $1 on excess return over five and ten years, fund minus calculation index.

    Cumulative Excess Return

    Fund 1
    $1.16
    Fund 2
    $0.97
    Fund 3
    $1.08
    Fund 4
    $1.04
    Large Value
    $1.02
    $0.95$1.00$1.05$1.10$1.15$1.20202120222023202420252026
    Traced from the sample CGOG™ Investment Analysis: month-over-month growth of $1 on excess return over the calculation index, to the nearest cent. Large Value is the peer group.

  3. Excess Risk and Excess Reward

    Each 1-, 3-, and 5-year rolling period plotted by excess risk and excess return.

    Excess Risk and Excess Reward

    Fund 1

    Excess return

    -10010-4.5-1.501.5

    Excess risk

    Fund 2

    Excess return

    -10010-4.5-1.501.5

    Excess risk

    Fund 3

    Excess return

    -10010-4.5-1.501.5

    Excess risk

    Fund 4

    Excess return

    -10010-4.5-1.501.5

    Excess risk

    OlderNewerCalculation indexLower risk, higher returnHigher risk, lower return
    Traced from the sample CGOG™ Investment Analysis. Each dot is a rolling annualized window, shifted a month at a time, plotted against the calculation index at the center.

  4. Peer Rank Distribution

    109 one-year rolling peer ranks, shaded oldest to newest, against a normal distribution.

    Peer Rank Distribution

    Fund 1

    45 of 109 in the top quartile

    PoorerBetter
    01020100500

    Percentile rank

    Fund 2

    41 of 109 in the top quartile

    PoorerBetter
    01020100500

    Percentile rank

    Fund 3

    28 of 109 in the top quartile

    PoorerBetter
    01020100500

    Percentile rank

    Fund 4

    32 of 109 in the top quartile

    PoorerBetter
    01020100500

    Percentile rank

    Oldest 27Next 27Next 27Newest 28
    Normal distributioniShares Russell 1000 Value ETF
    Traced from the sample CGOG™ Investment Analysis: one-year rolling peer ranks over ten years, shifted a month at a time, in five-point buckets.

  5. Metric Comparison

    Alpha through up/down capture at 1, 3, and 5 years, with the highest and lowest marked.

    Metric Comparison

    MetricFund 1Fund 2Fund 3Fund 4
    Alpha1Y0.912.71(highest)-2.44(lowest)0.57
    3Y3.57(highest)1.421.21-0.63(lowest)
    5Y3.33(highest)1.601.840.19(lowest)
    Info Ratio1Y0.230.81(highest)-0.63(lowest)0.22
    3Y1.37(highest)0.400.38-0.24(lowest)
    5Y1.21(highest)0.110.31-0.31(lowest)
    Sharpe1Y0.280.46(highest)-0.02(lowest)0.25
    3Y0.42(highest)0.290.270.15(lowest)
    5Y1.03(highest)0.920.920.83(lowest)
    Sortino1Y0.420.72(highest)-0.02(lowest)0.36
    3Y0.66(highest)0.440.410.22(lowest)
    5Y1.95(highest)1.691.631.47(lowest)
    Batting Avg1Y58.3366.67(highest)41.67(lowest)50.00
    3Y61.11(highest)61.11(highest)58.3341.67(lowest)
    5Y58.33(highest)53.3353.3345.00(lowest)
    Cap Ratio1Y1.121.25(highest)0.92(lowest)1.04
    3Y1.19(highest)1.091.070.99(lowest)
    5Y1.19(highest)1.091.111.01(lowest)
    Highest valueLowest value
    Transcribed from the sample CGOG™ Investment Analysis. Annualized, rolling, point in time. The report marks the highest and lowest value in each row it judges; the rest it leaves to the investment policy.

Custom reporting

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