Raw source

Date: 2026-09-03
Title: 401(k) TPA Resignation / Filing Deadline Concern (Jamar Anderson to Brandon and JT, cc Derek)
Source: mail:///messages/AAMkAGE2Nzc1MTNkLTA2MDUtNDc4MC1hNDg4LTcwZDk4OTg5NzU2MwBGAAAAAACzaNa_9qnVRYNdYXfKyCC_BwAGiQQE9_gzSoKwwf79iYOuAAAAAAEMAAAGiQQE9_gzSoKwwf79iYOuAAKaiowlAAA%3D
What this is: email body as read through the Microsoft 365 connector, HTML stripped to text; signature links dropped, signature disclosure kept. Six PDF attachments (resignation email and letter for each plan) were not fetched.

From: Jamar Anderson <jamara@triumphcapitalmanagement.com>
To: Brandon Drespling <brandond@triumphcapitalmanagement.com>; Jeffrey Thomas <jt@triumphcapitalmanagement.com>
Cc: Derek N. Eichenwald <dereke@triumphcapitalmanagement.com>
Sent: 2026-09-03T16:49:49Z (2026-09-03 12:49 PM ET)
Subject: 401(k) TPA Resignation / Filing Deadline Concern
Attachments: MOUTHFULS 401K RESIGNATION EMAIL.pdf; MOUTHFULS 401K RESIGNATION LETTER.pdf; STARK 401K RESIGNATION EMAIL.pdf; STARK 401K RESIGNATION LETTER.pdf; TCM 401K RESIGNATION EMAIL.pdf; TCM 401K RESIGNATION LETTER.pdf

Hi Brandon and Jeff,

I wanted to flag a 401(k) plan administration issue so it is on your radar from a compliance, operational, and business continuity standpoint.

Nydia Retirement Solutions has sent resignation notices for the following plans:

- Triumph Capital Management 401(k) Profit Sharing Plan
- Mouthfuls, Inc. 401(k) Profit Sharing Plan
- Stark Real Estate Group 401(k) Profit Sharing Plan

Based on the attached letters, Nydia states that it is terminating its service agreement, will perform no further work for the plans, and that another firm should be engaged as soon as possible to coordinate contributions, file the 2025 Form 5500, and monitor ongoing compliance/amendment requirements.

The letters also reference the 2025 Form 5500 deadline with extension of October 15, 2026, and potential penalties if the filings are not completed timely.

I made Derek aware and I wanted to make sure both compliance and operations had visibility.

Please let me know if there is anything I can do to assist.

Thanks,

Jamar Anderson
Director of Operations & Client Experience
Address 1610 Wynkoop St. #550, Denver, CO 80202
Phone 720-598-9253
Email JamarA@TriumphCapitalManagement.com
Website www.TriumphCapitalManagement.com
"Under capitalism, man exploits man. Under communism, it's just the opposite." - John Kenneth Galbraith.
Advisory services are offered through Triumph Capital Management, a registered investment advisor SEC#282814. Insurance Services are offered through Triumph Capital, LLC #619821. Notice of Confidentiality: This e-mail and any attachments thereto, are intended only for use by the addressee(s) named herein and may contain legally privileged and confidential information. Suppose you are not the intended recipient of this e-mail. The Five Star Wealth Manager Award is exclusive to Derek Eichenwald and not myself. It is administered by Crescendo Business Services, LLC (dba Five Star Professional), based on 10 objective criteria. Eligibility criteria - required: 1. Credentialed as a registered investment adviser or a registered investment adviser representative; 2. Actively registered as a registered investment adviser or as a principal of a registered investment adviser firm for a minimum of 5 years; 3. Favorable regulatory and complaint history review (As defined by Five Star Professional, the wealth manager has not: A. Been subject to a regulatory action that resulted in a registration being suspended or revoked, or payment of a fine; B. Had more than a total of three settled or pending complaints filed against them and a total of five settled, pending, dismissed or denied complaints with any regulatory authority or Five Star Professional's consumer complaint process. Unfavorable feedback may have been discovered through a check of complaints registered with a regulatory authority or complaints registered through Five Star Professional's consumer complaint process; feedback may not be representative of any one client's experience; C. Individually contributed to a financial settlement of a customer complaint; D. Filed for personal bankruptcy within the past 11 years; E. Been terminated from a financial services firm within the past 11 years; F. Been convicted of a felony); 4. Fulfilled their firm review based on internal standards; 5. Accepting new clients. Evaluation criteria - considered: 6. One-year client retention rate; 7. Five-year client retention rate; 8. Non-institutional discretionary and/or non-discretionary client assets administered; 9. The number of client households served; 10. Education and professional designations. Wealth managers do not pay a fee to be considered or placed on the final list of Five Star Wealth managers. Award does not evaluate the quality of services provided to clients. Working with a Five Star Wealth Manager does not ensure that a client or prospective client will experience a higher level of performance or results. The inclusion of a wealth manager on the Five Star Wealth Manager Award list should not be construed as an endorsement of the wealth manager by any client, nor are they representative of any one client's evaluation. The Five Star award is not indicative of the wealth manager's future performance. Working with a Five Star Wealth Manager or any wealth manager is no guarantee as to future investment success nor is there any guarantee that the selected wealth managers will be awarded this accomplishment by Five Star Professional in the future. For more information on the Five Star award and the research/selection methodology, go to www.fivestarprofessional.com. Listing in this publication and award is not a guarantee of future experiences and results and should not be construed as an endorsement of the advisor or firm by any client.