# B. Riley Financial, INC. 401(k) Plan
Source: https://planprovider.pro/companies/b-riley-financial-inc-401k-plan

> B. Riley Financial, INC.'s 401(k) plan: 1,336 participants, plan year 2024 financials, providers, and benchmarks from Form 5500.

Form 5500 filing data for plan year 2024.

## Plan Snapshot

- **Plan Sponsor:** B. Riley Financial, INC.

- **Sponsor EIN:** 270223495

- **Sponsor Address:** 11100 SANTA MONICA BLVD, LOS ANGELES, CA, 90025

- **Plan Type:** 401(k)

- **Total Participants:** 1,336

- **Total Assets:** $289.7M

## Key Plan Design Features

- **Auto-Enrollment:** Yes

- **Auto-Escalation:** No

- **Allows Roth Contributions:** No

- **Participant Loans:** Yes

- **Participant-Directed Investments:** No

- **ERISA Section 404(c) Fiduciary Safe Harbor:** Yes

## Plan Financials by Year

| Year|Participants|Total Assets|Employer Contrib.|Employee Contrib.|

| 2024|1,336|$289.7M|$2.4M|$15.8M|

| 2023|1,307|$256.2M|$2.6M|$15.6M|

| 2022|1,255|$204.0M|$2.3M|$14.3M|

## Service Providers (Schedule C)

Vendors paid $5,000 or more for services to the plan, ranked by total compensation (direct + indirect fees).

| Provider Name|
Role|
Direct Compensation|
Indirect Compensation|
Total Fees|

| STRATEGIC ADVISORS, INC.|ADVISOR|$32,962|—|$32,962|

| FIDELITY INVESTMENTS INSTITUTIONAL|RECORDKEEPER|$26,563|—|$26,563|

| WEINBERG & CO. LA, LLP|ACCOUNTANT/AUDITOR|$12,500|—|$12,500|

| WEINBERG & COMPANY, P.A.|Auditor|$12,500|—|$12,500|

### Verified Provider Profiles

Direct links to verified profiles of matched retirement plan providers on PlanProvider.Pro:

- [STRATEGIC ADVISORS, INC.](https://planprovider.pro/provider/creative-planning) — ADVISOR

- [FIDELITY INVESTMENTS INSTITUTIONAL](https://planprovider.pro/provider/fidelity-investments) — RECORDKEEPER

- [WEINBERG & COMPANY, P.A.](https://planprovider.pro/provider/weinberg-and-company-pa) — Auditor

## Plan Fees & Expenses

Annual service provider fees and administrative expenses sourced from DOL Form 5500 filings.

- **Total Service Provider Fees:** $84,525

- **Estimated Expense Ratio:** 0.029% of plan assets

### Historical Administrative Expenses

Breakdown of administrative expense categories reported on Form 5500 filings.

| Year|
Total Admin Expenses|
Investment Mgmt Fees|
Contract Admin Fees|
IQPA Audit Fees|
Professional Fees|

| 2024|$67,575|$32,962|—|$12,500|—|

| 2023|$111,431|$24,806|—|$21,195|—|

| 2022|$95,694|$14,342|—|—|—|

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[View full interactive plan profile on PlanProvider.Pro](https://planprovider.pro/companies/b-riley-financial-inc-401k-plan)

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