Plan Snapshot
- Plan Sponsor: Rockefeller Financial Services, INC.
- Sponsor EIN: 133006574
- Sponsor Address: 45 ROCKEFELLER PLAZA, NEW YORK, NY, 10111
- Plan Type: 401(k)
- Total Participants: 1,350
- Total Assets: $236.5M
Key Plan Design Features
- Auto-Enrollment: Yes
- Auto-Escalation: No
- Allows Roth Contributions: Yes
- Participant Loans: No
- Participant-Directed Investments: Yes
- ERISA Section 404(c) Fiduciary Safe Harbor: Yes
Plan Financials by Year
| Year | Participants | Total Assets | Employer Contrib. | Employee Contrib. |
|---|---|---|---|---|
| 2024 | 1,350 | $236.5M | $14.1M | $20.1M |
| 2023 | 1,172 | $181.4M | $12.3M | $16.3M |
| 2022 | 979 | $144.0M | $9.2M | $12.2M |
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 |
|---|---|---|---|---|
| EMPOWER LIFE & ANNUITY INSURANCE CO | NONE | $100,529 | — | $100,529 |
| CROWE LLP | NONE | $29,843 | — | $29,843 |
| SAGEVIEW ADVISORY GROUP LLC | NONE | $25,000 | — | $25,000 |
Plan Fees & Expenses
Annual service provider fees and administrative expenses sourced from DOL Form 5500 filings.
- Total Service Provider Fees: $155,372
- Estimated Expense Ratio: 0.066% 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 | $146,782 | $25,000 | — | $29,843 | — |
| 2023 | $138,124 | $13,553 | — | $5,864 | — |
| 2022 | $157,027 | $15,317 | $141,710 | — | — |