# Rockefeller Financial Services, INC. 401(k) Plan
Source: https://planprovider.pro/companies/rockefeller-financial-services-inc-401k-plan

> Rockefeller Financial Services, INC.'s 401(k) plan: 1,350 participants, plan year 2024 financials, providers, and benchmarks from Form 5500.

Form 5500 filing data for plan year 2024.

## 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|—|—|

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