Plan Snapshot
- Plan Sponsor: S. Rothschild & Co., INC.
- Sponsor EIN: 231539342
- Sponsor Address: 1407 BROADWAY, NEW YORK, NY, 10018
- Plan Type: 401(k)
- Total Participants: 121
- Total Assets: $16.9M
Key Plan Design Features
- Auto-Enrollment: Yes
- Auto-Escalation: No
- Allows Roth Contributions: No
- 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 | 121 | $16.9M | $175,042 | $1.0M |
| 2023 | 120 | $15.3M | $158,844 | $904,011 |
| 2022 | 108 | $12.9M | $125,274 | $667,979 |
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 |
|---|---|---|---|---|
| VIABLE | RIA | $26,120 | — | $26,120 |
| CBIZ CPAS P.C. | Auditor | — | — | $0 |
Plan Fees & Expenses
Annual service provider fees and administrative expenses sourced from DOL Form 5500 filings.
- Total Service Provider Fees: $26,120
- Estimated Expense Ratio: 0.154% 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 | $70,904 | $30,972 | $37,557 | — | — |
| 2023 | $58,655 | $25,500 | $30,979 | — | — |
| 2022 | $58,667 | $27,695 | $30,972 | — | — |