Retirement plan

BARON CAPITAL, INC. 401(K) PROFIT SHARING PLAN

Name: BARON CAPITAL, INC. - BARON CAPITAL, INC. 401(K) PROFIT SHARING PLAN (2024) Form 5500
Creator: BARON CAPITAL, INC.
License: https://www.dol.gov/general/disclaim
Keywords: Form 5500, ERISA, retirement plan, BARON CAPITAL, INC. 401(K) PROFIT SHARING PLAN, BARON CAPITAL, INC.

BARON CAPITAL, INC.EIN 13-3107580Plan #001PY 2024

767 FIFTH AVENUE, 49TH FLOOR - NEW YORK, NY 10153212-583-2000baronfunds.comLinkedIn51-200 employeesinvestment management

Prospect flagsHigh assets / participant

How to read this page

Total assets (EOY)

$309.9M

-22.8% from 2017

Total participants

282

-4.2% from 2017

Average account balance

$1,102,682

-19.9% from 2017

Annual return

12.61%

-38.25 pp from 2017

Benchmarks

See 2,173 peers

Peer group

Industry52 - Finance and Insurance

Plan typeDefined contribution

Participants100-249

Cohort2,173 peers

Snapshot2024

Free accounts unlock saves, downloads, and 3-year history.

Analytics

Total assets (EOY)

Plan-year ending balance

$353.88M

Not enough data

1 years with asset history on file

Average account balance

Total assets / participants with a balance (line 6g)

$1.3M

Not enough data

1 years with per-participant data

Participants with account balance

Stacked by status: active / separated vested / retired or beneficiary. Total = line 6g.

282

Not enough data

1 years with headcount on file

Eligible Participants and Participation

Bars: eligible actives (line 6a). Line: derived rate = active employees with a balance / 6a.

99.0%

Not enough data

1 years with eligibility data

Contributions (total)

Employer and participant dollars contributed each year

$10.24M

Not enough data

1 years with contributions on file

Contributions per participant

Average employer and participant contribution per enrolled participant

$50K

Not enough data

1 years with per-participant contribution data

Asset flow

BOY + contributions + return - distributions = EOY

Year

Annual return

Diverging bars; negative years highlighted

+15.67%

Not enough data

1 years with return on file

Admin fee / account holder

Total admin expenses / participants with a balance (line 6g)

$67

Not enough data

1 years with admin cost on file

Asset composition

Cash / stocks / bonds / mutual funds / real estate / loans over time

Not enough data

1 years with F_SCH_H allocation on file

Free accounts unlock saves, downloads, and 3-year history.

Service providers

Top 3 by compensation

Provider	Service type	Compensation
ROLLINS FINANCIAL ADVISORS LLC3 years Service code 26 · EIN 86-1775150	Advisory (Participants)	$8,693
CHARLES SCHWAB & CO., INC.9+ years Service code 33 · EIN 94-1737782	Float revenue; Securities brokerage c...	$4,404
CHARLES SCHWAB & CO., INC.6 years Filed as: CHARLES SCHWAB & CO. INC. AND AFFIL Service code 59	Shareholder Servicing	$0

Plan features & details

Pension benefit codes2E2F2G2J2R3D3H

Plan features

2E
Profit-sharing
Profit-sharing plan.
2F
ERISA section 404(c) plan
This plan or any part of it is intended to meet the conditions of 29 CFR 2550.404c-1 (shifting investment responsibility to participants).
2G
Total participant-directed account plan
Participants have the opportunity to direct the investment of all of the assets allocated to their individual accounts regardless of whether 29 CFR 2550.404c-1 is intended to be met.
2J
Code section 401(k) feature
Cash or deferred arrangement described in Code section 401(k) that is part of a qualified defined contribution plan under which employees may elect to defer part of their compensation or receive these amounts in cash.
2R
Participant-directed brokerage accounts
Participant-directed brokerage accounts provided as an investment option under the plan.
3D
Pre-approved pension plan
A master prototype or volume submitter plan that is the subject of a favorable opinion or advisory letter from the IRS.
3H
Controlled group member
Plan sponsor(s) is (are) a member(s) of a controlled group (Code sections 414(b) (c) or (m)).

Opportunity flags

1 tripped

InformationalHigh assets / participant
Assets per participant exceed $250,000 - top-decile high-value plan.

Expense breakdown

Schedule H Part II

Admin total

$10K

$48 / participant

Recordkeeping$6756.8%
Investment mgmt$9K93.2%

% of EOY assets

0.003%

all-in expense ratio

Categories reported

2 / 9

subdivided buckets used

Audit opinion

Schedule H Part III

Unqualified opinion

Auditor signed off without reservation - the cleanest possible opinion.

Auditor firm: EISNERAMPER LLP
Auditor EIN: 871363769
Audit fees: (not subdivided)
Opinion code: Unqualified

Metric

This plan

Peer set

Industry

Size

Avg account balance

$1,102,682

$122,063+803.4%

$184,256+498.5%

$74,478+1380.5%

Participation rate

99.5%

85.5%+14.0pp

86.8%+12.7pp

67.2%+32.3pp

Annual return

12.61%

19.92%-7.3pp

28.85%-16.2pp

1370.56%-1357.9pp

Employer contribution / active EE

$31,236

$4,539+588.2%

$6,427+386.0%

$2,626+1089.4%

Participant deferral / active EE

$15,708

$7,144+119.9%

$9,133+72.0%

$4,350+261.1%

Admin fee / account holder

$35

$1,253-97.2%

$13,899-99.7%

$1,946-98.2%

Provider

Service type

Compensation

ROLLINS FINANCIAL ADVISORS LLC3 years

Service code 26 · EIN 86-1775150

Advisory (Participants)

$8,693

CHARLES SCHWAB & CO., INC.9+ years

Service code 33 · EIN 94-1737782

Float revenue; Securities brokerage c...

$4,404

CHARLES SCHWAB & CO., INC.6 years

Filed as: CHARLES SCHWAB & CO. INC. AND AFFIL

Service code 59

Shareholder Servicing

BARON CAPITAL, INC. 401(K) PROFIT SHARING PLAN

Summary metrics

Benchmarksi

Analytics

Service providersi

Plan features & details

Opportunity flagsi

Expense breakdowni

Audit opinioni

BARON CAPITAL, INC. 401(K) PROFIT SHARING PLAN

Summary metrics

Benchmarksi

Analytics

Service providersi

Plan features & details

Opportunity flagsi

Expense breakdowni

Audit opinioni

Benchmarks

Service providers

Opportunity flags

Expense breakdown

Audit opinion

Benchmarks

Service providers

Opportunity flags

Expense breakdown

Audit opinion