Retirement plan

THE E&H 401(K) SAVINGS AND RETIREMENT PLAN

Name: ROCKEFELLER & ROCKEFELLER ET AL - THE E&H 401(K) SAVINGS AND RETIREMENT PLAN (2021) Form 5500
Creator: ROCKEFELLER & ROCKEFELLER ET AL
License: https://www.dol.gov/general/disclaim
Keywords: Form 5500, ERISA, retirement plan, THE E&H 401(K) SAVINGS AND RETIREMENT PLAN, ROCKEFELLER & ROCKEFELLER ET AL

ROCKEFELLER & ROCKEFELLER ET ALEIN 13-3306788Plan #334PY 2021

45 ROCKEFELLER PLAZA, FLOOR 5 - NEW YORK, NY 10111212-549-5100LinkedIn201-500 employeesinvestment banking

Other plans on this EIN

1 filing

#333Retirement-$148.1M assets

Prospect flagsLow returnsCorrective distributions

How to read this page

Total assets (EOY)

$47.4M

+3.2% from 2020

Total participants

315

-5.1% from 2020

Average account balance

$151,020

+7.8% from 2020

Annual return

12.91%

+1.19 pp from 2020

Benchmarks

See 2,179 peers

Peer group

Industry52 - Finance and Insurance

Plan typeDefined contribution

Participants100-249

Cohort2,179 peers

Snapshot2021

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

Analytics

Total assets (EOY)

Plan-year ending balance

$51.54M

Not enough data

1 years with asset history on file

Average account balance

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

$161K

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.

321

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.

97.3%

Not enough data

1 years with eligibility data

Contributions (total)

Employer and participant dollars contributed each year

$2.99M

Not enough data

1 years with contributions on file

Contributions per participant

Average employer and participant contribution per enrolled participant

$16K

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

+18.14%

Not enough data

1 years with return on file

Admin fee / account holder

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

$112

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 2 by compensation

Provider	Service type	Compensation
JOHN HANCOCK LIFE INSURANCE COMPANY7+ years Filed as: JOHN HANCOCK RETIREMENT PLAN SRVCS Service code 15 · EIN 01-0233346	Recordkeeping	$42,996
SAGEVIEW ADVISORY GROUP, LLC3 years Filed as: SAGEVIEW ADVISORY GROUP, INC. Service code 27 · EIN 51-0492818	Advisory (Plan)	$8,643

Plan features & details

Pension benefit codes2E2F2G2J2K2S2T

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.
2K
Code section 401(m) arrangement
Employee contributions are allocated to separate accounts under the plan or employer contributions are based in whole or in part on employee deferrals or contributions to the plan. Not applicable to 401(k) plans with only QNECs and/or QMACs or to 403(b)(1) 403(b)(7) or 408 arrangements.
2S
Automatic enrollment
Plan provides for automatic enrollment in plan that has elective contributions deducted from payroll.
2T
Default investment account
Total or partial participant-directed account plan where plan uses a default investment account for participants who fail to direct assets in their account.

Opportunity flags

2 tripped

OpportunityLow returns
Annual investment return is in the bottom quintile of the peer cohort.
ComplianceCorrective distributions
Plan reported corrective distributions (failed ADP/ACP testing).

Expense breakdown

Schedule H Part II

Admin total

$52K

$356 / participant

Investment mgmt$42K81.1%
Contract admin$10K18.9%

% of EOY assets

0.110%

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: CROWE LLP
Auditor EIN: 350921680
Audit fees: (not subdivided)
Opinion code: Unqualified

Metric

This plan

Peer set

Industry

Size

Avg account balance

$151,020

$121,341+24.5%

$189,537-20.3%

$79,391+90.2%

Participation rate

99.3%

86.1%+13.2pp

87.8%+11.5pp

70.7%+28.6pp

Annual return

12.91%

21.08%-8.2pp

555.34%-542.4pp

116.88%-104.0pp

Employer contribution / active EE

$6,369

$3,915+62.7%

$6,161+3.4%

$2,428+162.3%

Participant deferral / active EE

$4,310

$6,395-32.6%

$8,220-47.6%

$4,046+6.5%

Admin fee / account holder

$167

$651-74.4%

$12,048-98.6%

$627-73.4%

Provider

Service type

Compensation

JOHN HANCOCK LIFE INSURANCE COMPANY7+ years

Filed as: JOHN HANCOCK RETIREMENT PLAN SRVCS

Service code 15 · EIN 01-0233346

Recordkeeping

$42,996

SAGEVIEW ADVISORY GROUP, LLC3 years

Filed as: SAGEVIEW ADVISORY GROUP, INC.

Service code 27 · EIN 51-0492818

Advisory (Plan)

$8,643

THE E&H 401(K) SAVINGS AND RETIREMENT PLAN

Summary metrics

Benchmarksi

Analytics

Service providersi

Plan features & details

Opportunity flagsi

Expense breakdowni

Audit opinioni

THE E&H 401(K) SAVINGS AND RETIREMENT 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