ESOP · DOL Form 5500 · 2022

Southwestern Financial Corporation ESOP

Data updated 2026-08-25

$81M
Total assets Below avg plan size
145
Participants Small participant base
92nd
Percentile by assets National rank
$560,609
Avg per participant High balance/head
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Official DOL plan name: Southwestern Financial Corporation Employee Stock Ownership Plan · Sponsored by Southwestern Financial Corporation · Arizona · Finance & Insurance

$81M in assets, 145 participants

Southwestern Financial Corporation's Southwestern Financial Corporation Employee Stock Ownership Plan reported $81M in total assets and 145 participants in its 2022 DOL Form 5500 filing, ranking in the 92nd percentile by assets among filed plans. Figures are as reported by the plan sponsor to the Department of Labor, not audited or endorsed by PlainRetire.

  • #8,009 in Finance & Insurance (9,261 peers)

Coverage in Arizona

Southwestern Financial Corporation Employee Stock Ownership Plan covers 145 participants in Arizona, about 26% of the average Arizona filer (state average ~564 per filing). Assets: $81M.

#8,009
in Finance & Insurance (9,261 peers)
+22.2%
assets growth YoY
0.8×
vs typical plan assets (national mean)

Southwestern Financial Corporation Employee Stock Ownership Plan's outsized position by total assets

Southwestern Financial Corporation Employee Stock Ownership Plan vs every filed plan by assets

End-of-year total assets · plan year 2022 · DOL Form 5500

$81,288,326 Top 8% higher than 92% of 139,123 filed plans

This plan $0 $2,050,000,000 every filed plan with reported assets, bucketed by value

Dashed line + filled bar = this entry, among filed plans.

Source U.S. Department of Labor Form 5500 filings (EBSA) · plan year 2022

Southwestern Financial Corporation Employee Stock Ownership Plan among mid-size filed plans by headcount

Plan-year 2022 Form 5500 filings with a reported participant count, partitioned by headcount band, not by assets. Southwestern Financial Corporation Employee Stock Ownership Plan sits mid-pack in the medium band (145 participants).

DOL schedule card

Filing strip 860224638 · Southwestern Financial Corporation PY 2022 · ESOP

Southwestern Financial Corporation Employee Stock Ownership Plan · $81M · 145 · 92nd

  • VS-ST $81M
  • VS-ST 145
  • VS-ST 92nd
  • VS-ST ESOP
  • VS-ST near Hunt Electric Employee Stock Ownership Plan and Trust
  • VS-ST ind #8009

Stamps derive from this plan's Form 5500 line items (assets, participants, type, EIN, cohort placement) - not a quality rating of the sponsor. Read with What is an ESOP? → · Plans in Arizona →

Southwestern Financial Corporation Employee Stock Ownership Plan in the asset neighbourhood

L. Fishman & Son, Inc. Employee Stock Ownership PlanL. Fishman & Son, Inc. Emplo…$81MSouthwestern Financial Corporation Employee Stock Ownership PlanSouthwestern Financial Corpo…$81MHunt Electric Employee Stock Ownership Plan and TrustHunt Electric Employee Stock…$81MMrmc ESOP$81MState Bankshares Employee Stock Ownership Plan and TrustState Bankshares Employee St…$81M
End-of-year total assets ($M) among Southwestern Financial Corporation Employee Stock Ownership Plan and nearest nationwide ESOP peers. Source: DOL Form 5500 plan year 2022.

Arizona filing particulars

Total Assets (Beginning of Year)$67M
Net Assets (End of Year)$80M
Net Income$15M
Employer EIN860224638
Plan Effective Date1994-01-01
Filing StatusFILING RECEIVED

Sponsor Plan History (Southwestern Financial Corporation)

Sponsor-wide plan assets over time

All Southwestern Financial Corporation plans reported in each filing year

Latest sponsor-wide plan assets
$105M 5.8265457669138545% vs 2022
2024 filing year
$95M$100M$105M$110M 202220232024 $99.2M $105M ▲ +5.8%
Year Plans Participants Total Assets
2022 2 330 $99M
2023 2 346 $107M
2024 2 392 $105M

Nearby ESOP Plans in Arizona

Peer ESOP plans, same state, same plan type, ranked by total assets.

Southwestern Financial Corporation Employee Stock Ownership Plan vs. nearby ESOP plans in Arizona, assets vs. participants Scatter plot of 6 data points. -500005000100001500020000 0200400600800 Total assets ($M) Participants Southwestern Financial Corporation Employee Stock Ownership Plan, Total assets ($M): 81.288326 · Participants: 145Southwestern Financial Corporation Employee Stock Ownership PlanThe Sundt Companies Employee Stock Ownership Plan, Total assets ($M): 653.823941 · Participants: 1879The Sundt Companies Employee Stock Ownership PlanU-Haul Holding Company Employee Stock Ownership Plan, Total assets ($M): 498.168071 · Participants: 18179U-Haul Holding Company Employee Stock Ownership PlanSpencer's Air Conditioning & Appliance, Inc. Employee Stock Ownership Plan, Total assets ($M): 309.035135 · Participants: 235Spencer's Air Conditioning & Appliance, Inc. Employee Stock Ownership PlanPima Medical Institute Employee Stock Ownership Plan, Total assets ($M): 190.288581 · Participants: 1362Pima Medical Institute Employee Stock Ownership PlanRvr Employee Stock Ownership Plan, Total assets ($M): 144.534583 · Participants: 139Rvr Employee Stock Ownership Plan
Southwestern Financial Corporation Employee Stock Ownership Plan vs. nearby ESOP plans in Arizona, assets vs. participants
Compare Southwestern Financial Corporation Employee Stock Ownership Plan side-by-side with 3 peers →

Southwestern Financial Corporation Employee Stock Ownership Plan's out-of-state ESOP peers by assets and headcount

Outside Arizona, the nearest ESOP by assets is Hunt Electric Employee Stock Ownership Plan and Trust in MN ($81M); by covered participants it is Honat Bancorp, Inc. Employee Stock Ownership Plan W/401(k) Provisions in PA (145 participants). Same-state nearby plans are listed separately above.

DOL Form 5500 plan year 2022. Asset totals can differ widely at the same headcount; neither axis is a quality rating.

Frequently Asked Questions

How did Southwestern Financial Corporation Employee Stock Ownership Plan assets move in 2022? ▼
Southwestern Financial Corporation Employee Stock Ownership Plan grew sharply - up 22.2% during 2022, from $67M to $81M. Reported net income was $15M.
How have Southwestern Financial Corporation plan assets changed over time? ▼
Across 3 plan years on file (2022-2024), Southwestern Financial Corporation's sponsor-wide assets grew 5.8%, from $99M to $105M.
Where does Southwestern Financial Corporation Employee Stock Ownership Plan rank by assets among Form 5500 filers? ▼
Southwestern Financial Corporation Employee Stock Ownership Plan ranks in the 92nd percentile by end-of-year assets among 139,126 plans that reported assets for plan year 2022 (in the top 10% of all filed plans by assets).
Which ESOP plans are similar in size to Southwestern Financial Corporation Employee Stock Ownership Plan? ▼
Among ESOP plans in other states, the closest by assets is Hunt Electric Employee Stock Ownership Plan and Trust in MN ($81M, 220 participants).
Which ESOP plans cover a similar participant headcount to Southwestern Financial Corporation Employee Stock Ownership Plan? ▼
Among ESOP plans in other states, the closest by covered participants is Honat Bancorp, Inc. Employee Stock Ownership Plan W/401(k) Provisions in PA (145 participants, $29M in assets).

Source: U.S. Department of Labor, Employee Benefits Security Administration (EBSA), Form 5500 public disclosure dataset. Plan year 2022.

Source: DOL EFAST2 filing system (efast.dol.gov) - original filing retrieval by EIN 860224638.

Read our methodology - how this data is sourced, computed, and verified.

Data sourced from U.S. Department of Labor Form 5500 filings (EBSA). See our methodology for details.