401(k) · DOL Form 5500 · 2022

Rockefeller Financial Services, Inc. 401(k) Plan

Data updated 2026-08-25

$144M
Total assets Near avg plan size
741
Participants Near avg headcount
94th
Percentile by assets National rank
$194,292
Avg per participant Above avg balance/head
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Official DOL plan name: Rockefeller 401(k) Savings and Retirement Plan · Sponsored by Rockefeller Financial Services, Inc. · New York · Finance & Insurance

$144M in assets, 741 participants

Rockefeller Financial Services, Inc.'s Rockefeller 401(k) Savings and Retirement Plan reported $144M in total assets and 741 participants in its 2022 DOL Form 5500 filing, ranking in the 94th 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.

  • #8,411 in Finance & Insurance (9,261 peers)

Where Rockefeller 401(k) Savings and Retirement Plan sits by assets

Rockefeller 401(k) Savings and Retirement Plan sits in the top 10% of all filed plans by assets, $144M for 741 participants (~$194,292/participant), down 2.8% in 2022.

#8,411
in Finance & Insurance (9,261 peers)
-2.8%
assets change YoY
1.4×
vs typical plan assets (national mean)

The plan reported a net loss of $2M for the year, a single-year figure driven by markets and benefit payments, not a measure of plan health.

Rockefeller 401(k) Savings and Retirement Plan's outsized position by total assets

Rockefeller 401(k) Savings and Retirement Plan vs every filed plan by assets

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

$143,970,375 Top 6% higher than 94% 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

Rockefeller 401(k) Savings and Retirement 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. Rockefeller 401(k) Savings and Retirement Plan sits mid-pack in the medium band (741 participants).

EBSA filing schedule strip

Filing strip 133006574 · Rockefeller Financial Services, Inc. PY 2022 · 401(k)

Rockefeller 401(k) Savings and Retirement Plan · $144M · 741 · 94th

  • PHOTO $144M
  • IND 741
  • EOY 94th
  • 5500 401(k)
  • ASSETS near Cic Group, Inc. Office 401(k) Savings Plan and Trust
  • PCT ind #8411

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 Finance & Insurance retirement plans → · Plans in New York →

Rockefeller 401(k) Savings and Retirement Plan in the asset neighbourhood

United Cleanup Oak Ridge Retirement Savings PlanUnited Cleanup Oak Ridge Ret…$144MCmt Profit Sharing/401(k) PlanCmt Profit Sharing/401(k) Pl…$144MCic Group, Inc. Office 401(k) Savings Plan and TrustCic Group, Inc. Office 401(k…$144MRockefeller 401(k) Savings and Retirement PlanRockefeller 401(k) Savings a…$144MIap Worldwide Services Retirement Savings PlanIap Worldwide Services Retir…$144M
End-of-year total assets ($M) among Rockefeller 401(k) Savings and Retirement Plan and nearest nationwide 401(k) peers. Source: DOL Form 5500 plan year 2022.

Scale-class filing particulars (2022)

Total Assets (Beginning of Year)$148M
Net Assets (End of Year)$144M
Net Income-$2M
Employer EIN133006574
Plan Effective Date1962-01-01
Filing StatusFILING RECEIVED

Sponsor Plan History (Rockefeller Financial Services, Inc.)

Sponsor-wide plan assets over time

All Rockefeller Financial Services, Inc. plans reported in each filing year

Latest sponsor-wide plan assets
$236M 64.26425436483026% vs 2022
2024 filing year
$100M$150M$200M$250M 202220232024 $144M $236M ▲ +64.3%
Year Plans Participants Total Assets
2022 1 741 $144M
2023 1 1,017 $181M
2024 1 1,211 $236M

Nearby 401(k) Plans in New York

Peer 401(k) plans, same state, same plan type, ranked by total assets.

Rockefeller 401(k) Savings and Retirement Plan vs. nearby 401(k) plans in New York, assets vs. participants Scatter plot of 6 data points. -50000050000100000150000 -200204060 Total assets ($B) Participants Rockefeller 401(k) Savings and Retirement Plan, Total assets ($B): 0.143970375 · Participants: 741Rockefeller 401(k) Savings and Retirement PlanIBM 401 (K) Plus Plan, Total assets ($B): 53.363875208 · Participants: 56376IBM 401 (K) Plus PlanMorgan Stanley 401(k) Plan, Total assets ($B): 16.415517176 · Participants: 42924Morgan Stanley 401(k) PlanThe Pepsico Savings Plan, Total assets ($B): 12.067222 · Participants: 129846The Pepsico Savings PlanDeloitte 401(k) Plan, Total assets ($B): 10.966899716 · Participants: 74687Deloitte 401(k) PlanThe Goldman Sachs 401(k) Plan, Total assets ($B): 9.681988279 · Participants: 22650The Goldman Sachs 401(k) Plan
Rockefeller 401(k) Savings and Retirement Plan vs. nearby 401(k) plans in New York, assets vs. participants
Compare Rockefeller 401(k) Savings and Retirement Plan side-by-side with 3 peers →

Rockefeller 401(k) Savings and Retirement Plan's out-of-state 401(k) peers by assets and headcount

Outside New York, the nearest 401(k) by assets is Cic Group, Inc. Office 401(k) Savings Plan and Trust in MO ($144M); by covered participants it is Qcr Holdings, Inc. 401(k) Plan in IL (741 participants). Same-state nearby plans are listed separately above.

Similar participant headcount

Nearest other-state filings by covered participants (741 participants); asset peers above are excluded.

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 Rockefeller 401(k) Savings and Retirement Plan assets move in 2022? ▼
Rockefeller 401(k) Savings and Retirement Plan edged down modestly - down 2.8% during 2022, from $148M to $144M. Reported net income was -$2M.
How have Rockefeller Financial Services, Inc. plan assets changed over time? ▼
Across 3 plan years on file (2022-2024), Rockefeller Financial Services, Inc.'s sponsor-wide assets grew 64.3%, from $144M to $236M.
Where does Rockefeller 401(k) Savings and Retirement Plan rank by assets among Form 5500 filers? ▼
Rockefeller 401(k) Savings and Retirement Plan ranks in the 94th 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 401(k) plans are similar in size to Rockefeller 401(k) Savings and Retirement Plan? ▼
Among 401(k) plans in other states, the closest by assets is Cic Group, Inc. Office 401(k) Savings Plan and Trust in MO ($144M, 701 participants).
Which 401(k) plans cover a similar participant headcount to Rockefeller 401(k) Savings and Retirement Plan? ▼
Among 401(k) plans in other states, the closest by covered participants is Qcr Holdings, Inc. 401(k) Plan in IL (741 participants, $102M 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 133006574.

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.