401(k) · DOL Form 5500 · 2022

Rockefeller Financial Services, Inc. 401(k) Plan

Data updated 2026-08-11

$144M
Total assets
741
Participants
94th
Percentile by assets
$194,292
Avg per participant
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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.

  • 94th percentile by assets (of 139,126 plans)
  • #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.

$144M
total plan assets (2022 EOY)
741
covered participants
94th
percentile by assets (of 139,126 plans)
$194,292
avg assets per participant

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.

Where Rockefeller 401(k) Savings and Retirement Plan sits 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 $2,010,000,000 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

State
New York
Industry
Finance & Insurance

Rockefeller 401(k) Savings and Retirement Plan vs the 2022 asset distribution

By assets, Rockefeller 401(k) Savings and Retirement Plan outranks 94% of the 139,126 plans that filed a Form 5500 for the 2022 plan year, and holds roughly 1.4x the national average plan size of $100M (721 average participants).

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.)

$100M$150M$200M$250M 202220232024 $144M $236M ▲ +64.3%
Total plan assets by year, all Rockefeller Financial Services, Inc. plans on file
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 ($B) Participants Rockefeller 401(k) S…, Total assets ($B): 0.143970375 · Participants: 741Rockefeller 401(k) S…IBM 401 (K) Plus Plan, Total assets ($B): 53.363875208 · Participants: 56376IBM 401 (K) Plus PlanMorgan Stanley 401(k…, Total assets ($B): 16.415517176 · Participants: 42924Morgan Stanley 401(k…The Pepsico Savings …, Total assets ($B): 12.067222 · Participants: 129846The Pepsico Savings …Deloitte 401(k) Plan, Total assets ($B): 10.966899716 · Participants: 74687Deloitte 401(k) PlanThe Goldman Sachs 40…, Total assets ($B): 9.681988279 · Participants: 22650The Goldman Sachs 40…
Rockefeller 401(k) Savings and Retirement Plan vs. nearby 401(k) plans in New York, assets vs. participants
Compare Rockefeller 401(k) Savings and Retiremen… side-by-side with 3 peers →

Similar-Sized 401(k) Plans Nationally

401(k) plans in other states closest to Rockefeller 401(k) Savings and Retirement Plan by total assets, not by location.

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).

Next read for Rockefeller 401(k) Savings and Retiremen…

Scale reading

Ways to act on Rockefeller 401(k) Savings and Retirement Plan's numbers.

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.