401(k) · DOL Form 5500 · 2023

Carl Marks & Co., Inc. 401(k) Plan

Data updated 2026-08-25

$30M
Total assets Below avg plan size
46
Participants Small participant base
79th
Percentile by assets National rank
$656,737
Avg per participant High balance/head
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Official DOL plan name: Carl Marks & Co., Inc Retirement Savings Plan · Sponsored by Carl Marks & Co., Inc. · New York · Finance & Insurance

$30M in assets, 46 participants

Carl Marks & Co., Inc.'s Carl Marks & Co., Inc Retirement Savings Plan reported $30M in total assets and 46 participants in its 2023 DOL Form 5500 filing, ranking in the 79th 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.

  • #6,063 in Finance & Insurance (8,869 peers)

Where Carl Marks & Co., Inc Retirement Savings Plan sits by assets

Carl Marks & Co., Inc Retirement Savings Plan sits in the top quartile of all filed plans by assets, $30M for 46 participants (~$656,737/participant), up 24.7% in 2023.

#6,063
in Finance & Insurance (8,869 peers)
+24.7%
assets growth YoY
0.3×
vs typical plan assets (national mean)

Carl Marks & Co., Inc Retirement Savings Plan's outsized position by total assets

Carl Marks & Co., Inc Retirement Savings Plan vs every filed plan by assets

End-of-year total assets · plan year 2023 · DOL Form 5500

$30,209,900 Top 21% higher than 79% of 127,068 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 2023

Carl Marks & Co., Inc Retirement Savings Plan among smaller filed plans by headcount

Plan-year 2023 Form 5500 filings with a reported participant count, partitioned by headcount band, not by assets. Carl Marks & Co., Inc Retirement Savings Plan is a small filing (46 participants) on this national headcount ladder.

What changed between DOL Form 5500 filings

plan year 2022 → plan year 2023

  • Carl Marks & Co., Inc Retirement Savings Plan reported net income rose from -$5M in the plan year 2022 filing to $6M in the plan year 2023 filing.
  • Carl Marks & Co., Inc Retirement Savings Plan end-of-year assets rose from $24M in the plan year 2022 filing to $30M in the plan year 2023 filing.
  • Carl Marks & Co., Inc Retirement Savings Plan reported participants fell from 53 in the plan year 2022 filing to 46 in the plan year 2023 filing.

See the national 2022→2023 release diff →

Published 5500 schedule card

Filing strip 133146265 · Carl Marks & Co., Inc. PY 2023 · 401(k)

Carl Marks & Co., Inc Retirement Savings Plan · $30M · 46 · 79th

  • PART $30M
  • TYPE 46
  • NET 79th
  • BOOK 401(k)
  • VS-ST near Coca-Cola Consolidated, Inc. Bargaining Employees 401(k) Plan
  • BOY ind #6063

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 →

Carl Marks & Co., Inc Retirement Savings Plan in the asset neighbourhood

Carl Marks & Co., Inc Retirement Savings PlanCarl Marks & Co., Inc Retire…$30MCoca-Cola Consolidated, Inc. Bargaining Employees 401(k) PlanCoca-Cola Consolidated, Inc.…$30MThe Mcgraw Group of Affiliated Companies 401(k) PlanThe Mcgraw Group of Affiliat…$30MRoebbelen Management, Inc. 401(k) Profit Sharing PlanRoebbelen Management, Inc. 4…$30MJohn a. Biewer Company, Inc. 401(k) Plan & TrustJohn a. Biewer Company, Inc.…$30M
End-of-year total assets ($M) among Carl Marks & Co., Inc Retirement Savings Plan and nearest nationwide 401(k) peers. Source: DOL Form 5500 plan year 2023.

Scale-class filing particulars (2023)

Total Assets (Beginning of Year)$24M
Net Assets (End of Year)$30M
Net Income$6M
Employer EIN133146265
Plan Effective Date1984-01-01
Filing StatusFILING RECEIVED

Sponsor Plan History (Carl Marks & Co., Inc.)

Sponsor-wide plan assets over time

All Carl Marks & Co., Inc. plans reported in each filing year

Latest sponsor-wide plan assets
$35M 44.65030743190668% vs 2022
2024 filing year
$20M$25M$30M$35M$40M 202220232024 $24.2M $35M ▲ +44.6%
Year Plans Participants Total Assets
2022 1 53 $24M
2023 1 46 $30M
2024 1 47 $35M

Nearby 401(k) Plans in New York

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

Carl Marks & Co., Inc Retirement Savings Plan vs. nearby 401(k) plans in New York, assets vs. participants Scatter plot of 6 data points. -50000050000100000150000 -20020406080 Total assets ($B) Participants Carl Marks & Co., Inc Retirement Savings Plan, Total assets ($B): 0.0302099 · Participants: 46Carl Marks & Co., Inc Retirement Savings PlanIBM 401 (K) Plus Plan, Total assets ($B): 57.428456306 · Participants: 54912IBM 401 (K) Plus PlanPfizer Savings Plan, Total assets ($B): 19.56134085 · Participants: 30033Pfizer Savings PlanMorgan Stanley 401(k) Plan, Total assets ($B): 19.235068266 · Participants: 55363Morgan Stanley 401(k) PlanThe Pepsico Savings Plan, Total assets ($B): 13.651296 · Participants: 133597The Pepsico Savings PlanThe Goldman Sachs 401(k) Plan, Total assets ($B): 11.428659742 · Participants: 24866The Goldman Sachs 401(k) Plan
Carl Marks & Co., Inc Retirement Savings Plan vs. nearby 401(k) plans in New York, assets vs. participants
Compare Carl Marks & Co., Inc Retirement Savings Plan side-by-side with 3 peers →

Carl Marks & Co., Inc Retirement Savings Plan's out-of-state 401(k) peers by assets and headcount

Outside New York, the nearest 401(k) by assets is Coca-Cola Consolidated, Inc. Bargaining Employees 401(k) Plan in NC ($30M); by covered participants it is Carmel Mountain Preschool, Inc. Ct 401(k) Profit Sharing Plan in CA (46 participants). Same-state nearby plans are listed separately above.

Similar participant headcount

Nearest other-state filings by covered participants (46 participants); asset peers above are excluded.

DOL Form 5500 plan year 2023. Asset totals can differ widely at the same headcount; neither axis is a quality rating.

Frequently Asked Questions

How did Carl Marks & Co., Inc Retirement Savings Plan assets move in 2023? ▼
Carl Marks & Co., Inc Retirement Savings Plan grew sharply - up 24.7% during 2023, from $24M to $30M. Reported net income was $6M.
How have Carl Marks & Co., Inc. plan assets changed over time? ▼
Across 3 plan years on file (2022-2024), Carl Marks & Co., Inc.'s sponsor-wide assets grew 44.7%, from $24M to $35M.
Where does Carl Marks & Co., Inc Retirement Savings Plan rank by assets among Form 5500 filers? ▼
Carl Marks & Co., Inc Retirement Savings Plan ranks in the 79th percentile by end-of-year assets among 127,072 plans that reported assets for plan year 2023 (in the top quartile of all filed plans by assets).
Which 401(k) plans are similar in size to Carl Marks & Co., Inc Retirement Savings Plan? ▼
Among 401(k) plans in other states, the closest by assets is Coca-Cola Consolidated, Inc. Bargaining Employees 401(k) Plan in NC ($30M, 1,391 participants).
Which 401(k) plans cover a similar participant headcount to Carl Marks & Co., Inc Retirement Savings Plan? ▼
Among 401(k) plans in other states, the closest by covered participants is Carmel Mountain Preschool, Inc. Ct 401(k) Profit Sharing Plan in CA (46 participants, $3M in assets).

Source: U.S. Department of Labor, Employee Benefits Security Administration (EBSA), Form 5500 public disclosure dataset. Plan year 2023.

Source: DOL EFAST2 filing system (efast.dol.gov) - original filing retrieval by EIN 133146265.

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.