ESOP · DOL Form 5500 · 2023

Smalley & Company ESOP

Data updated 2026-08-25

$38M
Total assets Below avg plan size
135
Participants Small participant base
82nd
Percentile by assets National rank
$281,628
Avg per participant High balance/head
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Official DOL plan name: Smalley & Company Employee Stock Ownership Plan and Trust · Sponsored by Smalley & Company · Colorado · Wholesale Trade

$38M in assets, 135 participants

Smalley & Company's Smalley & Company Employee Stock Ownership Plan and Trust reported $38M in total assets and 135 participants in its 2023 DOL Form 5500 filing, ranking in the 82nd 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.

  • #5,211 in Wholesale Trade (6,309 peers)

Coverage in Colorado

Smalley & Company Employee Stock Ownership Plan and Trust covers 135 participants in Colorado, about 36% of the average Colorado filer (state average ~376 per filing). Assets: $38M.

#5,211
in Wholesale Trade (6,309 peers)
-1.9%
assets change YoY
0.4×
vs typical plan assets (national mean)

The plan reported a net loss of $455K for the year, a single-year figure driven by markets and benefit payments, not a measure of plan health.

Smalley & Company Employee Stock Ownership Plan and Trust's outsized position by total assets

Smalley & Company Employee Stock Ownership Plan and Trust vs every filed plan by assets

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

$38,019,840 Top 18% higher than 82% 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

Smalley & Company Employee Stock Ownership Plan and Trust among mid-size filed plans by headcount

Plan-year 2023 Form 5500 filings with a reported participant count, partitioned by headcount band, not by assets. Smalley & Company Employee Stock Ownership Plan and Trust sits mid-pack in the medium band (135 participants).

What changed between DOL Form 5500 filings

plan year 2022 → plan year 2023

  • Smalley & Company Employee Stock Ownership Plan and Trust reported net income fell from $2M in the plan year 2022 filing to -$455K in the plan year 2023 filing.
  • Smalley & Company Employee Stock Ownership Plan and Trust reported participants rose from 127 in the plan year 2022 filing to 135 in the plan year 2023 filing.
  • Smalley & Company Employee Stock Ownership Plan and Trust end-of-year assets fell from $39M in the plan year 2022 filing to $38M in the plan year 2023 filing.

See the national 2022→2023 release diff →

Published 5500 schedule card

Filing strip 840576872 · Smalley & Company PY 2023 · ESOP

Smalley & Company Employee Stock Ownership Plan and Trust · $38M · 135 · 82nd

  • SCH $38M
  • EBSA 135
  • PART 82nd
  • TYPE ESOP
  • NET near Absolute Group, Inc. Employee Stock Ownership Plan and Trust
  • BOOK ind #5211

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 Colorado →

Smalley & Company Employee Stock Ownership Plan and Trust in the asset neighbourhood

Classic Transportation Services, Inc. Employee Stock Ownership PlanClassic Transportation Servi…$38MConsolidated Supply Employee Stock Ownership PlanConsolidated Supply Employee…$38MSmalley & Company Employee Stock Ownership Plan and TrustSmalley & Company Employee S…$38MAbsolute Group, Inc. Employee Stock Ownership Plan and TrustAbsolute Group, Inc. Employe…$38MPdg Employee Stock Ownership PlanPdg Employee Stock Ownership…$38M
End-of-year total assets ($M) among Smalley & Company Employee Stock Ownership Plan and Trust and nearest nationwide ESOP peers. Source: DOL Form 5500 plan year 2023.

Colorado filing particulars

Total Assets (Beginning of Year)$39M
Net Assets (End of Year)$32M
Net Income-$455K
Employer EIN840576872
Plan Effective Date2000-01-01
Filing StatusFILING RECEIVED

Sponsor Plan History (Smalley & Company)

Sponsor-wide plan assets over time

All Smalley & Company plans reported in each filing year

Latest sponsor-wide plan assets
$17M 64.37480182997305% vs 2022
2024 filing year
$10M$20M$30M$40M$50M$60M 202220232024 $47.6M $17M ▼ -64.4%
Year Plans Participants Total Assets
2022 2 282 $48M
2023 2 303 $49M
2024 2 238 $17M

Nearby ESOP Plans in Colorado

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

Smalley & Company Employee Stock Ownership Plan and Trust vs. nearby ESOP plans in Colorado, assets vs. participants Scatter plot of 6 data points. 050010001500 0100200300400500 Total assets ($M) Participants Smalley & Company Employee Stock Ownership Plan and Trust, Total assets ($M): 38.01984 · Participants: 135Smalley & Company Employee Stock Ownership Plan and TrustAlpine Lumber Company Employee Stock Ownership Plan, Total assets ($M): 385.149702 · Participants: 581Alpine Lumber Company Employee Stock Ownership PlanTrinidad Benham Corp. Employee Stock Ownership Plan, Total assets ($M): 266.310908 · Participants: 776Trinidad Benham Corp. Employee Stock Ownership PlanEnvision Management Holding, Inc. Employee Stock Ownership Plan, Total assets ($M): 211.311494 · Participants: 1075Envision Management Holding, Inc. Employee Stock Ownership PlanBrown Strauss, Inc. Employee Stock Ownership Plan, Total assets ($M): 209.447754 · Participants: 206Brown Strauss, Inc. Employee Stock Ownership PlanHercules Industries, Inc. Employee Stock Ownership Plan, Total assets ($M): 106.310439 · Participants: 444Hercules Industries, Inc. Employee Stock Ownership Plan
Smalley & Company Employee Stock Ownership Plan and Trust vs. nearby ESOP plans in Colorado, assets vs. participants
Compare Smalley & Company Employee Stock Ownership Plan and Trust side-by-side with 3 peers →

Smalley & Company Employee Stock Ownership Plan and Trust's out-of-state ESOP peers by assets and headcount

Outside Colorado, the nearest ESOP by assets is Absolute Group, Inc. Employee Stock Ownership Plan and Trust in IA ($38M); by covered participants it is Badger Corrugating Employee Stock Ownership Plan in WI (135 participants). Same-state nearby plans are listed separately above.

Similar participant headcount

Nearest other-state filings by covered participants (135 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 Smalley & Company Employee Stock Ownership Plan and Trust assets move in 2023? ▼
Smalley & Company Employee Stock Ownership Plan and Trust edged down modestly - down 1.9% during 2023, from $39M to $38M. Reported net income was -$455K.
How have Smalley & Company plan assets changed over time? ▼
Across 3 plan years on file (2022-2024), Smalley & Company's sponsor-wide assets declined 64.4%, from $48M to $17M.
Where does Smalley & Company Employee Stock Ownership Plan and Trust rank by assets among Form 5500 filers? ▼
Smalley & Company Employee Stock Ownership Plan and Trust ranks in the 82nd 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 ESOP plans are similar in size to Smalley & Company Employee Stock Ownership Plan and Trust? ▼
Among ESOP plans in other states, the closest by assets is Absolute Group, Inc. Employee Stock Ownership Plan and Trust in IA ($38M, 264 participants).
Which ESOP plans cover a similar participant headcount to Smalley & Company Employee Stock Ownership Plan and Trust? ▼
Among ESOP plans in other states, the closest by covered participants is Badger Corrugating Employee Stock Ownership Plan in WI (135 participants, $14M 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 840576872.

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.