401(k) · DOL Form 5500 · 2023

Equity Settlement Services Inc 401(k) Plan

Data updated 2026-08-25

$7M
Total assets Small plan by assets
188
Participants Below avg headcount
51st
Percentile by assets National rank
$37,950
Avg per participant Low balance/head
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Official DOL plan name: Equity Settlement Services Inc 401(k) Plan · Sponsored by Equity Settlement Services Inc · New York · Finance & Insurance

$7M in assets, 188 participants

Equity Settlement Services Inc's Equity Settlement Services Inc 401(k) Plan reported $7M in total assets and 188 participants in its 2023 DOL Form 5500 filing, ranking in the 51st 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.

  • #3,278 in Finance & Insurance (8,869 peers)

Coverage in New York

Equity Settlement Services Inc 401(k) Plan covers 188 participants in New York, about 24% of the average New York filer (state average ~798 per filing). Assets: $7M.

#3,278
in Finance & Insurance (8,869 peers)
+6.6%
assets growth YoY

Equity Settlement Services Inc 401(k) Plan's mid-pack asset rank among Finance & Insurance and all filers

Equity Settlement Services Inc 401(k) Plan vs every filed plan by assets

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

$7,134,682 Top 49% higher than 51% 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

Equity Settlement Services Inc 401(k) Plan 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. Equity Settlement Services Inc 401(k) Plan sits mid-pack in the medium band (188 participants).

What changed between DOL Form 5500 filings

plan year 2022 → plan year 2023

  • Equity Settlement Services Inc 401(k) Plan reported net income rose from -$1M in the plan year 2022 filing to $443K in the plan year 2023 filing.
  • Equity Settlement Services Inc 401(k) Plan reported participants fell from 261 in the plan year 2022 filing to 188 in the plan year 2023 filing.
  • Equity Settlement Services Inc 401(k) Plan end-of-year assets rose from $7M in the plan year 2022 filing to $7M in the plan year 2023 filing.

See the national 2022→2023 release diff →

Plan-year Form 5500 strip

Filing strip 113429460 · Equity Settlement Services Inc PY 2023 · 401(k)

Equity Settlement Services Inc 401(k) Plan · $7M · 188 · 51st

  • EOY $7M
  • EOY 188
  • EOY 51st
  • EOY 401(k)
  • EOY near Applied Felts, Inc., 401(k) Profit Sharing Plan and Trust
  • EOY ind #3278

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 →

Equity Settlement Services Inc 401(k) Plan in the asset neighbourhood

Equity Settlement Services Inc 401(k) PlanEquity Settlement Services I…$7MApplied Felts, Inc., 401(k) Profit Sharing Plan and TrustApplied Felts, Inc., 401(k) …$7MSafe-Harbor 401(k) Profit-Sharing Plan for Employees of B.T.O. Management CorporationSafe-Harbor 401(k) Profit-Sh…$7MParallel Ag. 401(k) Plan$7MCybernetics 401(k) Profit Sharing PlanCybernetics 401(k) Profit Sh…$7M
End-of-year total assets ($M) among Equity Settlement Services Inc 401(k) Plan and nearest nationwide 401(k) peers. Source: DOL Form 5500 plan year 2023.

New York filing particulars

Total Assets (Beginning of Year)$7M
Net Assets (End of Year)$7M
Net Income$443K
Employer EIN113429460
Plan Effective Date1992-01-01
Filing StatusFILING RECEIVED

Sponsor Plan History (Equity Settlement Services Inc)

Sponsor-wide plan assets over time

All Equity Settlement Services Inc plans reported in each filing year

Latest sponsor-wide plan assets
$8M 23.098912032944625% vs 2022
2024 filing year
$6.5M$7M$7.5M$8M$8.5M 202220232024 $6.69M $8.24M ▲ +23.2%
Year Plans Participants Total Assets
2022 1 261 $7M
2023 1 188 $7M
2024 1 179 $8M

Nearby 401(k) Plans in New York

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

Equity Settlement Services Inc 401(k) Plan vs. nearby 401(k) plans in New York, assets vs. participants Scatter plot of 6 data points. -50000050000100000150000 -20020406080 Total assets ($B) Participants Equity Settlement Services Inc 401(k) Plan, Total assets ($B): 0.007134682 · Participants: 188Equity Settlement Services Inc 401(k) 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
Equity Settlement Services Inc 401(k) Plan vs. nearby 401(k) plans in New York, assets vs. participants
Compare Equity Settlement Services Inc 401(k) Plan side-by-side with 3 peers →

Equity Settlement Services Inc 401(k) Plan's out-of-state 401(k) peers by assets and headcount

Outside New York, the nearest 401(k) by assets is Applied Felts, Inc., 401(k) Profit Sharing Plan and Trust in VA ($7M); by covered participants it is Advantmed 401(k) and Profit Sharing Plan in CA (188 participants). Same-state nearby plans are listed separately above.

Similar participant headcount

Nearest other-state filings by covered participants (188 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 Equity Settlement Services Inc 401(k) Plan assets move in 2023? ▼
Equity Settlement Services Inc 401(k) Plan grew at a solid clip - up 6.6% during 2023, from $7M to $7M. Reported net income was $443K.
How have Equity Settlement Services Inc plan assets changed over time? ▼
Across 3 plan years on file (2022-2024), Equity Settlement Services Inc's sponsor-wide assets grew 23.1%, from $7M to $8M.
Which 401(k) plans are similar in size to Equity Settlement Services Inc 401(k) Plan? ▼
Among 401(k) plans in other states, the closest by assets is Applied Felts, Inc., 401(k) Profit Sharing Plan and Trust in VA ($7M, 163 participants).
Which 401(k) plans cover a similar participant headcount to Equity Settlement Services Inc 401(k) Plan? ▼
Among 401(k) plans in other states, the closest by covered participants is Advantmed 401(k) and Profit Sharing Plan in CA (188 participants, $844K 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 113429460.

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.