401(k) · DOL Form 5500 · 2023

Imperial Capital, LLC 401(k) Plan

Data updated 2026-08-25

$38M
Total assets Below avg plan size
134
Participants Small participant base
82nd
Percentile by assets National rank
$284,002
Avg per participant High balance/head
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Official DOL plan name: The Imperial Capital, LLC 401(k) Plan · Sponsored by Imperial Capital, LLC · California · Finance & Insurance

$38M in assets, 134 participants

Imperial Capital, LLC's The Imperial Capital, LLC 401(k) Plan reported $38M in total assets and 134 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.

  • #6,477 in Finance & Insurance (8,869 peers)

Coverage in California

The Imperial Capital, LLC 401(k) Plan covers 134 participants in California, about 21% of the average California filer (state average ~630 per filing). Assets: $38M.

#6,477
in Finance & Insurance (8,869 peers)
+17.0%
assets growth YoY
0.4×
vs typical plan assets (national mean)

The Imperial Capital, LLC 401(k) Plan's outsized position by total assets

The Imperial Capital, LLC 401(k) Plan vs every filed plan by assets

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

$38,056,249 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

The Imperial Capital, LLC 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. The Imperial Capital, LLC 401(k) Plan sits mid-pack in the medium band (134 participants).

What changed between DOL Form 5500 filings

plan year 2022 → plan year 2023

  • The Imperial Capital, LLC 401(k) Plan reported net income rose from -$7M in the plan year 2022 filing to $6M in the plan year 2023 filing.
  • The Imperial Capital, LLC 401(k) Plan end-of-year assets rose from $33M in the plan year 2022 filing to $38M in the plan year 2023 filing.
  • The Imperial Capital, LLC 401(k) Plan reported participants fell from 152 in the plan year 2022 filing to 134 in the plan year 2023 filing.

See the national 2022→2023 release diff →

Published 5500 schedule card

Filing strip 954644495 · Imperial Capital, LLC PY 2023 · 401(k)

The Imperial Capital, LLC 401(k) Plan · $38M · 134 · 82nd

  • ASSETS $38M
  • PCT 134
  • EIN 82nd
  • RANK 401(k)
  • PHOTO near Penhall International Corp. and Affiliated Companies Employees' Profit
  • IND ind #6477

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 California →

The Imperial Capital, LLC 401(k) Plan in the asset neighbourhood

The Imperial Capital, LLC 401(k) PlanThe Imperial Capital, LLC 40…$38MPenhall International Corp. and Affiliated Companies Employees' ProfitPenhall International Corp. …$38ME C Company Employees Retirement and Savings PlanE C Company Employees Retire…$38MCo-Op 401(k) Plan$38MMycronic 401(k) Plan$38M
End-of-year total assets ($M) among The Imperial Capital, LLC 401(k) Plan and nearest nationwide 401(k) peers. Source: DOL Form 5500 plan year 2023.

California filing particulars

Total Assets (Beginning of Year)$33M
Net Assets (End of Year)$38M
Net Income$6M
Employer EIN954644495
Plan Effective Date1993-07-01
Filing StatusFILING RECEIVED

Sponsor Plan History (Imperial Capital, LLC)

Sponsor-wide plan assets over time

All Imperial Capital, LLC plans reported in each filing year

Latest sponsor-wide plan assets
$45M 37.72764999366694% vs 2022
2024 filing year
$30M$35M$40M$45M$50M 202220232024 $32.5M $44.8M ▲ +37.7%
Year Plans Participants Total Assets
2022 1 152 $33M
2023 1 134 $38M
2024 1 118 $45M

Nearby 401(k) Plans in California

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

The Imperial Capital, LLC 401(k) Plan vs. nearby 401(k) plans in California, assets vs. participants Scatter plot of 6 data points. -50000050000100000150000200000250000 -200204060 Total assets ($B) Participants The Imperial Capital, LLC 401(k) Plan, Total assets ($B): 0.038056249 · Participants: 134The Imperial Capital, LLC 401(k) PlanWells Fargo & Company 401(k) Plan, Total assets ($B): 51.831350351 · Participants: 193919Wells Fargo & Company 401(k) PlanGoogle LLC 401(k) Savings Plan, Total assets ($B): 39.047152408 · Participants: 122867Google LLC 401(k) Savings PlanOracle Corporation 401(k) Savings and Investment Plan, Total assets ($B): 26.320437734 · Participants: 63105Oracle Corporation 401(k) Savings and Investment PlanIntel 401(k) Savings Plan, Total assets ($B): 22.17918189 · Participants: 59863Intel 401(k) Savings PlanApple 401(k) Plan, Total assets ($B): 19.779511539 · Participants: 106111Apple 401(k) Plan
The Imperial Capital, LLC 401(k) Plan vs. nearby 401(k) plans in California, assets vs. participants
Compare The Imperial Capital, LLC 401(k) Plan side-by-side with 3 peers →

The Imperial Capital, LLC 401(k) Plan's out-of-state 401(k) peers by assets and headcount

Outside California, the nearest 401(k) by assets is Penhall International Corp. and Affiliated Companies Employees' Profit in TX ($38M); by covered participants it is Reed Oil Company 401(k) Profit Sharing Plan in PA (134 participants). Same-state nearby plans are listed separately above.

Closest by plan assets

Nearest other-state filings by tot_assets_eoy ($38M here).

Similar participant headcount

Nearest other-state filings by covered participants (134 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 The Imperial Capital, LLC 401(k) Plan assets move in 2023? ▼
The Imperial Capital, LLC 401(k) Plan grew sharply - up 17.0% during 2023, from $33M to $38M. Reported net income was $6M.
How have Imperial Capital, LLC plan assets changed over time? ▼
Across 3 plan years on file (2022-2024), Imperial Capital, LLC's sponsor-wide assets grew 37.7%, from $33M to $45M.
Where does The Imperial Capital, LLC 401(k) Plan rank by assets among Form 5500 filers? ▼
The Imperial Capital, LLC 401(k) Plan 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 401(k) plans are similar in size to The Imperial Capital, LLC 401(k) Plan? ▼
Among 401(k) plans in other states, the closest by assets is Penhall International Corp. and Affiliated Companies Employees' Profit in TX ($38M, 732 participants).
Which 401(k) plans cover a similar participant headcount to The Imperial Capital, LLC 401(k) Plan? ▼
Among 401(k) plans in other states, the closest by covered participants is Reed Oil Company 401(k) Profit Sharing Plan in PA (134 participants, $15M 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 954644495.

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.