401(k) · DOL Form 5500 · 2023
Rockefeller Financial Services, Inc. 401(k) Plan
Data updated 2026-08-11
- $181M
- Total assets
- 1,017
- Participants
- 94th
- Percentile by assets
- $178,385
- Avg per participant
Official DOL plan name: Rockefeller 401(k) Savings and Retirement Plan · Sponsored by Rockefeller Financial Services, Inc. · New York · Finance & Insurance
$181M in assets, 1,017 participants
Rockefeller Financial Services, Inc.'s Rockefeller 401(k) Savings and Retirement Plan reported $181M in total assets and 1,017 participants in its 2023 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 127,072 plans)
- #8,072 in Finance & Insurance (8,869 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, $181M for 1,017 participants (~$178,385/participant), up 26.0% in 2023.
- $181M
- total plan assets (2023 EOY)
- 1,017
- covered participants
- 94th
- percentile by assets (of 127,072 plans)
- $178,385
- avg assets per participant
What changed between DOL Form 5500 filings
plan year 2022 → plan year 2023
- Rockefeller 401(k) Savings and Retirement Plan reported net income rose from -$2M in the plan year 2022 filing to $37M in the plan year 2023 filing.
- Rockefeller 401(k) Savings and Retirement Plan reported participants rose from 741 in the plan year 2022 filing to 1,017 in the plan year 2023 filing.
- Rockefeller 401(k) Savings and Retirement Plan end-of-year assets rose from $144M in the plan year 2022 filing to $181M in the plan year 2023 filing.
Rockefeller 401(k) Savings and Retirement Plan vs the 2023 asset distribution
By assets, Rockefeller 401(k) Savings and Retirement Plan outranks 94% of the 127,072 plans that filed a Form 5500 for the 2023 plan year, and holds roughly 1.8x the national average plan size of $100M (721 average participants).
Scale-class filing particulars (2023)
| Total Assets (Beginning of Year) | $144M |
|---|---|
| Net Assets (End of Year) | $181M |
| Net Income | $37M |
| Employer EIN | 133006574 |
| Plan Effective Date | 1962-01-01 |
| Filing Status | FILING RECEIVED |
Sponsor Plan History (Rockefeller Financial Services, Inc.)
| 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
- IBM 401 (K) Plus Plan $57.4B · 54,912
- Pfizer Savings Plan $19.6B · 30,033
- Morgan Stanley 401(k) Plan $19.2B · 55,363
- The Pepsico Savings Plan $13.7B · 133,597
- The Goldman Sachs 401(k) Plan $11.4B · 24,866
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.
- Bay Medical Management, LLC 401(k) Profit Sharing Plan (CA) $181M · 286
- Safran Cabin Inc. 401(k) Savings Plan (CA) $181M · 2,189
- Topcon America Corporation 401(k) Plan (NJ) $181M · 1,188
- Sims Group USA Holdings Corp 401(k) Plan (IL) $181M · 1,725
Frequently Asked Questions
How did Rockefeller 401(k) Savings and Retirement Plan assets move in 2023? ▼
How have Rockefeller Financial Services, Inc. plan assets changed over time? ▼
Where does Rockefeller 401(k) Savings and Retirement Plan rank by assets among Form 5500 filers? ▼
Which 401(k) plans are similar in size to Rockefeller 401(k) Savings and Retirement Plan? ▼
Next read for Rockefeller 401(k) Savings and Retiremen…
Scale reading
Ways to act on Rockefeller 401(k) Savings and Retirement Plan's numbers.
- By total assets, Rockefeller 401(k) Savings and Retirement Plan ranks in the top 10% of all filed plans by assets. See the largest plans
- Compare it side-by-side against 3 similar 401(k) plans in New York. Compare plans
- Rockefeller Financial Services, Inc.'s sponsor-wide assets have grown 64.3% since 2022 across 3 plan years on file. More Finance & Insurance plans