401(k) · DOL Form 5500 · 2023

Rockefeller Financial Services, Inc. 401(k) Plan

Data updated 2026-08-25

$181M
Total assets Near avg plan size
1,017
Participants Near avg headcount
94th
Percentile by assets National rank
$178,385
Avg per participant Above avg balance/head
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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.

  • #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.

#8,072
in Finance & Insurance (8,869 peers)
+26.0%
assets growth YoY
1.8×
vs typical plan assets (national mean)

Rockefeller 401(k) Savings and Retirement Plan's outsized position by total assets

Rockefeller 401(k) Savings and Retirement Plan vs every filed plan by assets

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

$181,417,825 Top 6% higher than 94% 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

Rockefeller 401(k) Savings and Retirement Plan's large-plan peer group by participant headcount

Plan-year 2023 Form 5500 filings with a reported participant count, partitioned by headcount band, not by assets. Rockefeller 401(k) Savings and Retirement Plan lands in the large band (1,017 participants).

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.

See the national 2022→2023 release diff →

DOL schedule card

Filing strip 133006574 · Rockefeller Financial Services, Inc. PY 2023 · 401(k)

Rockefeller 401(k) Savings and Retirement Plan · $181M · 1,017 · 94th

  • SCH $181M
  • SCH 1,017
  • SCH 94th
  • SCH 401(k)
  • SCH near Bay Medical Management, LLC 401(k) Profit Sharing Plan
  • SCH ind #8072

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 →

Rockefeller 401(k) Savings and Retirement Plan in the asset neighbourhood

Rockefeller 401(k) Savings and Retirement PlanRockefeller 401(k) Savings a…$181MBay Medical Management, LLC 401(k) Profit Sharing PlanBay Medical Management, LLC …$181MSafran Cabin Inc. 401(k) Savings PlanSafran Cabin Inc. 401(k) Sav…$181MTopcon America Corporation 401(k) PlanTopcon America Corporation 4…$181MSims Group USA Holdings Corp 401(k) PlanSims Group USA Holdings Corp…$181M
End-of-year total assets ($M) among Rockefeller 401(k) Savings and Retirement Plan and nearest nationwide 401(k) peers. Source: DOL Form 5500 plan year 2023.

Scale-class filing particulars (2023)

Total Assets (Beginning of Year)$144M
Net Assets (End of Year)$181M
Net Income$37M
Employer EIN133006574
Plan Effective Date1962-01-01
Filing StatusFILING RECEIVED

Sponsor Plan History (Rockefeller Financial Services, Inc.)

Sponsor-wide plan assets over time

All Rockefeller Financial Services, Inc. plans reported in each filing year

Latest sponsor-wide plan assets
$236M 64.26425436483026% vs 2022
2024 filing year
$100M$150M$200M$250M 202220232024 $144M $236M ▲ +64.3%
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 Scatter plot of 6 data points. -50000050000100000150000 -20020406080 Total assets ($B) Participants Rockefeller 401(k) Savings and Retirement Plan, Total assets ($B): 0.181417825 · Participants: 1017Rockefeller 401(k) Savings and Retirement 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
Rockefeller 401(k) Savings and Retirement Plan vs. nearby 401(k) plans in New York, assets vs. participants
Compare Rockefeller 401(k) Savings and Retirement Plan side-by-side with 3 peers →

Rockefeller 401(k) Savings and Retirement Plan's out-of-state 401(k) peers by assets and headcount

Outside New York, the nearest 401(k) by assets is Bay Medical Management, LLC 401(k) Profit Sharing Plan in CA ($181M); by covered participants it is Origin Bancorp, Inc. Employee Retirement Plan in LA (1,017 participants). Same-state nearby plans are listed separately above.

Closest by plan assets

Nearest other-state filings by tot_assets_eoy ($181M here).

Similar participant headcount

Nearest other-state filings by covered participants (1,017 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 Rockefeller 401(k) Savings and Retirement Plan assets move in 2023? ▼
Rockefeller 401(k) Savings and Retirement Plan grew sharply - up 26.0% during 2023, from $144M to $181M. Reported net income was $37M.
How have Rockefeller Financial Services, Inc. plan assets changed over time? ▼
Across 3 plan years on file (2022-2024), Rockefeller Financial Services, Inc.'s sponsor-wide assets grew 64.3%, from $144M to $236M.
Where does Rockefeller 401(k) Savings and Retirement Plan rank by assets among Form 5500 filers? ▼
Rockefeller 401(k) Savings and Retirement Plan ranks in the 94th percentile by end-of-year assets among 127,072 plans that reported assets for plan year 2023 (in the top 10% of all filed plans by assets).
Which 401(k) plans are similar in size to Rockefeller 401(k) Savings and Retirement Plan? ▼
Among 401(k) plans in other states, the closest by assets is Bay Medical Management, LLC 401(k) Profit Sharing Plan in CA ($181M, 286 participants).
Which 401(k) plans cover a similar participant headcount to Rockefeller 401(k) Savings and Retirement Plan? ▼
Among 401(k) plans in other states, the closest by covered participants is Origin Bancorp, Inc. Employee Retirement Plan in LA (1,017 participants, $101M 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 133006574.

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.