ESOP · DOL Form 5500 · 2023

Hcwhc Inc. ESOP

Data updated 2026-08-25

$242M
Total assets Near avg plan size
93
Participants Small participant base
95th
Percentile by assets National rank
$2.6M
Avg per participant High balance/head
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Official DOL plan name: H.C. Wainwright & Co. Employee Stock Ownership Plan · Sponsored by Hcwhc Inc. · New York · Finance & Insurance

$242M in assets, 93 participants

Hcwhc Inc.'s H.C. Wainwright & Co. Employee Stock Ownership Plan reported $242M in total assets and 93 participants in its 2023 DOL Form 5500 filing, ranking in the 95th 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.

  • #8,208 in Finance & Insurance (8,869 peers)

Where H.C. Wainwright & Co. Employee Stock Ownership Plan sits by assets

H.C. Wainwright & Co. Employee Stock Ownership Plan sits in the top 5% of all filed plans by assets, $242M for 93 participants (~$2.6M/participant), down 17.5% in 2023.

#8,208
in Finance & Insurance (8,869 peers)
-17.5%
assets change YoY
2.4×
vs typical plan assets (national mean)

The plan reported a net loss of $37M for the year, a single-year figure driven by markets and benefit payments, not a measure of plan health.

H.C. Wainwright & Co. Employee Stock Ownership Plan's outsized position by total assets

H.C. Wainwright & Co. Employee Stock Ownership Plan vs every filed plan by assets

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

$241,736,533 Top 5% higher than 95% 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

H.C. Wainwright & Co. Employee Stock Ownership Plan among smaller filed plans by headcount

Plan-year 2023 Form 5500 filings with a reported participant count, partitioned by headcount band, not by assets. H.C. Wainwright & Co. Employee Stock Ownership Plan is a small filing (93 participants) on this national headcount ladder.

What changed between DOL Form 5500 filings

plan year 2022 → plan year 2023

  • H.C. Wainwright & Co. Employee Stock Ownership Plan reported net income rose from -$473M in the plan year 2022 filing to -$37M in the plan year 2023 filing.
  • H.C. Wainwright & Co. Employee Stock Ownership Plan reported participants fell from 118 in the plan year 2022 filing to 93 in the plan year 2023 filing.
  • H.C. Wainwright & Co. Employee Stock Ownership Plan end-of-year assets fell from $293M in the plan year 2022 filing to $242M in the plan year 2023 filing.

See the national 2022→2023 release diff →

Form 5500 schedule snapshot

Filing strip 371868324 · Hcwhc Inc. PY 2023 · ESOP

H.C. Wainwright & Co. Employee Stock Ownership Plan · $242M · 93 · 95th

  • 5500 $242M
  • ASSETS 93
  • PCT 95th
  • EIN ESOP
  • RANK near Litehouse, Inc. Employee Stock Ownership Plan
  • PHOTO ind #8208

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 New York →

H.C. Wainwright & Co. Employee Stock Ownership Plan in the asset neighbourhood

First Amended and Restated Creative Financial Staffing, Inc. Employee Stock Ownership PlanFirst Amended and Restated C…$245MLitehouse, Inc. Employee Stock Ownership PlanLitehouse, Inc. Employee Sto…$242MH.C. Wainwright & Co. Employee Stock Ownership PlanH.C. Wainwright & Co. Employ…$242MMmc Corp Employee Stock Ownership PlanMmc Corp Employee Stock Owne…$240MLee Contracting, Inc. Employee Stock Ownership PlanLee Contracting, Inc. Employ…$238M
End-of-year total assets ($M) among H.C. Wainwright & Co. Employee Stock Ownership Plan and nearest nationwide ESOP peers. Source: DOL Form 5500 plan year 2023.

Scale-class filing particulars (2023)

Total Assets (Beginning of Year)$293M
Net Assets (End of Year)-$170M
Net Income-$37M
Employer EIN371868324
Plan Effective Date2019-01-01
Filing StatusFILING RECEIVED

Sponsor Plan History (Hcwhc Inc.)

Sponsor-wide plan assets over time

All Hcwhc Inc. plans reported in each filing year

Latest sponsor-wide plan assets
$228M 22.185438595592643% vs 2022
2024 filing year
$220M$240M$260M$280M$300M 202220232024 $293M $228M ▼ -22.2%
Year Plans Participants Total Assets
2022 1 118 $293M
2023 1 93 $242M
2024 1 97 $228M

Nearby ESOP Plans in New York

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

H.C. Wainwright & Co. Employee Stock Ownership Plan vs. nearby ESOP plans in New York, assets vs. participants Scatter plot of 6 data points. -1000010002000300040005000 02004006008001000 Total assets ($M) Participants H.C. Wainwright & Co. Employee Stock Ownership Plan, Total assets ($M): 241.736533 · Participants: 93H.C. Wainwright & Co. Employee Stock Ownership PlanStewart's Shops Corp Employee Stock Ownership Plan, Total assets ($M): 876.57583 · Participants: 3439Stewart's Shops Corp Employee Stock Ownership PlanNorth Coast Holdings Employee Stock Ownership Plan, Total assets ($M): 406.002646 · Participants: 4467North Coast Holdings Employee Stock Ownership PlanGriffon Corporation Employee Stock Ownership Plan, Total assets ($M): 298.738533 · Participants: 3674Griffon Corporation Employee Stock Ownership PlanGreenman-Pedersen, Inc. Employee Stock Ownership Plan, Total assets ($M): 247.681611 · Participants: 1704Greenman-Pedersen, Inc. Employee Stock Ownership PlanMarshall & Sterling Enterprises, Inc. Employee Stock Ownership Plan, Total assets ($M): 201.746967 · Participants: 494Marshall & Sterling Enterprises, Inc. Employee Stock Ownership Plan
H.C. Wainwright & Co. Employee Stock Ownership Plan vs. nearby ESOP plans in New York, assets vs. participants
Compare H.C. Wainwright & Co. Employee Stock Ownership Plan side-by-side with 3 peers →

H.C. Wainwright & Co. Employee Stock Ownership Plan's out-of-state ESOP peers by assets and headcount

Outside New York, the nearest ESOP by assets is Litehouse, Inc. Employee Stock Ownership Plan in ID ($242M); by covered participants it is Twin Mro Employee Stock Ownership Plan in CT (93 participants). Same-state nearby plans are listed separately above.

Similar participant headcount

Nearest other-state filings by covered participants (93 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 H.C. Wainwright & Co. Employee Stock Ownership Plan assets move in 2023? ▼
H.C. Wainwright & Co. Employee Stock Ownership Plan declined sharply - down 17.5% during 2023, from $293M to $242M. Reported net income was -$37M.
How have Hcwhc Inc. plan assets changed over time? ▼
Across 3 plan years on file (2022-2024), Hcwhc Inc.'s sponsor-wide assets declined 22.2%, from $293M to $228M.
Where does H.C. Wainwright & Co. Employee Stock Ownership Plan rank by assets among Form 5500 filers? ▼
H.C. Wainwright & Co. Employee Stock Ownership Plan ranks in the 95th percentile by end-of-year assets among 127,072 plans that reported assets for plan year 2023 (in the top 5% of all filed plans by assets).
Which ESOP plans are similar in size to H.C. Wainwright & Co. Employee Stock Ownership Plan? ▼
Among ESOP plans in other states, the closest by assets is Litehouse, Inc. Employee Stock Ownership Plan in ID ($242M, 1,015 participants).
Which ESOP plans cover a similar participant headcount to H.C. Wainwright & Co. Employee Stock Ownership Plan? ▼
Among ESOP plans in other states, the closest by covered participants is Twin Mro Employee Stock Ownership Plan in CT (93 participants, $83M 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 371868324.

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.