How big is BTIG, LLC's plan?

BTIG, LLC's plan reported $142.2M in assets and 585 participants for 2024.

Original filing (PDF)20251013161805NAL0000823139001

BTIG, LLC

Name: BTIG, LLC — BTIG, LLC 401(k) Plan, Form 5500 (2024)
Creator: BTIG, LLC
License: https://www.usa.gov/government-works

Form 5500

FILING_RECEIVED

BTIG, LLC 401(k) Plan

401(k) retirement plan · BTIG, LLC's BTIG, LLC 401(k) Plan held $142.2M in plan assets for 585 participants in 2024, with John Hancock as recordkeeper.

Signals · 1

Self-directed brokerage offered

Active participants

585

Accounts w/ balance

669

Plan assets (EOY)

$142.2M

Net assets (EOY)

$142.2M

People on this filing

Brian Endres signed BTIG, LLC's 2024 Form 5500 as plan administrator.

Brian Endres — Plan Administrator — Form 5500 signer

Get verified email & phone for these signers

Signer names are public record from the Form 5500 e-signature.

Plan identifiers

BTIG, LLC's EIN is 04-3695739.

EIN 04-3695739

Plan number 001

Plan year 2024

ACK ID 20251013161805NAL0000823139001

Official Form 5500 document

Download the official 2024 Form 5500 (PDF) for BTIG, LLC from the U.S. Department of Labor's EFAST2 system.

Download the official 2024 Form 5500 (PDF)

Plan features

BTIG, LLC's plan includes profit-sharing, ERISA 404(c) participant direction, a 401(k) feature, a self-directed brokerage window, a default investment (QDIA).

Decision-maker contacts

One unlock reveals every key decision-maker — plan signer, CFO, HR & Benefits — with verified email + LinkedIn for BTIG, LLC.

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How this plan invests

This plan

41 securities

funds · stocks · CUSIPs

Holdings are itemized directly on this plan's Schedule of Assets, below.

Plan health score

Above-average plan

Directional indicator from public Form 5500 data — compliance & integrity, total plan cost, participant health and vendor stack, benchmarked against same-size peers. Not a fiduciary tool.

Compliance & integrity

100

Total plan cost

Plan health

Vendor & structure

100

Plan sponsor

Name

BTIG, LLC

EIN

all filings

Address

350 BUSH STREET, 9TH FLOOR · SAN FRANCISCO, CA · 94104

Phone

(415) 248-2200

Industry

Professional & Technical Services

Plan administrator

Same as plan sponsor.

Plan characteristics

Plan number

001

Plan year

2024

Plan year begin

2024-01-01

Tax period

2024-12-31

Filed

2025-10-13

Pension benefit codes

2E · Profit-sharing

2F · ERISA section 404(c)

2G · Total participant-directed accounts

2J · 401(k) feature

2R · Participant-directed brokerage (SDBA)

2T · Default investment account (QDIA)

3D · Pre-approved plan (master / prototype / VS)

3H · Sponsor in controlled / affiliated group

Service providers (Schedule C)

3 rows

Recordkeeper

Name	EIN	Location	Relation	Direct comp	Indirect comp
JOHN HANCOCK	01-0233346	—	NONE	$109K	—

Investment manager

Name	EIN	Location	Relation	Direct comp	Indirect comp
NEWPORT CAPITAL ADVISERS	—	QUINCY, MA	NONE	$123K	—

Other service providers

Investments

41 direct securities· $138.3M(97% of reported assets)

Other securities

$53.8M

16 holdings

Mutual Funds

$47.9M

21 holdings

Common Collective Trusts

$29.9M

1 holding

Stable Value

$3.2M

1 holding

Self-Directed Brokerage

$2.5M

1 holding

Bonds / Notes

$1.1M

1 holding

					% of plan
Vanguard 500 Index Fd Admiral Mutual Fund	Common Collective Trusts	—	—	$29.9M	21.1%
The Growth Fund of America R6 Mutual Fund	Other securities	—	—	$13.2M	9.3%
JP Morgan U.S. Equity Fd R6 Mutual Fund	Other securities	—	—	$8.0M	5.6%
American New Perspective R6 Mutual Fund	Other securities	—	—	$5.7M	4.0%
Vanguard Mid Cap Index Adm Mutual Fund	Mutual Funds	—	—	$5.5M	3.9%
T Rowe Price Ret 2035 I Mutual Fund	Mutual Funds	—	—	$5.2M	3.7%
T Rowe Price Ret 2045 I Mutual Fund	Mutual Funds	—	—	$5.0M	3.5%
Vanguard Sm Cap Index Fd Adm Mutual Fund	Mutual Funds	—	—	$4.5M	3.2%
Eagle Mid Cap Growth Fund R6 Mutual Fund	Other securities	—	—	$4.3M	3.1%
American Balanced Fund R6 Mutual Fund	Other securities	—	—	$4.1M	2.9%
T Rowe Price Ret 2030 1 Mutual Fund	Mutual Funds	—	—	$3.6M	2.5%
T Rowe Price Ret 2050 I Mutual Fund	Mutual Funds	—	—	$3.4M	2.4%
NYL Guaranteed Int Acct BT02SL Guaranteed Investment Contract	Stable Value	—	—	$3.2M	2.2%
T Rowe Price Ret 2040 I Mutual Fund	Mutual Funds	—	—	$3.1M	2.2%
T Rowe Price Ret 2060 I Mutual Fund	Mutual Funds	—	—	$3.0M	2.1%
T Rowe Price Ret 2055 I Mutual Fund	Mutual Funds	—	—	$2.9M	2.1%
JP Morgan Mid Cap Value Fd R6 Mutual Fund	Other securities	—	—	$2.9M	2.0%
PGIM Total Return Bond R6 Mutual Fund	Other securities	—	—	$2.8M	2.0%
American Wash Mutual Inv Fd R6 Mutual Fund	Other securities	—	—	$2.8M	2.0%
Vanguard Dev Mrkts Indx Adm Mutual Fund	Mutual Funds	—	—	$2.6M	1.8%
Self-directed Brokerage Account b	Self-Directed Brokerage	—	—	$2.5M	1.7%
American EuroPacific Growth R6 Mutual Fund	Other securities	—	—	$1.9M	1.4%
Vanguard Fed Money Market Mutual Fund	Mutual Funds	—	—	$1.8M	1.3%
American Century Sm Cap Value Mutual Fund	Other securities	—	—	$1.8M	1.2%
Vanguard International Value Mutual Fund	Mutual Funds	—	—	$1.5M	1.1%
DFA Emerging Markets Core Eq I Mutual Fund	Mutual Funds	—	—	$1.5M	1.0%
Macquarie Small Cap Core R6 Mutual Fund	Other securities	—	—	$1.3M	0.9%
T Rowe Price Ret 2020 1 Mutual Fund	Mutual Funds	—	—	$1.3M	0.9%
Carillon Scout Mid Cap Cl I Mutual Fund	Other securities	—	—	$1.3M	0.9%
American Cap Income Builder R6 Mutual Fund	Other securities	—	—	$1.3M	0.9%
Virtus KAR Intl SmallCap R6 Mutual Fund	Other securities	—	—	$1.1M	0.8%
Notes receivable from participants Maturity dates from March 2025 to June Interest rates 4.25% to 10%	Bonds / Notes	—	—	$1.1M	0.8%
T Rowe Price Ret 2025 I Mutual Fund	Mutual Funds	—	—	$888K	0.6%
T Rowe Price Ret 2065 I Mutual Fund	Mutual Funds	—	—	$856K	0.6%
Allspring Govt Securities I Mutual Fund	Other securities	—	—	$804K	0.6%
PIMCO Real Return Instl Mutual Fund	Mutual Funds	—	—	$630K	0.4%
Pioneer Strategic Income K Mutual Fund	Other securities	—	—	$390K	0.3%
T Rowe Price Ret 2010 I Mutual Fund	Mutual Funds	—	—	$255K	0.2%
T Rowe Price Ret 2015 I Mutual Fund	Mutual Funds	—	—	$200K	0.1%
T Rowe Price Ret Balanced I Mutual Fund	Mutual Funds	—	—	$140K	<0.1%
T Rowe Price Retire 2005 I Mutual Fund	Mutual Funds	—	—	$38K	<0.1%