How big is ROTH & Company LLP's plan?

ROTH & Company LLP's plan reported $12.4M in assets and 157 participants for 2024.

Original filing (PDF)20250918112220NAL0000628883001

ROTH & Company LLP

Name: ROTH & Company LLP — ROTH & Company, LLP 401(k) Plan, Form 5500 (2024)
Creator: ROTH & Company LLP
License: https://www.usa.gov/government-works

Form 5500

FILING_RECEIVED

ROTH & Company, LLP 401(k) Plan

401(k) retirement plan · ROTH & Company LLP's ROTH & Company, LLP 401(k) Plan held $12.4M in plan assets for 157 participants in 2024, with Vanguard as recordkeeper.

Signals · 1

Late participant contributions

Active participants

157

Accounts w/ balance

128

Plan assets (EOY)

$12.4M

Net assets (EOY)

$12.4M

People on this filing

Zacharia Waxler signed ROTH & Company LLP's 2024 Form 5500 as plan administrator.

Zacharia Waxler — 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

ROTH & Company LLP's EIN is 11-3360065.

EIN 11-3360065

Plan number 001

Plan year 2024

ACK ID 20250918112220NAL0000628883001

Official Form 5500 document

Download the official 2024 Form 5500 (PDF) for ROTH & Company LLP from the U.S. Department of Labor's EFAST2 system.

Download the official 2024 Form 5500 (PDF)

Plan features

ROTH & Company LLP's plan includes ERISA 404(c) participant direction, profit-sharing, a 401(k) feature, a default investment (QDIA).

Decision-maker contacts

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

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How this plan invests

This plan

44 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

Total plan cost

Plan health

Vendor & structure

100

Knocking points off

Delinquent participant contributions reported (Schedule H 4a) — 49K (4% of contributions).
Low account-holder ratio — balance-holders per active participant in the bottom quartile of peers (16th percentile).

Plan sponsor

Name

ROTH & COMPANY LLP

EIN

all filings

Address

1428 - 36TH STREET · SUITE 200 · BROOKLYN, NY · 11218

Phone

(718) 975-5300

Industry

CPA Offices· 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

2025-09-18

Pension benefit codes

2F · ERISA section 404(c)

2E · Profit-sharing

2G · Total participant-directed accounts

2J · 401(k) feature

2K · 401(m) arrangement

2T · Default investment account (QDIA)

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

Audit & trust (Schedule H)

Service providers (Schedule C)

2 rows

Recordkeeper

Name	EIN	Location	Relation	Direct comp	Indirect comp
THE VANGUARD GROUP, INC.	83-1945930	—	RECORDKEEPER	$10K	—

Advisor / Consultant

Name	EIN	Location	Relation	Direct comp	Indirect comp
EQUINUM	83-4651316	—	ADVISOR	$34K	—

Investments

44 direct securities· $12.2M(98% of reported assets)

Mutual Funds

$8.9M

36 holdings

Common Collective Trusts

$2.8M

4 holdings

U.S. Treasuries

$486K

3 holdings

Participant loans

$48K

1 holding

					% of plan
Fidelity 500 Index Fund	Common Collective Trusts	—	—	$1.4M	11.6%
Vanguard Target Retirement 2035 Fund	Mutual Funds	—	—	$1.4M	11.5%
Vanguard Target Retirement 2040 Fund	Mutual Funds	—	—	$1.1M	8.7%
Fidelity Large Cap Growth Index	Mutual Funds	—	—	$1.1M	8.6%
Fidelity Total Market Index Fund	Common Collective Trusts	—	—	$892K	7.2%
Vanguard Mid-Cap Value Index Adm	Mutual Funds	—	—	$593K	4.8%
Vanguard Mid-Cap Growth Index Adm	Mutual Funds	—	—	$548K	4.4%
Vanguard Small-Cap Growth Index Adm	Mutual Funds	—	—	$547K	4.4%
Fidelity Small Cap Index	Mutual Funds	—	—	$490K	3.9%
Fidelity U.S. Bond Index Fund	Common Collective Trusts	—	—	$474K	3.8%
Vanguard Target Retirement 2050 Fund	Mutual Funds	—	—	$416K	3.3%
Fidelity Emerging Markets Index	Mutual Funds	—	—	$303K	2.4%
Fidelity International Index	Mutual Funds	—	—	$300K	2.4%
Vanguard Target Retirement 2030 Fund	Mutual Funds	—	—	$279K	2.2%
Vanguard Pacific Stock Index Adm	Mutual Funds	—	—	$255K	2.1%
Vanguard Treasury Money Market	Mutual Funds	—	—	$227K	1.8%
Fidelity Short-Term Treasury Bond Ind	U.S. Treasuries	—	—	$218K	1.8%
Fidelity Long-Term Treasury Bond Ind	U.S. Treasuries	—	—	$170K	1.4%
Vanguard Small-Cap Value Index Adm	Mutual Funds	—	—	$152K	1.2%
Vanguard Information Tech Index Adm	Mutual Funds	—	—	$152K	1.2%
Vanguard Target Retirement 2055 Fund	Mutual Funds	—	—	$150K	1.2%
Fidelity Inflation-Protected Bond Ind	Mutual Funds	—	—	$100K	0.8%
Fidelity Intermediate Treas Bond Ind	U.S. Treasuries	—	—	$98K	0.8%
Vanguard Target Retirement 2045 Fund	Mutual Funds	—	—	$94K	0.8%
Vanguard Dividend Apprec Index Adm	Mutual Funds	—	—	$87K	0.7%
Vanguard Global Minimum Volatility Adm	Mutual Funds	—	—	$86K	0.7%
Vanguard Interm-Term Bond Index Adm	Mutual Funds	—	—	$86K	0.7%
Fidelity Short-Term Bond Index	Mutual Funds	—	—	$84K	0.7%
Vanguard Target Retirement 2065 Fund	Mutual Funds	—	—	$84K	0.7%
Fidelity Mid Cap Index	Mutual Funds	—	—	$73K	0.6%
Vanguard Target Retirement 2060 Fund	Mutual Funds	—	—	$67K	0.5%
Participant loans Interest rate of 9% 0	Participant loans	—	—	$48K	0.4%
Vanguard High Yield Corp Adm	Mutual Funds	—	—	$45K	0.4%
Vanguard Real Estate Index Adm	Mutual Funds	—	—	$41K	0.3%
Vanguard Communications Services Adm	Mutual Funds	—	—	$18K	0.1%
Vanguard Consumer Discretionary Idx Adm	Common Collective Trusts	—	—	$12K	<0.1%
Vanguard Health Care Index Adm	Mutual Funds	—	—	$11K	<0.1%
Vanguard Cash Reserves Federal MM Adm	Mutual Funds	—	—	$10K	<0.1%
Fidelity Large Cap Value Index	Mutual Funds	—	—	$7K	<0.1%
Vanguard Financials Index Adm	Mutual Funds	—	—	$6K	<0.1%
Vanguard European Stock Index Adm	Mutual Funds	—	—	$5K	<0.1%
Vanguard Energy Index Adm	Mutual Funds	—	—	$4K	<0.1%
Vanguard Target Retirement 2020 Fund	Mutual Funds	—	—	$1K	<0.1%
Vanguard Consumer Staples Index Adm	Mutual Funds	—	—	$1K	<0.1%