Back to filter
Original filing (PDF)20251014061051NAL0001056691001
EQUITY SETTLEMENT SERVICES INC
Form 5500
FILING_RECEIVED
EQUITY SETTLEMENT SERVICES INC 401(K) PLAN
401(k) retirement plan
Active participants
178
Accounts w/ balance
151
Plan assets (EOY)
$8.2M
Net assets (EOY)
$8.2M
How this plan invests
This plan
1 pooled trust
Schedule D
28 securities
funds · stocks · CUSIPs
Holdings are itemized directly on this plan's Schedule of Assets, below.
Plan health score (directional)
100
/ 100
Grade A
Top-tier plan health
Directional indicator computed from public Form 5500 data — compliance, concentration, cost, vendor stack and participation. Not a fiduciary tool.
Compliance & disclosures
100
Concentration risk
100
Total plan cost
100
Vendor stack
100
Participation health
100
Helping the score
- Below-peer total fees (3 bps vs 52 bps peer median).
Decision-maker contacts
CFO / Head of HR / Benefits Manager — verified email + LinkedIn for EQUITY SETTLEMENT SERVICES INC.
Plan sponsor
Name
EQUITY SETTLEMENT SERVICES INC
EIN
11-3429460
Address
444 ROUTE 111 · SMITHTOWN, NY · 11787
Phone
(631) 370-1134
Industry
Insurance Agencies & Brokerages· Finance & Insurancesee all
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
2025-10-14
Pension benefit codes
2E · Profit-sharing
2F · ERISA section 404(c)
2G · Total participant-directed accounts
2J · 401(k) feature
2S · Automatic enrollment
2T · Default investment account (QDIA)
3D · Pre-approved plan (master / prototype / VS)
3H · Sponsor in controlled / affiliated group
Audit & trust (Schedule H)
Auditor
BMKR LLP
Trustee / custodian
—
Trustee phone
—
Service providers (Schedule C)
3 rowsRecordkeeper
2| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| ADP, INC. | 13-3036745 | — | RECORD KEEPER | $2K | — |
| ADP BROKER-DEALER | 22-3319984 | — | RECORD KEEPER | $0 | — |
Advisor / Consultant
1| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| NYLIFE SECURITIES | — | BROOMFIELD, CO | ADVISOR | $0 | — |
Investments
27 direct securities · 1 pooled fund· $8.1M(98% of reported assets)
Rows tagged as a trust or pooled fund hold many underlying securities. Click one to drill into its own Schedule of Assets — where the individual funds, shares, and CUSIPs live.
Registered Investment Companies
$7.7M
27 holdings
Common Collective Trust
$351K
1 holding
| PI | Investment | Type | Shares / units | Cost | Current value | % of plan |
|---|---|---|---|---|---|---|
| HARTFORD CAPITAL APPR - R4 | Registered Investment Companies | — | — | $836K | 10.2% | |
| BLACKROCK GLOBAL ALLOCATION A | Registered Investment Companies | — | — | $822K | 10.0% | |
| BLACKROCK EQUITY DIVIDEND - A | Registered Investment Companies | — | — | $768K | 9.3% | |
| T.ROWE PRICE RETIREMENT 2050-R | Registered Investment Companies | — | — | $692K | 8.4% | |
| PGIM JENNISON FOCUSED GROWTH A | Registered Investment Companies | — | — | $654K | 7.9% | |
| GS SMALL CAP VALUE FUND - A | Registered Investment Companies | — | — | $641K | 7.8% | |
| T.ROWE PRICE RETIREMENT 2040-R | Registered Investment Companies | — | — | $567K | 6.9% | |
| T.ROWE PRICE RETIREMENT 2030-R | Registered Investment Companies | — | — | $411K | 5.0% | |
| VICTORY EMERGING MARKETS A | Registered Investment Companies | — | — | $375K | 4.5% | |
| INVESCO STABLE ASSET INVESCO TRUST COMPANY · EIN 27-3884161 / PN 001 | Common Collective Trust | — | — | $351K | 4.3% | |
| PGIM JENN NATURAL RESOURCES A | Registered Investment Companies | — | — | $335K | 4.1% | |
| GS DYNAMIC GLOBAL EQUITY - A | Registered Investment Companies | — | — | $277K | 3.4% | |
| T.ROWE PRICE RETIREMENT 2020-R | Registered Investment Companies | — | — | $178K | 2.2% | |
| PUTNAM MORTGAGE SECURITIES A 103 REGISTERED INVESTMENT COMPANY FIDELITY ADVISOR LEV CO STK M | Registered Investment Companies | — | — | $170K | 2.1% | |
| GS BALANCED STRATEGY - A | Registered Investment Companies | — | — | $162K | 2.0% | |
| JANUS H OVERSEAS FUND - S | Registered Investment Companies | — | — | $157K | 1.9% | |
| COL SELIGMAN TECH AND INFO A | Registered Investment Companies | — | — | $118K | 1.4% | |
| INVESCO GOLD & SPEC MIN -A | Registered Investment Companies | — | — | $107K | 1.3% | |
| DWS GLOBAL HIGH INCOME S | Registered Investment Companies | — | — | $75K | 0.9% | |
| INVESCO GLBL STRAT INC A | Registered Investment Companies | — | — | $73K | 0.9% | |
| PGIM SHORT-TERM CORP BOND - A | Registered Investment Companies | — | — | $71K | 0.9% | |
| PIMCO TOTAL RETURN FUND - A | Registered Investment Companies | — | — | $64K | 0.8% | |
| THORNBURG INTL EQUITY - R4 | Registered Investment Companies | — | — | $63K | 0.8% | |
| INVESCO HEALTH CARE - A | Registered Investment Companies | — | — | $49K | 0.6% | |
| PIMCO REAL RETURN FUND - A | Registered Investment Companies | — | — | $45K | 0.5% | |
| T.ROWE PRICE RETIREMENT 2010-R | Registered Investment Companies | — | — | $24K | 0.3% | |
| T. ROWE PRICE RETIRE BALANCE R | Registered Investment Companies | — | — | $8K | <0.1% | |
| PUTNAM INT CAPITAL OPP -A | Registered Investment Companies | — | — | $7K | <0.1% |
Related plans
Other plans using ADP, INC.
THE COMMITTEE OF THE UAW RETIREE MEDICAL BENEFITS TRUST
UAW GM RETIREES MEDICAL BENEFITS PLAN
$30.6B
TRUSTEES OF THE NATIONAL ELECTRICAL BENEFIT FUND
NATIONAL ELECTRICAL BENEFIT FUND
$20.4B · 343,794 participants
THE COMMITTEE OF THE UAW RETIREE MEDICAL BENEFITS TRUST
UAW FORD RETIREES MEDICAL BENEFITS PLAN
$19.6B
NATIONAL RURAL ELECTRIC COOPERATIVE ASSOCIATION
401(K) PENSION PLAN
$16.8B · 61,593 participants
THE COMMITTEE OF THE UAW RETIREE MEDICAL BENEFITS TRUST
UAW CHRYSLER RETIREES MEDICAL BENEFITS PLAN
$12.7B
NATIONAL RURAL ELECTRIC COOPERATIVE ASSOCIATION
RETIREMENT SECURITY PLAN
$11.5B · 56,128 participants
Similar-size Insurance Agencies & Brokerages plans
LABOR FIRST, LLC
LABOR FIRST, LLC 401(K) PLAN
$8.2M · 207 participants
PARIS-KIRWAN ASSOCIATES, INC.
PARIS-KIRWAN ASSOCIATES, INC. PROFIT SHARING/401(K) PLAN
$8.2M · 47 participants
BENELOGIC, LLC
BENELOGIC RETIREMENT PLAN
$8.3M · 27 participants
LACHER & ASSOCIATES INSURANCE AGENCY, INC.
LACHER & ASSOCIATES 401(K) RETIREMENT PLAN
$8.2M · 49 participants
CHURCH & CASUALTY INSURANCE AGENCY, INC.
CHURCH & CASUALTY INSURANCE AGENCY, INC. 401(K) PLAN
$8.3M · 49 participants
BILL FRALIC INSURANCE SERVICES, INC.
BILL FRALIC INSURANCE SERVICES, INC. 401(K) PROFIT SHARING PLAN
$8.3M · 12 participants
Large plans in New York
INTERNATIONAL BUSINESS MACHINES CORPORATION
IBM 401(K) PLAN
$60.4B · 49,030 participants
TEACHERS INSURANCE & ANNUITY ASSOCIATION OF AMERICA
TIAA REAL ESTATE ACCOUNT
$25.2B
JPMORGAN CHASE BANK, N.A.
COMMINGLED PENSION TRUST FUND (STRATEGIC PROPERTY) OF JPMORGAN CHASE BANK, N.A.
$24.3B
MORGAN STANLEY DOMESTIC HOLDINGS, LLC
MORGAN STANLEY 401(K) PLAN
$22.2B · 54,084 participants
PFIZER INC
PFIZER SAVINGS PLAN
$22.0B · 29,469 participants
JPMORGAN CHASE BANK, N.A.
COMMINGLED PENSION TRUST FUND (EQUITY INDEX) OF JPMORGAN CHASE BANK, N.A.
$20.0B