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Original filing (PDF)20250929112642NAL0011247105001
RUBENSTEIN ASSOCIATES, INC.
Form 5500
FILING_RECEIVED
RUBENSTEIN 401(K) PLAN
401(k) retirement plan
Active participants
125
Accounts w/ balance
210
Plan assets (EOY)
$37.2M
Net assets (EOY)
$37.2M
How this plan invests
This plan
30 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 (2 bps vs 29 bps peer median).
Decision-maker contacts
CFO / Head of HR / Benefits Manager — verified email + LinkedIn for RUBENSTEIN ASSOCIATES, INC..
Plan sponsor
Name
RUBENSTEIN ASSOCIATES, INC.
EIN
13-2540840
Address
825 EIGHTH AVENUE · 34TH FLOOR · NEW YORK, NY · 10019
Phone
(212) 843-8488
Industry
All Other Professional Services· Professional & Technical Servicessee 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
2025-09-29
Pension benefit codes
2E · Profit-sharing
2F · ERISA section 404(c)
2G · Total participant-directed accounts
2J · 401(k) feature
2K · 401(m) arrangement
2S · Automatic enrollment
2T · Default investment account (QDIA)
3H · Sponsor in controlled / affiliated group
3D · Pre-approved plan (master / prototype / VS)
Audit & trust (Schedule H)
Auditor
KP LYNCH, CPA PC
Trustee / custodian
—
Trustee phone
—
Service providers (Schedule C)
2 rowsRecordkeeper
1| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| FIDELITY INVESTMENTS INSTITUTIONAL | 04-2647786 | — | RECORDKEEPER | -$52K | — |
Advisor / Consultant
1| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| OSAIC WEALTH INC | 93-0987232 | — | ADVISOR | $58K | — |
Investments
30 direct securities· $36.9M(99% of reported assets)
| PI | Investment | Type | Shares / units | Cost | Current value | % of plan |
|---|---|---|---|---|---|---|
| Fidelity Advisor Freedom 2035 Class Z | — | — | — | $7.2M | 19.3% | |
| Fidelity 500 Index Fund | — | — | — | $4.2M | 11.3% | |
| Fidelity Advisor New Insights Fund Class I | — | — | — | $4.0M | 10.8% | |
| Fidelity Advisor Freedom 2025 Class Z | — | — | — | $2.9M | 7.7% | |
| Fidelity Government Money Market Fund | — | — | — | $2.4M | 6.6% | |
| Fidelity Advisor Freedom 2040 Class Z | — | — | — | $2.3M | 6.1% | |
| Fidelity Advisor Freedom 2050 Class Z | — | — | — | $1.6M | 4.4% | |
| Fidelity Advisor Freedom 2030 Class Z | — | — | — | $1.5M | 4.1% | |
| BlackRock Equity Dividend Fund Investor I | — | — | — | $1.5M | 4.1% | |
| Fidelity Advisor Freedom 2055 Class Z | — | — | — | $1.3M | 3.5% | |
| Fidelity Advisor Freedom 2045 Class Z | — | — | — | $1.3M | 3.4% | |
| Fidelity Advisor Freedom 2020 Class Z | — | — | — | $1.1M | 3.0% | |
| Fidelity Advisor Freedom 2015 Class Z | — | — | — | $776K | 2.1% | |
| Fidelity Advisor Freedom 2060 Class Z | — | — | — | $698K | 1.9% | |
| Fidelity Advisor Small Cap Value Fund Class I | — | — | — | $638K | 1.7% | |
| Fidelity Mid Cap Index Fund | — | — | — | $525K | 1.4% | |
| T. Rowe Price Overseas Stock Fund Class I | — | — | — | $480K | 1.3% | |
| PIMCO Total Return Fund Institutional Class | — | — | — | $420K | 1.1% | |
| Victory Sycamore Established Value Fund Class I | — | — | — | $373K | 1.0% | |
| Fidelity Small Cap Index Fund | — | — | — | $325K | 0.9% | |
| Invesco Oppenheimer Discovery Mid Cap Growth Fund Y | — | — | — | $256K | 0.7% | |
| Fidelity Advisor International Small Cap Fund Class I | — | — | — | $253K | 0.7% | |
| Fidelity Advisor Strategic Income Fund Class I | — | — | — | $248K | 0.7% | |
| Fidelity Advisor International Discovery Fund Class I | — | — | — | $191K | 0.5% | |
| Notes receivable from participants | — | — | — | $106K | 0.3% | |
| Fidelity Advisor Freedom 2065 Class Z | — | — | — | $86K | 0.2% | |
| Fidelity Inflation-Protected Bond Index Fund | — | — | — | $73K | 0.2% | |
| PGIM High Yield Fund - Class 6 | — | — | — | $49K | 0.1% | |
| Fidelity Advisor Government Income Fund Class I | — | — | — | $33K | <0.1% | |
| Fidelity Advisor Floating Rate High Income Fund Class I | — | — | — | $26K | <0.1% |