Original filing (PDF)20251010105404NAL0007987537001

ROCKEFELLER & ROCKEFELLER ET AL.

Name: ROCKEFELLER & ROCKEFELLER ET AL. — E&H 401(K) SAVINGS AND RETIREMENT PLAN, Form 5500 (2024)
Creator: ROCKEFELLER & ROCKEFELLER ET AL.

Form 5500

FILING_RECEIVED

E&H 401(K) SAVINGS AND RETIREMENT PLAN

401(k) retirement plan

Signals · 2

46% employer stockCorrective distributions issued

Active participants

188

Accounts w/ balance

321

Plan assets (EOY)

$51.5M

Net assets (EOY)

$51.5M

How this plan invests

This plan

32 securities

funds · stocks · CUSIPs

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

Plan health score

Top-tier plan health

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

Corrective distributions issued (likely failed ADP/ACP testing).

Helping the score

High account-holder ratio — balance-holders per active participant in the top 15% of peers (88th percentile).

Decision-maker contacts

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

Plan sponsor

Name

ROCKEFELLER & ROCKEFELLER ET AL.

EIN

13-3306788

Address

45 ROCKEFELLER PLAZA FLOOR 5 · NEW YORK, NY · 10111

Phone

(212) 549-5100

Industry

Finance & Insurancesee all

Plan administrator

Same as plan sponsor.

Plan characteristics

Plan number

334

Plan year

2024

Plan year begin

2024-01-01

Tax period

2024-12-31

Filed

2025-10-10

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)

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

Audit & trust (Schedule H)

Auditor

CROWE LLP

Trustee / custodian

—

Trustee phone

—

Service providers (Schedule C)

1 rows

Recordkeeper

Name	EIN	Location	Relation	Direct comp	Indirect comp
EMPOWER LIFE & ANNUITY INSURANCE CO	84-0467907	—	NONE	$36K	—

Investments

32 direct securities· $51.0M(99% of reported assets)

Other securities

$23.7M

13 holdings

Common Stock

$23.5M

18 holdings

Cash / Money Market

$3.7M

1 holding

					% of plan
Fidelity Investments Fidelity 500 Index Fund	Other securities	—	—	$9.6M	18.5%
Vanguard Group Inc. Vanguard Target Retirement 2025 Fund	Common Stock	—	—	$6.0M	11.7%
Vanguard Group Inc. Vanguard Target Retirement 2035 Fund	Common Stock	—	—	$4.7M	9.1%
Capital Research & Management Company American Funds - New Perspective Fund (R6)	Other securities	—	—	$4.3M	8.3%
Vanguard Group Inc. Vanguard Admiral Treasury Money Market Fund	Cash / Money Market	—	—	$3.7M	7.2%
Dodge & Cox Dodge & Cox Stock Fund	Other securities	—	—	$2.6M	5.1%
American Funds The Grow th Fund of America (R6)	Other securities	—	—	$2.1M	4.1%
Vanguard Group Inc. Vanguard Target Retirement 2045 Fund	Common Stock	—	—	$2.0M	3.9%
Vanguard Group Inc. Vanguard Target Retirement 2055 Fund	Common Stock	—	—	$1.7M	3.4%
Vanguard Group Inc. Vanguard Target Retirement 2050 Fund	Common Stock	—	—	$1.6M	3.1%
Vanguard Group Inc. Vanguard Target Retirement Income Fund	Common Stock	—	—	$1.3M	2.6%
Dodge & Cox Income Fund	Other securities	—	—	$1.3M	2.5%
Vanguard Group Inc. Vanguard Short-Term Bond Index Fund (Admiral)	Common Stock	—	—	$1.2M	2.4%
Fidelity Investments Fidelity Small Cap Index Fund	Other securities	—	—	$1.1M	2.2%
Vanguard Group Inc. Vanguard Target Retirement 2030 Fund	Common Stock	—	—	$1.1M	2.1%
Vanguard Group Inc. Vanguard Target Retirement 2040 Fund	Common Stock	—	—	$1.1M	2.1%
Massachusetts Financial Services MFS Grow th Fund (R6)	Other securities	—	—	$1.0M	1.9%
Columbia Overseas Value Institutional Fund 3	Other securities	—	—	$742K	1.4%
Vanguard Group Inc. Vanguard Target Retirement 2020 Fund	Common Stock	—	—	$671K	1.3%
Vanguard Group Inc. Vanguard Target Retirement 2070 Fund ** 520 Capital Research & Management Company American Funds - Washington Mutual Investors Fund (R6)	Common Stock	—	—	$507K	1.0%
Vanguard Group Inc. Vanguard Total Bond Market Index Fund (Admiral)	Common Stock	—	—	$480K	0.9%
American Funds American Cent Small Cap Value Fund (R6)	Other securities	—	—	$385K	0.7%
Vanguard Group Inc. Vanguard Target Retirement 2060 Fund	Common Stock	—	—	$384K	0.7%
Fidelity Investments Fidelity International Index Fund	Other securities	—	—	$285K	0.6%
Vanguard Group Inc. Vanguard High-Yield Corporate Fund (Admiral)	Common Stock	—	—	$257K	0.5%
Fidelity Investments Fidelity Mid Cap Index Fund	Other securities	—	—	$223K	0.4%
Vanguard Group Inc. Vanguard Emerging Markets Stock Index Fund (Admiral)	Common Stock	—	—	$176K	0.3%
Vanguard Group Inc. Vanguard Inflation-Protected Securities Fund (Admiral)	Common Stock	—	—	$154K	0.3%
Artisan Partners Small Cap Fund Institutional	Other securities	—	—	$85K	0.2%
Vanguard Group Inc. Vanguard Emerging Markets Bond Investor Fund	Common Stock	—	—	$45K	<0.1%
T. Row e Price Overseas Stock Fund	Other securities	—	—	$38K	<0.1%
Vanguard Group Inc. Vanguard Target Retirement 2065 Fund	Common Stock	—	—	$32K	<0.1%