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Original filing (PDF)20260112170608NAL0005545971001
ROCKEFELLER PHILANTHROPY ADVISORS, INC.
Form 5500
FILING_RECEIVED
ROCKEFELLER PHILANTHROPY ADVISORS 401(K) PLAN
401(k) retirement plan
Signals · 1
Late filing · 1.9 mo
Active participants
518
Accounts w/ balance
909
Plan assets (EOY)
$75.2M
Net assets (EOY)
$75.2M
How this plan invests
This plan
1 pooled trust
Schedule D
32 securities
funds · stocks · CUSIPs
Holdings are itemized directly on this plan's Schedule of Assets, below.
Plan health score (directional)
89
/ 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
92
Concentration risk
100
Total plan cost
65
Vendor stack
100
Participation health
100
Knocking points off
- Filed 1.9 months past the 10.5-month grace window.
- 25 bps in Schedule C fees — 53% above peer band of 16 bps.
Decision-maker contacts
CFO / Head of HR / Benefits Manager — verified email + LinkedIn for ROCKEFELLER PHILANTHROPY ADVISORS, INC..
Plan sponsor
Name
ROCKEFELLER PHILANTHROPY ADVISORS, INC.
EIN
13-3615533
Address
120 BROADWAY · SUITE 3475 · NEW YORK, NY · 10271
Phone
(212) 812-4330
Industry
Other Services (ex. Public Admin)see all
Plan administrator
Same as plan sponsor.
Plan characteristics
Plan number
002
Plan year
2024
Plan year begin
2024-01-01
Tax period
2024-12-31
Filed
2026-01-12
Pension benefit codes
2E · Profit-sharing
2F · ERISA section 404(c)
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)
2R · Participant-directed brokerage (SDBA)
Audit & trust (Schedule H)
Auditor
GRANT THORNTON LLP
Trustee / custodian
—
Trustee phone
—
Service providers (Schedule C)
4 rowsRecordkeeper
1| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| FIDELITY INVESTMENTS INSTITUTIONAL | 04-2647786 | — | RECORDKEEPER | $102K | — |
Advisor / Consultant
2| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| CBIZ INVESTMENT ADVISORY SERVICES | 81-3968784 | — | ADVISOR | $49K | — |
| STRATEGIC ADVISORS, INC. | 04-2654524 | — | ADVISOR | $11K | — |
Accountant / Auditor
1| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| GRANT THORNTON | 36-6055558 | — | ACCOUNTANT/AUDITOR | $22K | — |
Investments
31 direct securities · 1 pooled fund· $75.1M(100% 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.
Uncategorized
$72.8M
30 holdings
Mutual Funds
$1.6M
1 holding
Common Collective Trust
$678K
1 holding
| PI | Investment | Type | Shares / units | Cost | Current value | % of plan |
|---|---|---|---|---|---|---|
| Fidelity FID FDM IDX 2035 IPR | — | — | — | $15.1M | 20.1% | |
| Fidelity FID FDM IDX 2050 IPR | — | — | — | $9.3M | 12.3% | |
| Fidelity FID 500 INDEX | — | — | — | $8.4M | 11.2% | |
| Fidelity FID FDM IDX 2045 IPR | — | — | — | $8.1M | 10.7% | |
| Fidelity FID FDM IDX 2055 IPR | — | — | — | $5.5M | 7.3% | |
| Fidelity FID FDM IDX 2040 IPR | — | — | — | $4.6M | 6.1% | |
| Fidelity FID FDM IDX 2030 IPR | — | — | — | $3.4M | 4.5% | |
| Calvert US LG CP CRI R6 | — | — | — | $2.5M | 3.3% | |
| Fidelity FID FDM IDX 2060 IPR | — | — | — | $2.3M | 3.1% | |
| Calvert Bond I | — | — | — | $2.1M | 2.7% | |
| Vanguard Extended Market Index Fund #098 | — | — | — | $1.9M | 2.5% | |
| Fidelity FID FDM IDX 2025 IPR | — | — | — | $1.7M | 2.2% | |
| American Funds Growth Fund R6 | Mutual Funds | — | — | $1.6M | 2.1% | |
| Vanguard Developed Markets Index Fund #127 | — | — | — | $1.3M | 1.7% | |
| PGIM Total Return Bond-R6 | — | — | — | $784K | 1.0% | |
| Dodge & Cox Stock Fund #145 | — | — | — | $705K | 0.9% | |
| MIP CL 2 FIDELITY MANAGEMENT TRUST COMPANY · EIN 04-3022712 / PN 024 | Common Collective Trust | — | — | $678K | 0.9% | |
| American Funds AF Balanced R6 | — | — | — | $630K | 0.8% | |
| Fidelity FID FDM IDX 2065 IPR | — | — | — | $619K | 0.8% | |
| Fidelity FID SMALL CAP VALUE | — | — | — | $580K | 0.8% | |
| Self-directed account Tradelink Self-Directed Broker Account | — | — | — | $516K | 0.7% | |
| GQG Partners GQG EMRG MKTS EQ R6 | — | — | — | $487K | 0.6% | |
| Fidelity FID FDM IDX 2020 IPR | — | — | — | $472K | 0.6% | |
| Participants loans to participants with interest rates ranging from 4.25% to 9.5%; maturities through 2029 | — | — | — | $463K | 0.6% | |
| Fidelity FID FDM IDX 2070 IPR ** 99 Janus Henderson Janus Henderson Triton Fund Class N | — | — | — | $453K | 0.6% | |
| Columbia Threadneedle Overseas Value Fund Institutional 3 Class | — | — | — | $410K | 0.5% | |
| Fidelity FID FDM IDX INC IPR | — | — | — | $343K | 0.5% | |
| DWS REEF Real Estate Securities Fund - Class R6 | — | — | — | $116K | 0.2% | |
| Baird Aggregate Bond Fund Class Institutional | — | — | — | $64K | <0.1% | |
| Fidelity FID FDM IDX 2015 IPR | — | — | — | $43K | <0.1% | |
| Fidelity Government Money Market | — | — | — | $13K | <0.1% | |
| Fidelity FID FDM IDX 2010 IPR | — | — | — | $13K | <0.1% |
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