How big is Siebert Williams Shank & Co., LLC's plan?

Siebert Williams Shank & Co., LLC's plan reported $57.5M in assets and 146 participants for 2024.

Original filing (PDF)20250930141112NAL0005534019001

Siebert Williams Shank & Co., LLC

Name: Siebert Williams Shank & Co., LLC — Siebert Williams, Form 5500 (2024)
Creator: Siebert Williams Shank & Co., LLC
License: https://www.usa.gov/government-works

Form 5500

FILING_RECEIVED

Siebert Williams Shank & Co., LLC 401(k) Savings Plan

401(k) retirement plan · Siebert Williams Shank & Co., LLC's Siebert Williams Shank & Co., LLC 401(k) Savings Plan held $57.5M in plan assets for 146 participants in 2024, with The Standard (StanCorp) as recordkeeper.

Signals · 3

63% in single holdingHigh average account balanceSelf-directed brokerage offered

Active participants

146

Accounts w/ balance

201

Plan assets (EOY)

$57.5M

Net assets (EOY)

$57.5M

Plan identifiers

Siebert Williams Shank & Co., LLC's EIN is 13-3932653.

EIN 13-3932653

Plan number 002

Plan year 2024

ACK ID 20250930141112NAL0005534019001

Official Form 5500 document

Download the official 2024 Form 5500 (PDF) for Siebert Williams Shank & Co., LLC from the U.S. Department of Labor's EFAST2 system.

Download the official 2024 Form 5500 (PDF)

Plan features

Siebert Williams Shank & Co., LLC's plan includes profit-sharing, ERISA 404(c) participant direction, a 401(k) feature, a self-directed brokerage window, automatic enrollment, a default investment (QDIA).

Decision-maker contacts

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How this plan invests

This plan

38 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

100

Total plan cost

Plan health

Vendor & structure

100

Helping the score

Below-peer total plan cost (93rd percentile).
High average account balance (91st percentile).

Plan sponsor

Name

SIEBERT WILLIAMS SHANK & CO., LLC

EIN

all filings

Address

100 WALL ST, 18TH FLOOR · NEW YORK CITY, NY · 10005

Phone

(510) 645-2245

Industry

Finance & Insurance

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

2025-09-30

Pension benefit codes

2E · Profit-sharing

2F · ERISA section 404(c)

2G · Total participant-directed accounts

2J · 401(k) feature

2R · Participant-directed brokerage (SDBA)

2S · Automatic enrollment

2T · Default investment account (QDIA)

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

Service providers (Schedule C)

1 rows

Recordkeeper

Name	EIN	Location	Relation	Direct comp	Indirect comp
STANCORP FINANCIAL GROUP	93-1253576	—	NONE	$1K	—

Investments

38 direct securities· $57.5M(100% of reported assets)

Self-Directed Brokerage

$36.2M

1 holding

Other securities

$10.6M

12 holdings

Common Collective Trusts

$5.8M

1 holding

Mutual Funds

$4.5M

23 holdings

Bonds / Notes

$406K

1 holding

					% of plan
CHARLES SCHWAB PERSONAL CHOICE RETIREMENT ACCOUNT	Self-Directed Brokerage	—	—	$36.2M	63.0%
FIDELITY 500 INDEX FUND	Common Collective Trusts	—	—	$5.8M	10.1%
THE STANDARD STABLE ASSET A	Other securities	—	—	$5.0M	8.7%
HARBOR CAPIAL HARBOR CAPITAL APPRECIATION FUND RETIREMENT CLA	Other securities	—	—	$2.5M	4.3%
JP MORGAN JPMORGAN US EQUITY R6	Other securities	—	—	$1.0M	1.8%
AMERICAN FUNDS AMERICAN FUNDS 2050 TRGT DATE RETIRE R6	Mutual Funds	—	—	$857K	1.5%
VANGUARD BALANCED INDEX ADM	Mutual Funds	—	—	$640K	1.1%
WELLS FARGO ADVANTAGE DISCOVERY R6	Other securities	—	—	$551K	1.0%
JP MORGAN JPMORGAN EQUITY INCOME R6	Other securities	—	—	$536K	0.9%
FIDELITY MID CAP INDEX FD	Mutual Funds	—	—	$488K	0.8%
INVESCO GOLD & SPECIAL MINERALS FUND	Mutual Funds	—	—	$450K	0.8%
JP MORGAN JPMORGAN SMALL CAP GROWTH R6	Other securities	—	—	$428K	0.7%
Participant Loans Interest rates ranging from 4.25% to 9.50% $ -0-	Bonds / Notes	—	—	$406K	0.7%
FIDELITY SMALL CAP INDEX FD INSTL PREMIUM CL	Mutual Funds	—	—	$273K	0.5%
WESTERN ASSET CORE BOND IS	Other securities	—	—	$269K	0.5%
AMERICAN FUNDS AMERICAN FUNDS 2035 TRGT DATE RETIRE R6	Mutual Funds	—	—	$267K	0.5%
FIDELITY VANGUARD WELLESLEY INCOME ADMIRAL	Mutual Funds	—	—	$199K	0.3%
FIDELITY ADVISOR INTL CAPITAL APPRECIATION FD Z	Mutual Funds	—	—	$187K	0.3%
AMERICAN FUNDS AMERICAN FUNDS 2030 TRGT DATE RETIRE R6	Mutual Funds	—	—	$169K	0.3%
AMERICAN FUNDS AMERICAN FUNDS 2040 TRGT DATE RETIRE R6	Mutual Funds	—	—	$141K	0.2%
AMERICAN FUNDS AMERICAN FUNDS 2060 TARGET DATE RET R6	Mutual Funds	—	—	$134K	0.2%
T. ROWE T.ROWE PRICE MID-CAP VALUE I	Other securities	—	—	$134K	0.2%
MFS VANGUARD HIGH-YIELD CORPORATE ADM	Mutual Funds	—	—	$123K	0.2%
AMERICAN FUNDS AMERICAN FUNDS EUROPACIFIC GR R6	Mutual Funds	—	—	$116K	0.2%
FRANKLIN SMALL CAP VALUE R6	Mutual Funds	—	—	$87K	0.2%
AMERICAN FUNDS AMERICAN FUNDS 2045 TRGT DATE RETIRE R6	Mutual Funds	—	—	$76K	0.1%
COHEN & STEER COHEN & STEERS INSTL REALTY SHARES	Other securities	—	—	$73K	0.1%
INVESCO DEVELOPING MARKETS FUND	Mutual Funds	—	—	$72K	0.1%
PIMCO INCOME INSTL	Mutual Funds	—	—	$64K	0.1%
AMERICAN FUNDS AMERICAN FUNDS AMERICAN BALANCED R6	Mutual Funds	—	—	$64K	0.1%
AMERICAN FUNDS AMERICAN FUNDS CAPITAL WORLD G/I R6	Mutual Funds	—	—	$45K	<0.1%
MFS INTERNATIONAL DIVERSIFICATION FUND CLASS R6	Mutual Funds	—	—	$31K	<0.1%
AMERICAN FUNDS AMERICAN FUNDS 2055 TRGT DATE RETIRE R6	Mutual Funds	—	—	$31K	<0.1%
PRUDENTIAL GLOBAL TOTAL RETURN Q	Other securities	—	—	$27K	<0.1%
ROYCE INTERNATIONAL PREMIER	Other securities	—	—	$27K	<0.1%
PIGM QMA INTL EQTY R6	Other securities	—	—	$17K	<0.1%
AMERICAN FUNDS AMERICAN FUNDS 2010 TRGT DATE RETIRE R6	Mutual Funds	—	—	$3K	<0.1%
AMERICAN FUNDS AMERICAN FUNDS 2025 TRGT DATE RETIRE R6	Mutual Funds	—	—	$3K	<0.1%