Original filing (PDF)20250930141112NAL0005534019001

SIEBERT WILLIAMS SHANK & CO., LLC

Name: SIEBERT WILLIAMS SHANK & CO., LLC — SIEBERT WILLIAMS SHANK & CO., LLC 401K SAVINGS PLAN, Form 5500 (2024)
Creator: SIEBERT WILLIAMS SHANK & CO., LLC

Form 5500

FILING_RECEIVED

SIEBERT WILLIAMS SHANK & CO., LLC 401K SAVINGS PLAN

401(k) retirement plan

Signals · 2

63% in single holdingNo recordkeeper disclosed

Active participants

146

Accounts w/ balance

201

Plan assets (EOY)

$57.5M

Net assets (EOY)

$57.5M

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 (directional)

/ 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

Total plan cost

100

Vendor stack

Participation health

100

Knocking points off

Top holding "CHARLES SCHWAB PERSONAL CHOICE RETIREMENT ACCOUNT" is 63% of plan.
No recordkeeper disclosed on Schedule C.

Helping the score

Below-peer total fees (0 bps vs 16 bps peer median).

Decision-maker contacts

CFO / Head of HR / Benefits Manager — verified email + LinkedIn for SIEBERT WILLIAMS SHANK & CO., LLC.

Plan sponsor

Name

SIEBERT WILLIAMS SHANK & CO., LLC

EIN

13-3932653

Address

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

Phone

(510) 645-2245

Industry

Finance & Insurancesee 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

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)

Audit & trust (Schedule H)

Auditor

GRASSI & CO., CPAS P.C.

Trustee / custodian

—

Trustee phone

—

Service providers (Schedule C)

1 rows

Other

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)

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