Back to filter
Original filing (PDF)20250630130218NAL0011823249001
ETHAN ALLEN GLOBAL, INC.
Form 5500
FILING_RECEIVED
THE ETHAN ALLEN RETIREMENT SAVINGS PLAN
401(k) retirement plan
Signals · 1
6 service providers
Active participants
1,913
Accounts w/ balance
3,261
Plan assets (EOY)
$230.2M
Net assets (EOY)
$230.2M
How this plan invests
This plan
16 pooled trusts
Schedule D
30 securities
funds · stocks · CUSIPs
Holdings are itemized directly on this plan's Schedule of Assets, below.
Plan health score (directional)
91
/ 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
65
Vendor stack
100
Participation health
100
Knocking points off
- 20 bps in Schedule C fees — 100% above peer band of 10 bps.
Decision-maker contacts
CFO / Head of HR / Benefits Manager — verified email + LinkedIn for ETHAN ALLEN GLOBAL, INC..
Plan sponsor
Name
ETHAN ALLEN GLOBAL, INC.
EIN
20-2991357
Address
ETHAN ALLEN DRIVE · ATTN CORPORATE BENEFITS DEPT. · DANBURY, CT · 06811
Phone
(203) 743-8000
Industry
Manufacturingsee all
Plan administrator
Same as plan sponsor.
Plan characteristics
Plan number
003
Plan year
2024
Plan year begin
2024-01-01
Tax period
2024-12-31
Filed
2025-06-30
Pension benefit codes
2E · Profit-sharing
2F · ERISA section 404(c)
2G · Total participant-directed accounts
2J · 401(k) feature
2K · 401(m) arrangement
2R · Participant-directed brokerage (SDBA)
2T · Default investment account (QDIA)
3D · Pre-approved plan (master / prototype / VS)
Audit & trust (Schedule H)
Auditor
COHNREZNICK LLP
Trustee / custodian
—
Trustee phone
—
Service providers (Schedule C)
6 rowsRecordkeeper
1| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| EMPOWER RETIREMENT | 84-1455663 | — | RECORDKEEPER | $177K | — |
Advisor / Consultant
2| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| EMPOWER ADVISORY GROUP, LLC | — | GREENWOOD VILLAGE, CO | INVESTMENT MANAGEMENT | $181K | — |
| CAPFINANCIAL PARTNERS LLC | — | RALEIGH, NC | INVESTMENT ADVISOR | $28K | — |
Accountant / Auditor
1| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| COHNREZNICK LLP | 33-4144829 | NEW YORK, NY | AUDITOR | $41K | — |
Other
2| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| LOCKTON COMPANIES LLC | — | DALLAS, TX | OTHER | $31K | — |
| THE MANDMARBLESTONE GROUP LLC | 20-4780677 | HAVERTOWN, PA | OTHER | $1K | — |
Investments
14 direct securities · 16 pooled funds· $227.9M(99% 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.
Common Collective Trust
$139.8M
16 holdings
Uncategorized
$83.3M
12 holdings
Common Stocks
$3.5M
1 holding
Mutual Funds
$1.3M
1 holding
| PI | Investment | Type | Shares / units | Cost | Current value | % of plan |
|---|---|---|---|---|---|---|
| WINSLOW LARGE CAP GROWTH FUND SEI TRUST COMPANY · EIN 84-4914573 / PN 142 | Common Collective Trust | — | $3.2M | $35.9M | 15.6% | |
| Vanguard Institutional Index Fund 45,369 shares | — | — | $45K | $21.7M | 9.4% | |
| T. ROWE PRICE RETIREMENT 2030 TRUST T. ROWE PRICE TRUST COMPANY · EIN 38-7010946 / PN 001 | Common Collective Trust | — | $608K | $19.1M | 8.3% | |
| PUTNAM STABLE VALUE FUND PUTNAM FIDUCIARY TRUST COMPANY, LLC · EIN 04-3159710 / PN 202 | Common Collective Trust | — | $18.2M | $18.2M | 7.9% | |
| Vanguard Total Bond Market Index 1,479,649 shares | — | — | $1.5M | $14.0M | 6.1% | |
| Carillon Eagle MidCap Growth Fund 162,564 shares | — | — | $163K | $11.4M | 5.0% | |
| T. ROWE PRICE RETIREMENT 2040 TRUST T. ROWE PRICE TRUST COMPANY · EIN 35-6941729 / PN 001 | Common Collective Trust | — | $307K | $11.0M | 4.8% | |
| Vanguard Total International Stock Index Fund 83,167 shares | — | — | $83K | $10.5M | 4.6% | |
| T. ROWE PRICE RETIREMENT 2025 TRUST T. ROWE PRICE TRUST COMPANY · EIN 37-6495447 / PN 001 | Common Collective Trust | — | $336K | $9.7M | 4.2% | |
| T. ROWE PRICE RETIREMENT 2035 TRUST T. ROWE PRICE TRUST COMPANY · EIN 36-7595013 / PN 001 | Common Collective Trust | — | $268K | $9.1M | 3.9% | |
| MFS MID CAP VALUE FUND GREAT GRAY TRUST COMPANY, LLC · EIN 38-4139822 / PN 616 | Common Collective Trust | — | $374K | $8.1M | 3.5% | |
| T. ROWE PRICE RETIREMENT 2020 TRUST T. ROWE PRICE TRUST COMPANY · EIN 36-7594871 / PN 001 | Common Collective Trust | — | $300K | $7.9M | 3.4% | |
| T. ROWE PRICE RETIREMENT 2050 TRUST T. ROWE PRICE TRUST COMPANY · EIN 30-6303214 / PN 001 | Common Collective Trust | — | $155K | $5.8M | 2.5% | |
| T. ROWE PRICE RETIREMENT 2045 TRUST T. ROWE PRICE TRUST COMPANY · EIN 32-6199848 / PN 001 | Common Collective Trust | — | $148K | $5.5M | 2.4% | |
| Vanguard Equity Income Fund Admiral Shares 62,017 shares | — | — | $62K | $5.5M | 2.4% | |
| Fidelity Total Bond Fund 625,313 shares | — | — | $625K | $5.4M | 2.4% | |
| Dodge & Cox International Stock Fund 92,883 shares | — | — | $93K | $4.6M | 2.0% | |
| Vanguard Extended Market Index Fund 31,656 shares | — | — | $32K | $4.6M | 2.0% | |
| T. ROWE PRICE RETIREMENT 2055 TRUST T. ROWE PRICE TRUST COMPANY · EIN 35-6941728 / PN 001 | Common Collective Trust | — | $103K | $3.8M | 1.7% | |
| * Ethan Allen Interiors Inc. Common Stock, 124,330 shares held | Common Stocks | — | $124K | $3.5M | 1.5% | |
| T. ROWE PRICE RETIREMENT 2010 TRUST T. ROWE PRICE TRUST COMPANY · EIN 32-6199795 / PN 001 | Common Collective Trust | — | $115K | $2.5M | 1.1% | |
| Participant Loans Participant Loans (various interest rates ranging * Notes Receivable from Participants | — | — | — | $2.5M | 1.1% | |
| Various, including registered investment companies, Self-Directed Brokerage Fund | — | — | — | $2.1M | 0.9% | |
| American Beacon Small Cap Value Investor Fund 53,768 shares | Mutual Funds | — | $54K | $1.3M | 0.6% | |
| T. ROWE PRICE RETIREMENT 2060 TRUST T. ROWE PRICE TRUST COMPANY · EIN 47-1088316 / PN 001 | Common Collective Trust | — | $54K | $1.3M | 0.6% | |
| T. ROWE PRICE RETIREMENT 2015 TRUST T. ROWE PRICE TRUST COMPANY · EIN 35-6941654 / PN 001 | Common Collective Trust | — | $42K | $1.0M | 0.4% | |
| Wasatch Core Growth Fund 6,642 shares | — | — | $7K | $597K | 0.3% | |
| T. ROWE PRICE RETIREMENT 2005 TRUST T. ROWE PRICE TRUST COMPANY · EIN 61-6434302 / PN 001 | Common Collective Trust | — | $26K | $539K | 0.2% | |
| T. ROWE PRICE RETIREMENT 2065 TRUST T. ROWE PRICE TRUST COMPANY · EIN 85-1763138 / PN 001 | Common Collective Trust | — | $29K | $431K | 0.2% | |
| Fidelity Advisor International Capital Appreciation 6,241 shares | — | — | $6K | $199K | <0.1% |