Original filing (PDF)20251009162902NAL0011883456001

S. ROTHSCHILD & CO., INC.

Name: S. ROTHSCHILD & CO., INC. — S. ROTHSCHILD & CO., INC. 401(K) SAVINGS PLAN, Form 5500 (2024)
Creator: S. ROTHSCHILD & CO., INC.

Form 5500

FILING_RECEIVED

S. ROTHSCHILD & CO., INC. 401(K) SAVINGS PLAN

401(k) retirement plan

Active participants

121

Accounts w/ balance

126

Plan assets (EOY)

$16.9M

Net assets (EOY)

$16.9M

How this plan invests

This plan

52 pooled trusts

Schedule D

4 securities

funds · stocks · CUSIPs

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

Plan health score (directional)

100

/ 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

100

Vendor stack

100

Participation health

Decision-maker contacts

CFO / Head of HR / Benefits Manager — verified email + LinkedIn for S. ROTHSCHILD & CO., INC..

Plan sponsor

Name

S. ROTHSCHILD & CO., INC.

EIN

23-1539342

Address

1407 BROADWAY · 10TH FLOOR · NEW YORK, NY · 10018

Phone

(212) 354-8550

Industry

Manufacturingsee all

Plan administrator

Same as plan sponsor.

Plan characteristics

Plan number

001

Plan year

2024

Plan year begin

2024-01-01

Tax period

2024-12-31

Filed

2025-10-09

Pension benefit codes

2E · Profit-sharing

2F · ERISA section 404(c)

2G · Total participant-directed accounts

2J · 401(k) feature

2K · 401(m) arrangement

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

2T · Default investment account (QDIA)

Audit & trust (Schedule H)

Service providers (Schedule C)

3 rows

Recordkeeper

Name	EIN	Location	Relation	Direct comp	Indirect comp
JOHN HANCOCK LIFE INS CO OF NY	13-3646501	—	RECORDKEEPER	$2K	—

Advisor / Consultant

Name	EIN	Location	Relation	Direct comp	Indirect comp
VIABLE	88-2589377	—	RIA	$26K	—
LPL FINANCIAL LLC - RPCP	04-3046611	—

Investments

4 direct securities · 52 pooled funds· $19.8M(100% of reported assets)

Rows tagged as a trust or pooled fund hold many underlying securities. Their holdings are itemized on each fund’s own Form 5500.

Pooled Separate Account

$15.8M

52 holdings

Other securities

$3.8M

3 holdings

Bonds / Notes

$222K

1 holding

					% of plan
JH Multimanager Balanced LS Pooled Separate Account	Other securities	—	—	$2.0M	11.9%
JH MULTIMANAGER BALANCED LS JOHN HANCOCK LIFE INSURANCE COMPANY OF NEW YORK · EIN 01-0233346 / PN 000	Pooled Separate Account	—	—	$1.4M	8.4%
JH Multimanager Growth LS Pooled Separate Account	Other securities	—	—	$1.1M	6.4%
JH MULTIMANAGER MODERATE LS JOHN HANCOCK LIFE INSURANCE COMPANY OF NEW YORK · EIN 01-0233346 / PN 000	Pooled Separate Account	—	—	$1.0M	6.1%
ROYCE SMALL-CAP OPPORTUNITY JOHN HANCOCK LIFE INSURANCE COMPANY OF NEW YORK · EIN 01-0233346 / PN 000	Pooled Separate Account	—	—	$893K	5.3%
FIDELITY CONTRAFUND JOHN HANCOCK LIFE INSURANCE COMPANY OF NEW YORK · EIN 01-0233346 / PN 000	Pooled Separate Account	—	—	$815K	4.8%
BLUE CHIP GROWTH FUND JOHN HANCOCK LIFE INSURANCE COMPANY OF NEW YORK · EIN 01-0233346 / PN 000	Pooled Separate Account	—	—	$781K	4.6%
FIDELITY ADVISOR TOTAL BOND JOHN HANCOCK LIFE INSURANCE COMPANY OF NEW YORK · EIN 01-0233346 / PN 000	Pooled Separate Account	—	—	$748K	4.4%
JH MULTIMANAGER 2045 LIFETIME JOHN HANCOCK LIFE INSURANCE COMPANY OF NEW YORK · EIN 01-0233346 / PN 000	Pooled Separate Account	—	—	$713K	4.2%
John Hancock Life Insurance Company (U.S.A.) Life Insurance Policy	Other securities	—	—	$710K	4.2%
JH MULTIMANAGER AGGRESSIVE LS JOHN HANCOCK LIFE INSURANCE COMPANY OF NEW YORK · EIN 01-0233346 / PN 000	Pooled Separate Account	—	—	$708K	4.2%
LIFESTYLE GROWTH G.I.F.L. JOHN HANCOCK LIFE INSURANCE COMPANY OF NEW YORK · EIN 01-0233346 / PN 000	Pooled Separate Account	—	—	$666K	3.9%
JH MULTIMANAGER 2035 LIFETIME JOHN HANCOCK LIFE INSURANCE COMPANY OF NEW YORK · EIN 01-0233346 / PN 000	Pooled Separate Account	—	—	$632K	3.7%
JH MULTIMANAGER 2040 LIFETIME JOHN HANCOCK LIFE INSURANCE COMPANY OF NEW YORK · EIN 01-0233346 / PN 000	Pooled Separate Account	—	—	$614K	3.6%
JH MULTIMANAGER 2025 LIFETIME JOHN HANCOCK LIFE INSURANCE COMPANY OF NEW YORK · EIN 01-0233346 / PN 000	Pooled Separate Account	—	—	$607K	3.6%
LIFESTYLE BALANCED G.I.F.L. JOHN HANCOCK LIFE INSURANCE COMPANY OF NEW YORK · EIN 01-0233346 / PN 000	Pooled Separate Account	—	—	$600K	3.5%
BLACKROCK GLOBAL ALLOCATION JOHN HANCOCK LIFE INSURANCE COMPANY OF NEW YORK · EIN 01-0233346 / PN 000	Pooled Separate Account	—	—	$460K	2.7%
JH MULTIMANAGER GROWTH LS JOHN HANCOCK LIFE INSURANCE COMPANY OF NEW YORK · EIN 01-0233346 / PN 000	Pooled Separate Account	—	—	$415K	2.5%
JH MULTIMANAGER 2015 LIFETIME JOHN HANCOCK LIFE INSURANCE COMPANY OF NEW YORK · EIN 01-0233346 / PN 000	Pooled Separate Account	—	—	$396K	2.3%
MONEY MARKET FUND JOHN HANCOCK LIFE INSURANCE COMPANY OF NEW YORK · EIN 01-0233346 / PN 000	Pooled Separate Account	—	—	$389K	2.3%
INVESTMENT COMPANY OF AMERICA JOHN HANCOCK LIFE INSURANCE COMPANY OF NEW YORK · EIN 01-0233346 / PN 000	Pooled Separate Account	—	—	$378K	2.2%
JH MULTIMANAGER 2030 LIFETIME JOHN HANCOCK LIFE INSURANCE COMPANY OF NEW YORK · EIN 01-0233346 / PN 000	Pooled Separate Account	—	—	$361K	2.1%
JH MULTIMANAGER 2050 LIFETIME JOHN HANCOCK LIFE INSURANCE COMPANY OF NEW YORK · EIN 01-0233346 / PN 000	Pooled Separate Account	—	—	$351K	2.1%
MUTUAL GLOBAL DISCOVERY JOHN HANCOCK LIFE INSURANCE COMPANY OF NEW YORK · EIN 01-0233346 / PN 000	Pooled Separate Account	—	—	$287K	1.7%
JPMORGAN U.S. EQUITY FUND JOHN HANCOCK LIFE INSURANCE COMPANY OF NEW YORK · EIN 01-0233346 / PN 000	Pooled Separate Account	—	—	$283K	1.7%
JH MULTIMANAGER CONSERV LS JOHN HANCOCK LIFE INSURANCE COMPANY OF NEW YORK · EIN 01-0233346 / PN 000	Pooled Separate Account	—	—	$230K	1.4%
DFA U.S. SMALL CAP FUND JOHN HANCOCK LIFE INSURANCE COMPANY OF NEW YORK · EIN 01-0233346 / PN 000	Pooled Separate Account	—	—	$222K	1.3%
Notes receivable from participants Interest rates range from 3.25% to 8.5%	Bonds / Notes	—	—	$222K	1.3%
INVESCO DEVELOPING MARKETS JOHN HANCOCK LIFE INSURANCE COMPANY OF NEW YORK · EIN 01-0233346 / PN 000	Pooled Separate Account	—	—	$218K	1.3%
JOHN HANCOCK MID CAP GROWTH JOHN HANCOCK LIFE INSURANCE COMPANY OF NEW YORK · EIN 01-0233346 / PN 000	Pooled Separate Account	—	—	$182K	1.1%
JH MULTIMANAGER 2060 LIFETIME JOHN HANCOCK LIFE INSURANCE COMPANY OF NEW YORK · EIN 01-0233346 / PN 000	Pooled Separate Account	—	—	$158K	0.9%
AMERICAN FUNDS FUNDAMENTAL INV JOHN HANCOCK LIFE INSURANCE COMPANY OF NEW YORK · EIN 01-0233346 / PN 000	Pooled Separate Account	—	—	$136K	0.8%
MID CAP INDEX FUND JOHN HANCOCK LIFE INSURANCE COMPANY OF NEW YORK · EIN 01-0233346 / PN 000	Pooled Separate Account	—	—	$121K	0.7%
JH MULTIMANAGER 2020 LIFETIME JOHN HANCOCK LIFE INSURANCE COMPANY OF NEW YORK · EIN 01-0233346 / PN 000	Pooled Separate Account	—	—	$119K	0.7%
AF THE GROWTH FUND OF AMERICA JOHN HANCOCK LIFE INSURANCE COMPANY OF NEW YORK · EIN 01-0233346 / PN 000	Pooled Separate Account	—	—	$109K	0.6%
AMERICAN FUNDS EUROPAC GROWTH JOHN HANCOCK LIFE INSURANCE COMPANY OF NEW YORK · EIN 01-0233346 / PN 000	Pooled Separate Account	—	—	$108K	0.6%
SMALL CAP VALUE FUND JOHN HANCOCK LIFE INSURANCE COMPANY OF NEW YORK · EIN 01-0233346 / PN 000	Pooled Separate Account	—	—	$88K	0.5%
VANGUARD EXPLORER FUND JOHN HANCOCK LIFE INSURANCE COMPANY OF NEW YORK · EIN 01-0233346 / PN 000	Pooled Separate Account	—	—	$78K	0.5%
JH MULTIMANAGER 2055 LIFETIME JOHN HANCOCK LIFE INSURANCE COMPANY OF NEW YORK · EIN 01-0233346 / PN 000	Pooled Separate Account	—	—	$77K	0.5%
VANGUARD SMALL CAP VALUE INDEX JOHN HANCOCK LIFE INSURANCE COMPANY OF NEW YORK · EIN 01-0233346 / PN 000	Pooled Separate Account	—	—	$53K	0.3%
JH MULTIMANAGER 2065 LIFETIME JOHN HANCOCK LIFE INSURANCE COMPANY OF NEW YORK · EIN 01-0233346 / PN 000	Pooled Separate Account	—	—	$52K	0.3%
MID VALUE FUND JOHN HANCOCK LIFE INSURANCE COMPANY OF NEW YORK · EIN 01-0233346 / PN 000	Pooled Separate Account	—	—	$45K	0.3%
PIMCO REAL RETURN JOHN HANCOCK LIFE INSURANCE COMPANY OF NEW YORK · EIN 01-0233346 / PN 000	Pooled Separate Account	—	—	$37K	0.2%
INVESCO SMALL CAP GROWTH JOHN HANCOCK LIFE INSURANCE COMPANY OF NEW YORK · EIN 01-0233346 / PN 000	Pooled Separate Account	—	—	$34K	0.2%
HIGH YIELD FUND JOHN HANCOCK LIFE INSURANCE COMPANY OF NEW YORK · EIN 01-0233346 / PN 000	Pooled Separate Account	—	—	$33K	0.2%
AMERICAN FUNDS NEW PERSPECTIVE JOHN HANCOCK LIFE INSURANCE COMPANY OF NEW YORK · EIN 01-0233346 / PN 000	Pooled Separate Account	—	—	$33K	0.2%
JH DISCIPLINED VALUE INTL FUND JOHN HANCOCK LIFE INSURANCE COMPANY OF NEW YORK · EIN 01-0233346 / PN 000	Pooled Separate Account	—	—	$22K	0.1%
EQUITY INCOME FUND JOHN HANCOCK LIFE INSURANCE COMPANY OF NEW YORK · EIN 01-0233346 / PN 000	Pooled Separate Account	—	—	$17K	<0.1%
AF US GOVERNMENT SECURITIES JOHN HANCOCK LIFE INSURANCE COMPANY OF NEW YORK · EIN 01-0233346 / PN 000	Pooled Separate Account	—	—	$16K	<0.1%
INVESCO EQV INTL EQUITY FUND JOHN HANCOCK LIFE INSURANCE COMPANY OF NEW YORK · EIN 01-0233346 / PN 000	Pooled Separate Account	—	—	$16K	<0.1%