Back to filter
Original filing (PDF)20251014121234NAL0005774834007
PHILLIPS AUCTIONEERS, LLC
Form 5500
FILING_RECEIVED
PHILLIPS AUCTIONEERS, LLC 401(K) PROFIT SHARING PLAN AND TRUST
401(k) retirement plan
Active participants
268
Accounts w/ balance
327
Plan assets (EOY)
$24.1M
Net assets (EOY)
$24.1M
Plan health score (directional)
90
/ 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
75
Total plan cost
80
Vendor stack
100
Participation health
100
Knocking points off
- 41 bps in Schedule C fees — modestly above peer band of 29 bps.
Helping the score
- Concentration not scored — Schedule of Assets PDF not yet parsed for this plan.
Decision-maker contacts
CFO / Head of HR / Benefits Manager — verified email + LinkedIn for PHILLIPS AUCTIONEERS, LLC.
Plan sponsor
Name
PHILLIPS AUCTIONEERS, LLC
EIN
30-0159130
Address
432 PARK AVENUE · NEW YORK, NY · 10022
Phone
(212) 940-1300
Industry
Retail Tradesee 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
2025-10-14
Pension benefit codes
2E · Profit-sharing
2F · ERISA section 404(c)
2G · Total participant-directed accounts
2J · 401(k) feature
2K · 401(m) arrangement
2S · Automatic enrollment
2T · Default investment account (QDIA)
3D · Pre-approved plan (master / prototype / VS)
Audit & trust (Schedule H)
Auditor
WEAVER AND TIDWELL LLP
Trustee / custodian
—
Trustee phone
—
Service providers (Schedule C)
3 rowsRecordkeeper
3| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| ADP, INC. | 13-3036745 | — | RECORDKEEPER | $96K | — |
| TRANSAMERICA RETIREMENT SOLUTIONS | 13-3689044 | — | RECORDKEEPER | $3K | — |
| ADP BROKER-DEALER | 22-3319984 | — | RECORDKEEPER | $0 | — |
Investments
The Schedule of Assets is filed as a free-form PDF attachment on EFAST2; we parse these offline and coverage is partial (priority is the largest plans by EOY assets). This plan also reports no pooled (Schedule D) interests, so its holdings aren’t hidden on a master-trust filing. The line-item data lives on DOL EFAST2 under the same ACK_ID.
See Methodology > Data linkages for how Form 5500 / Schedule H / Schedule D / Schedule of Assets fit together.
Related plans
Other plans using ADP, INC.
THE COMMITTEE OF THE UAW RETIREE MEDICAL BENEFITS TRUST
UAW GM RETIREES MEDICAL BENEFITS PLAN
$30.6B
TRUSTEES OF THE NATIONAL ELECTRICAL BENEFIT FUND
NATIONAL ELECTRICAL BENEFIT FUND
$20.4B · 343,794 participants
THE COMMITTEE OF THE UAW RETIREE MEDICAL BENEFITS TRUST
UAW FORD RETIREES MEDICAL BENEFITS PLAN
$19.6B
NATIONAL RURAL ELECTRIC COOPERATIVE ASSOCIATION
401(K) PENSION PLAN
$16.8B · 61,593 participants
THE COMMITTEE OF THE UAW RETIREE MEDICAL BENEFITS TRUST
UAW CHRYSLER RETIREES MEDICAL BENEFITS PLAN
$12.7B
NATIONAL RURAL ELECTRIC COOPERATIVE ASSOCIATION
RETIREMENT SECURITY PLAN
$11.5B · 56,128 participants
Similar-size Retail Trade plans
A LA VIEILLE RUSSIE, INC.
A LA VIEILLE RUSSIE, INC. RETIREMENT PLAN
$24.0M · 7 participants
PARK WEST GALLERIES, INC.
PARK WEST GALLERIES, INC. 401K PLAN
$21.3M · 171 participants
GAGOSIAN GALLERY, INC.
GAGOSIAN GALLERY, INC. 401(K) PROFIT SHARING PLAN
$20.4M · 248 participants
THE PACE GALLERY, LLC
THE PACE GALLERY EMPLOYEE 401(K) PROFIT SHARING PLAN
$19.1M · 234 participants
HAUSER & WIRTH, INC.
HAUSER & WIRTH, INC. 401(K) AND PROFIT SHARING PLAN
$15.9M · 162 participants
BONHAMS & BUTTERFIELDS AUCTIONEERS CORPORATION
BONHAMS & BUTTERFIELDS 401(K) PLAN
$35.3M · 263 participants
Large plans in New York
INTERNATIONAL BUSINESS MACHINES CORPORATION
IBM 401(K) PLAN
$60.4B · 49,030 participants
TEACHERS INSURANCE & ANNUITY ASSOCIATION OF AMERICA
TIAA REAL ESTATE ACCOUNT
$25.2B
JPMORGAN CHASE BANK, N.A.
COMMINGLED PENSION TRUST FUND (STRATEGIC PROPERTY) OF JPMORGAN CHASE BANK, N.A.
$24.3B
MORGAN STANLEY DOMESTIC HOLDINGS, LLC
MORGAN STANLEY 401(K) PLAN
$22.2B · 54,084 participants
PFIZER INC
PFIZER SAVINGS PLAN
$22.0B · 29,469 participants
JPMORGAN CHASE BANK, N.A.
COMMINGLED PENSION TRUST FUND (EQUITY INDEX) OF JPMORGAN CHASE BANK, N.A.
$20.0B