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Original filing (PDF)20251010130329NAL0004266707001
HARBERT MANAGEMENT CORPORATION
Form 5500
FILING_RECEIVED
HARBERT RETIREMENT PLAN
401(k) retirement plan
Signals · 1
100% in single holding
Active participants
227
Accounts w/ balance
290
Plan assets (EOY)
$108.7M
Net assets (EOY)
$108.7M
How this plan invests
This plan
1 pooled trust
Schedule D
1 securities
funds · stocks · CUSIPs
Holdings are itemized directly on this plan's Schedule of Assets, below.
Plan health score (directional)
95
/ 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
100
Vendor stack
100
Participation health
100
Knocking points off
- Top holding "[DFE: CONESTOGA SMALL CAP GROWTH COLLECTIVE FUND (extraction pending)]" is 100% of plan.
Helping the score
- Below-peer total fees (5 bps vs 10 bps peer median).
Decision-maker contacts
CFO / Head of HR / Benefits Manager — verified email + LinkedIn for HARBERT MANAGEMENT CORPORATION.
Plan sponsor
Name
HARBERT MANAGEMENT CORPORATION
EIN
63-1105435
Address
2100 THIRD AVENUE NORTH, SUITE 600 · BIRMINGHAM, AL · 35203
Phone
(205) 987-5500
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
2025-10-10
Pension benefit codes
2E · Profit-sharing
2F · ERISA section 404(c)
2G · Total participant-directed accounts
2J · 401(k) feature
2K · 401(m) arrangement
Audit & trust (Schedule H)
Auditor
WARREN AVERETT, LLC
Trustee / custodian
—
Trustee phone
—
Service providers (Schedule C)
1 rowsRecordkeeper
1| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| FIDELITY INVEST INSTITUTIONAL OPERA | 04-2647786 | — | RECORDKEEPER | $51K | — |
Investments
1 pooled fund· $1.9M(2% 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.
| PI | Investment | Type | Shares / units | Cost | Current value | % of plan |
|---|---|---|---|---|---|---|
| CONESTOGA SMALL CAP GROWTH COL FUND COMERICA BANK & TRUST, NATIONAL ASSOCIATION · EIN 82-6178890 / PN 001 | Common Collective Trust | — | — | $1.9M | 1.8% |