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Original filing (PDF)20251015112718NAL0004711409001
XCEL BRANDS, INC.
Form 5500
FILING_RECEIVED
XCEL BRANDS, INC. 401(K) SAVINGS PLAN
401(k) retirement plan
Active participants
23
Accounts w/ balance
86
Plan assets (EOY)
$3.8M
Net assets (EOY)
$3.8M
How this plan invests
This plan
12 pooled trusts
Schedule D
28 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
100
Total plan cost
80
Vendor stack
100
Participation health
100
Knocking points off
- 67 bps in Schedule C fees — modestly above peer band of 52 bps.
Decision-maker contacts
CFO / Head of HR / Benefits Manager — verified email + LinkedIn for XCEL BRANDS, INC..
Plan sponsor
Name
XCEL BRANDS, INC.
EIN
76-0307819
Address
1333 BROADWAY, FLOOR 10 · NEW YORK, NY · 10018
Phone
(347) 532-5894
Industry
Finance & Insurancesee 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
2025-10-15
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
LILLING & COMPANY, LLP
Trustee / custodian
—
Trustee phone
—
Service providers (Schedule C)
2 rowsRecordkeeper
1| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| JOHN HANCOCK LIC OF NEW YORK | 13-3646501 | — | RECORDKEEPER | $11K | — |
Advisor / Consultant
1| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| ALLIANT RETIREMENT SERVICES | 33-0785439 | NEWPORT BEACH, CA | RIA | $15K | — |
Investments
18 direct securities · 12 pooled funds· $3.8M(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.
Uncategorized
$3.2M
18 holdings
Pooled Separate Account
$659K
12 holdings
| PI | Investment | Type | Shares / units | Cost | Current value | % of plan |
|---|---|---|---|---|---|---|
| T. Rowe Price Retirement 2030 | — | — | — | $947K | 24.7% | |
| T. Rowe Price Retirement 2045 | — | — | — | $498K | 13.0% | |
| T. Rowe Price Retirement 2055 | — | — | — | $453K | 11.8% | |
| 500 INDEX FUND JOHN HANCOCK LIFE INSURANCE COMPANY OF NEW YORK · EIN 13-3646501 / PN 000 | Pooled Separate Account | — | — | $407K | 10.6% | |
| T. Rowe Price Retirement 2025 | — | — | — | $358K | 9.3% | |
| T. Rowe Price Retirement 2050 | — | — | — | $201K | 5.3% | |
| T. Rowe Price Retirement 2060 | — | — | — | $121K | 3.2% | |
| JPMorgan Large Cap Growth | — | — | — | $108K | 2.8% | |
| John Hancock Stable Value Fund | — | — | — | $90K | 2.4% | |
| T. Rowe Price Retirement 2040 | — | — | — | $89K | 2.3% | |
| American Funds New Perspective | — | — | — | $87K | 2.3% | |
| T. Rowe Price Retirement 2035 | — | — | — | $63K | 1.6% | |
| SMALL-CAP GROWTH INDEX JOHN HANCOCK LIFE INSURANCE COMPANY OF NEW YORK · EIN 13-3646501 / PN 000 | Pooled Separate Account | — | — | $56K | 1.5% | |
| SMALL-CAP INDEX FUND JOHN HANCOCK LIFE INSURANCE COMPANY OF NEW YORK · EIN 13-3646501 / PN 000 | Pooled Separate Account | — | — | $50K | 1.3% | |
| VANGUARD MID-CAP GROWTH ETF JOHN HANCOCK LIFE INSURANCE COMPANY OF NEW YORK · EIN 13-3646501 / PN 000 | Pooled Separate Account | — | — | $48K | 1.2% | |
| T. Rowe Price Retirement 2020 | — | — | — | $41K | 1.1% | |
| MID CAP INDEX FUND JOHN HANCOCK LIFE INSURANCE COMPANY OF NEW YORK · EIN 13-3646501 / PN 000 | Pooled Separate Account | — | — | $32K | 0.8% | |
| Columbia Overseas Value | — | — | — | $32K | 0.8% | |
| VANGUARD MID-CAP VALUE ETF JOHN HANCOCK LIFE INSURANCE COMPANY OF NEW YORK · EIN 13-3646501 / PN 000 | Pooled Separate Account | — | — | $30K | 0.8% | |
| John Hancock Total Bond Market | — | — | — | $29K | 0.8% | |
| John Hancock Bond | — | — | — | $25K | 0.7% | |
| COLUMBIA DIVIDEND INCOME FUND JOHN HANCOCK LIFE INSURANCE COMPANY OF NEW YORK · EIN 13-3646501 / PN 000 | Pooled Separate Account | — | — | $20K | 0.5% | |
| Notes receivable from participants | — | — | — | $16K | 0.4% | |
| VANGUARD INTERNATIONAL GROWTH JOHN HANCOCK LIFE INSURANCE COMPANY OF NEW YORK · EIN 13-3646501 / PN 000 | Pooled Separate Account | — | — | $10K | 0.3% | |
| T. Rowe Price Retirement 2065 | — | — | — | $9K | 0.2% | |
| SMALL-CAP VALUE INDEX JOHN HANCOCK LIFE INSURANCE COMPANY OF NEW YORK · EIN 13-3646501 / PN 000 | Pooled Separate Account | — | — | $4K | 0.1% | |
| John Hancock Strategic Income Opportunities | — | — | — | $3K | <0.1% | |
| INTERNATIONAL EQUITY INDEX FUND JOHN HANCOCK LIFE INSURANCE COMPANY OF NEW YORK · EIN 13-3646501 / PN 000 | Pooled Separate Account | — | — | $865 | <0.1% | |
| T. ROWE PRICE RETIREMENT 2015 JOHN HANCOCK LIFE INSURANCE COMPANY OF NEW YORK · EIN 13-3646501 / PN 000 | Pooled Separate Account | — | — | $0 | <0.1% | |
| T. ROWE PRICE RETIREMENT 2010 JOHN HANCOCK LIFE INSURANCE COMPANY OF NEW YORK · EIN 13-3646501 / PN 000 | Pooled Separate Account | — | — | $0 | <0.1% |