How big is Swain & Kates' plan?

Swain & Kates' plan reported $19K in assets and 10 participants for 2024.

Original filing (PDF)20250720110254NAL0000650658001

Swain & Kates

Name: Swain & Kates — Swain & Kates 401(k), Form 5500 (2024)
Creator: Swain & Kates
License: https://www.usa.gov/government-works

Form 5500-SF

FILING_RECEIVED

Swain & Kates 401(k)

401(k) retirement plan · Swain & Kates' Swain & Kates 401(k) held $19K in plan assets for 10 participants in 2024.

Active participants

Accounts w/ balance

Plan assets (EOY)

$19K

Net assets (EOY)

$19K

People on this filing

Shirley Horner signed Swain & Kates' 2024 Form 5500 as plan administrator.

Shirley Horner — Plan Administrator — Form 5500 signer

Get verified email & phone for these signers

Signer names are public record from the Form 5500 e-signature.

Plan identifiers

Swain & Kates' EIN is 94-1506848.

EIN 94-1506848

Plan number 001

Plan year 2024

ACK ID 20250720110254NAL0000650658001

Official Form 5500 document

Download the official 2024 Form 5500 (PDF) for Swain & Kates from the U.S. Department of Labor's EFAST2 system.

Download the official 2024 Form 5500 (PDF)

Plan features

Swain & Kates' plan includes profit-sharing, ERISA 404(c) participant direction, a 401(k) feature, automatic enrollment, a default investment (QDIA).

Decision-maker contacts

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Plan health score

Above-average plan

Directional indicator from public Form 5500 data — compliance & integrity, total plan cost, participant health and vendor stack, benchmarked against same-size peers. Not a fiduciary tool. Based on 70% of scoring inputs for this filing.

Compliance & integrity

100

Total plan cost

n/a

Plan health

Vendor & structure

100

Helping the score

Cost not scored — no comparable Schedule H expense data for this cohort.

Plan sponsor

Name

SWAIN & KATES

EIN

all filings

Address

1604A GROVE ST · SAN FRANCISCO, CA · 94117

Phone

(415) 863-8070

Industry

Other Services (ex. Public Admin)

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

2025-07-20

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)

Service providers (Schedule C)

Small plans don't disclose service providers

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