How big is Imperial Capital, LLC's plan?

Imperial Capital, LLC's plan reported $44.8M in assets and 90 participants for 2024.

Original filing (PDF)20251015161346NAL0002733219002

Imperial Capital, LLC

Name: Imperial Capital, LLC — The Imperial Capital, LLC, Form 5500 (2024)
Creator: Imperial Capital, LLC
License: https://www.usa.gov/government-works

Form 5500

FILING_RECEIVED

The Imperial Capital, LLC 401(k) Plan

401(k) retirement plan · Imperial Capital, LLC's The Imperial Capital, LLC 401(k) Plan held $44.8M in plan assets for 90 participants in 2024, with Schwab as recordkeeper.

Signals · 2

37% employer stockHigh average account balance

Active participants

Accounts w/ balance

161

Plan assets (EOY)

$44.8M

Net assets (EOY)

$44.8M

People on this filing

Renee Fricks signed Imperial Capital, LLC's 2024 Form 5500 as plan administrator.

Renee Fricks — 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

Imperial Capital, LLC's EIN is 95-4644495.

EIN 95-4644495

Plan number 001

Plan year 2024

ACK ID 20251015161346NAL0002733219002

Official Form 5500 document

Download the official 2024 Form 5500 (PDF) for Imperial Capital, LLC from the U.S. Department of Labor's EFAST2 system.

Download the official 2024 Form 5500 (PDF)

Plan features

Imperial Capital, LLC's plan includes profit-sharing, ERISA 404(c) participant direction, a 401(k) feature, a default investment (QDIA).

Decision-maker contacts

One unlock reveals every key decision-maker — plan signer, CFO, HR & Benefits — with verified email + LinkedIn for IMPERIAL CAPITAL, LLC.

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How this plan invests

This plan

42 securities

funds · stocks · CUSIPs

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

Plan health score

Top-tier plan health

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.

Compliance & integrity

100

Total plan cost

Plan health

Vendor & structure

100

Helping the score

High average account balance (99th percentile).
High account-holder ratio — balance-holders per active participant in the top 15% of peers (91st percentile).

Plan sponsor

Name

IMPERIAL CAPITAL, LLC

EIN

all filings

Address

10100 SANTA MONICA BLVD · SUITE 2400 · LOS ANGELES, CA · 900674136

Phone

(310) 246-3700

Industry

Finance & Insurance

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

2T · Default investment account (QDIA)

3H · Sponsor in controlled / affiliated group

Audit & trust (Schedule H)

Service providers (Schedule C)

3 rows

Recordkeeper

Name	EIN	Location	Relation	Direct comp	Indirect comp
SCHWAB RETIREMENT PLAN SERVICES INC	34-1479833	—	NONE	$36K	—

Other service providers

Name	EIN	Location	Relation	Direct comp	Indirect comp
KESTRA FINANCIAL INC	47-1566880	—	NONE	$76K	—
CHARLES SCHWAB & CO., INC.	94-1737782

Investments

42 direct securities· $44.5M(99% of reported assets)

Common Stocks

$16.6M

17 holdings

Common Collective Trusts

$16.2M

9 holdings

Mutual Funds

$9.9M

13 holdings

Preferred Stocks

$1.5M

1 holding

Bonds / Notes

$196K

1 holding

U.S. Treasuries

$64K

1 holding

					% of plan
,^ Schwab S&P 500 Index Fund Registered Investment Company a	Common Collective Trusts	—	—	$7.0M	15.7%
^ JPMorgan Large Cap Growth R6 Registered Investment Company a	Common Stocks	—	—	$6.5M	14.6%
^ Blackrock Lifepath Idx 2040 K Registered Investment Company a	Common Collective Trusts	—	—	$3.0M	6.6%
Limited Liability Company *,^ Long Ball Partners, LLC Long Ball Partners, LLC a	Common Stocks	—	—	$2.9M	6.4%
^ Blackrock Lifepath Idx 2050 K Registered Investment Company a	Common Collective Trusts	—	—	$2.7M	6.1%
s (continued) ^ T Rowe Mid Cap Value Inst Registered Investment Company a	Mutual Funds	—	—	$2.3M	5.0%
^ Virtus Kar Mid Cap Growth R6 Registered Investment Company a	Common Stocks	—	—	$2.0M	4.5%
^ Hartford Core Eqty Fd R6 Registered Investment Company a	Common Stocks	—	—	$1.7M	3.9%
^ Blackrock Lifepath Idx 2060 K Registered Investment Company a	Common Collective Trusts	—	—	$1.6M	3.6%
^ Republic 1st B Shares of preferred stock a 2 Money Market Fund ^ Vanguard Fed Money Market Fund Money Market / Cash Equivalent a	Preferred Stocks	—	—	$1.5M	3.4%
^ MFS International Growth R6 Registered Investment Company a	Mutual Funds	—	—	$1.3M	3.0%
^ Vanguard Equity Income Admiral Registered Investment Company a	Mutual Funds	—	—	$1.1M	2.4%
^ Fidelity Small Cap Index Registered Investment Company a	Mutual Funds	—	—	$1.0M	2.2%
^ Blackrock Adv Sm Cap Core K Registered Investment Company a	Common Stocks	—	—	$991K	2.2%
^ Blackrock Lifepath Idx 2030 K Registered Investment Company a	Common Collective Trusts	—	—	$893K	2.0%
^ Fidelity Mid Cap Index Registered Investment Company a	Mutual Funds	—	—	$864K	1.9%
^ MFS Intl New Discovery R6 Registered Investment Company a	Mutual Funds	—	—	$748K	1.7%
^ Lord Abbett Developing Grth R6 Registered Investment Company a	Mutual Funds	—	—	$721K	1.6%
^ American Growth Income Port R6 Registered Investment Company a	Common Stocks	—	—	$679K	1.5%
^ DoubleLine Total Return Bond R Registered Investment Company a	Common Stocks	—	—	$560K	1.3%
^ Invesco Oppenheimer Devmkts R6 Registered Investment Company a	Mutual Funds	—	—	$495K	1.1%
^ Invesco Real Estate R6 Registered Investment Company a	Mutual Funds	—	—	$477K	1.1%
,^ Schwab US Aggregate Bond Index Registered Investment Company a	Mutual Funds	—	—	$450K	1.0%
^ Bond Fund of America R6 Registered Investment Company a	Common Stocks	—	—	$432K	1.0%
^ Blackrock Lifepath Idx Rtrmt K Registered Investment Company a	Common Collective Trusts	—	—	$403K	0.9%
^ Blackrock Lifepath Idx 2045 K Registered Investment Company a	Common Collective Trusts	—	—	$334K	0.7%
s ^ Allspring Govt Sec Inst Registered Investment Company a	Mutual Funds	—	—	$278K	0.6%
^ Lument Fin Tr Inc Shares of common stock a	Common Stocks	—	—	$232K	0.5%
^ Orla Mining Ltd New Shares of common stock a	Common Stocks	—	—	$228K	0.5%
Notes Receivable - Collateralized by participant accounts, Participant Loans bearing interest ranging from 4.25% to 9.50%. -	Bonds / Notes	—	—	$196K	0.4%
,^ Schwab International Index Fd Registered Investment Company a	Mutual Funds	—	—	$183K	0.4%
^ Blackrock Lifepath Idx 2055 K Registered Investment Company a	Common Collective Trusts	—	—	$159K	0.4%
^ Blackrock Lifepath Idx 2065 K Registered Investment Company a	Common Collective Trusts	—	—	$152K	0.3%
^ Greyscale Ethereum Shares of common stock a	Common Stocks	—	—	$126K	0.3%
^ Agnico Eagle Mines Ltd Shares of common stock a	Common Stocks	—	—	$115K	0.3%
,^ Cash and US Treasury Interest-Bearing Cash a	U.S. Treasuries	—	—	$64K	0.1%
^ Fidelity Leveraged Co. Stock Fd Registered Investment Company a	Mutual Funds	—	—	$29K	<0.1%
^ Third Avenue Value Fund Instl Registered Investment Company a	Common Stocks	—	—	$15K	<0.1%
^ Greyscale Ethereum Registered Investment Company a	Common Stocks	—	—	$14K	<0.1%
^ Danimer Scientifi 25 Shares of common stock a 157 ^ Danimer Scientific I Shares of common stock a 687 ^ Desktop Metal Inc Shares of common stock a	Common Stocks	—	—	$2K	<0.1%
^ Americas Gold & Silv Shares of common stock a	Common Stocks	—	—	$2K	<0.1%
^ Parker Drilling Co Shares of common stock a	Common Stocks	—	—	$2K	<0.1%