Roth Capital Partners, LLC 401(K) Plan — Form 5500 plan (Roth Capital Partners, LLC)
Plain-English plan summary
According to public Form 5500 filings published through the U.S. Department of Labor (DOL) Employee Benefits Security Administration (EBSA) via the EFAST2 system, Roth Capital Partners, LLC 401(K) Plan is a benefit plan reported by Roth Capital Partners, LLC under EIN 33-0947643 and plan number 001. The latest loaded filing year is 2023. The filing reports 257 participants and $54,659,923 in end-of-year plan assets, where available in the loaded dataset.
Key reported metrics
- Plan sponsor
- Roth Capital Partners, LLC
- EIN
- 33-0947643
- Plan number
- 001
- Plan type
- 2
- Location
- Newport Beach, CA
- Latest filing year
- 2023
- Participants
- 257
- End-of-year plan assets
- $54,659,923
Form 5500 filing history
| Filing year | Participants | Schedules | Filing |
|---|---|---|---|
| 2023 | 257 | H, C | 20250403172159NAL0010631633001 |
Reported financial statement (2023 · Schedule H)
Net assets
- Total assets (EOY)
- $54,659,923
- Total liabilities (EOY)
- $0
- Net assets (EOY)
- $54,659,923
- Net assets (BOY)
- $45,454,761
Income & contributions
- Employer contributions
- $689,093
- Participant contributions
- $3,799,862
- Total contributions
- $4,721,554
- Total income / additions
- $13,548,387
Expenses & distributions
- Benefits paid
- $4,254,540
- Administrative expenses
- $74,357
- Total expenses
- $4,343,225
- Net increase / (decrease)
- $9,205,162
Service provider compensation (Schedule C)
| Provider | Service | Direct comp. | Indirect comp. | Year |
|---|---|---|---|---|
| Wellspring Financial Partners | INVESTMENT ADIVSOR | $52,185 | not reported in the loaded dataset | 2023 |
| Alliancebernstein Lp | ADVISOR | $17,329 | not reported in the loaded dataset | 2023 |
| Fidelity Investments Institutional | RECORDKEEPER | $4,940 | $0 | 2023 |
Related Form 5500 pages
- All Form 5500 plans for Roth Capital Partners, LLC
- 2023 Form 5500 filing
- Form 5500 filings in CA
- 401(k) and benefit plan filings in Newport Beach, CA
- Wellspring Financial Partners — Schedule C compensation
- Alliancebernstein Lp — Schedule C compensation
- Fidelity Investments Institutional — Schedule C compensation