Providers › Investment advisory and management
Service provider · Schedule C, plan year 2024
Rocaton Investment Advisors LLC
Most often reported for investment advisory and management
Form 5500 information is as filed by the plan administrator with the Department of Labor and may be amended. Figures reflect the plan year shown, not current balances. Schedule C lists only providers a plan paid $5,000 or more, and is filed only by plans with 100 or more participants.
For plan year 2024, 49 retirement plans with 100 or more participants reported paying Rocaton Investment Advisors LLC $5,000 or more. Those plans cover 451,251 participant records, and the service most often reported is investment advisory and management.
Reported compensation from those plans, direct and indirect, totalled $3.8M. Per plan, the median was $19.00 per participant, with the middle half of plans between $7.41 and $37.90. These are amounts plans reported paying this organisation, not a price list: they depend on which services each plan buys and on how much is paid through fund expenses instead.
Its client plans are most numerous in Massachusetts (11), Maryland (7) and New York (5).
In 2009 it appeared on 20 such filings; in 2024, 51. Yearly counts include every filing that names it, so they can run slightly above the number of plans with pages here, and name or EIN changes after mergers can break the series.
Reported compensation per plan
| Across this provider's plans | 25th percentile | Median | 75th percentile |
|---|---|---|---|
| Compensation per participant | $7.41 | $19.00 | $37.90 |
| Compensation as a share of plan net assets | 0.01% | 0.01% | 0.03% |
What each plan reported paying this organisation, not the plan's total cost. For reference, the median US defined contribution plan reported $123 per participant to all Schedule C providers combined.
Plans served by year
Matched by employer identification number. A merger or a change of filing entity starts a new series, so a drop to zero is not a loss of clients by itself.
By state
By plan size
Services reported
Largest plans naming this provider
| Plan | Sponsor | State | Participants | Net assets | Reported to this provider |
|---|---|---|---|---|---|
| Northwell Health 403(b) Plan | Northwell Health, Inc. | NY | 65,962 | $10.9B | $111K |
| Liberty Mutual 401(k) Plan | Liberty Mutual Group Inc. | MA | 49,659 | $10.8B | $372K |
| Westrock Company 401(k) Retirement Savings Plan | Westrock Company | GA | 45,282 | $4.98B | $324K |
| Northwell Health 401(k) Plan | Northwell Health, Inc. | NY | 43,550 | $1.85B | $12K |
| Bj's Wholesale Club, Inc. 401(k) Savings Plan | Bj's Wholesale Club Inc. | MA | 37,391 | $661M | $69K |
| Glaxosmithkline Cash Balance Pension Plan | Glaxosmithkline LLC | PA | 35,701 | $2.90B | $139K |
| Xerox Corporation Savings Plan | Xerox Corporation | CT | 20,394 | $3.98B | $235K |
| Stanley Black & Decker Pension Plan | Black & Decker (U.S.) Inc. | MD | 12,751 | $717M | $185K |
| Fanatics 401(k) Retirement Plan | Fanatics Holdings, Inc. | NY | 12,141 | $364M | $50K |
| Saint-Gobain Corporation 401(k) Plan for Hourly Employees | Saint-Gobain Corporation | PA | 12,105 | $737M | $8,873 |
| La-Z-Boy Incorporated Retirement Savings Plan | La-Z-Boy Incorporated | MI | 10,405 | $351M | $93K |
| Tegna 401(k) Savings Plan | Tegna Inc. | VA | 10,063 | $995M | $75K |
| Saint-Gobain Corporation 401(k) Plan for Salaried Employees | Saint-Gobain Corporation | PA | 10,002 | $1.84B | $8,873 |
| Hologic, Inc. Savings and Investment Plan | Hologic, Inc. | MA | 6,876 | $1.19B | $67K |
| Akamai Technologies, Inc. 401(k) Plan | Akamai Technologies, Inc. | MA | 5,518 | $1.44B | $21K |
| The Mathworks 401(k) Retirement Plan | The Mathworks, Inc. | MA | 5,122 | $1.80B | $105K |
| Irc 403(b) Retirement Savings Plan | International Rescue Committee | NY | 5,036 | $253M | $73K |
| Tegna Retirement Plan | Tegna Inc. | VA | 4,908 | $338M | $253K |
| Power Profit Sharing 401(k) Plan | Power Engineers, Inc. | ID | 4,542 | $592M | $79K |
| Otsuka America 401(k) Savings Plan | Otsuka America Pharmaceutical Inc. | NJ | 4,501 | $1.12B | $86K |
| The Broad Institute, Inc. 401(k) Retirement Plan | The Broad Institute | MA | 4,155 | $476M | $111K |
| Hofstra University Pension Plan | Hofstra University | NY | 4,148 | $1.27B | $123K |
| Albemarle Corporation Retirement Savings Plan | Albemarle Corporation | NC | 3,783 | $957M | $111K |
| Pension Plan for Hourly Paid Employees of Stanley Black & Decker, Inc. | Stanley Black & Decker, Inc. | CT | 3,321 | $112M | $23K |
| Herc Rentals Pension Plan | Herc Rentals Inc. | FL | 3,309 | $118M | $107K |
| Wellpower 401(k) Savings and Retirement Plan | Motrex LLC | GA | 3,056 | $214M | $24K |
| Huntsman Salary Deferral Plan | Huntsman International LLC | TX | 2,830 | $784M | $75K |
| Venable LLP 401(k) Plan | Venable LLP | MD | 2,429 | $766M | $72K |
| Bloomberg Industry Group, Inc. 401(k) Plan | Bloomberg Industry Group, Inc. | VA | 2,255 | $447M | $39K |
| Forrester Research, Inc. 401(k) Plan & Trust | Forrester Research Inc. | MA | 2,071 | $358M | $26K |
| Cyient, Inc. 401(k) Retirement Plan | Cyient, Inc. | CT | 2,057 | $89.5M | $14K |
| Netscout Systems, Inc. 401(k) Plan | Netscout Systems, Inc. | MA | 1,980 | $645M | $70K |
| Medallia, Inc. 401(k) Plan | Medallia, Inc. | CA | 1,950 | $213M | $41K |
| Berkadia 401(k) Retirement Plan | Berkadia Commercial Mortgage LLC | PA | 1,948 | $334M | $74K |
| United Biosource LLC 401(k) Plan | United Biosource LLC | PA | 1,934 | $108M | $14K |
| Cra International 401(k) Plan | Cra International, Inc. | MA | 1,768 | $334M | $82K |
| Ingevity Corporation | Ingevity Corporation Retirement Savings Plan | SC | 1,616 | $306M | $74K |
| Savings Plan of Xerox Corporation and the Xerographic Div Rochester Regional Joint Board | Xerox Corporation | CT | 925 | $103M | $6,044 |
| Gilman School Defined Contribution Retirement Plan | Gilman School | MD | 648 | $108M | $20K |
| Ada Forsyth Institute, Inc. Defined Contribution Plan | Ada Forsyth Institute, Inc. | MA | 572 | $78.9M | $27K |
Questions and answers
How many plans does Rocaton Investment Advisors LLC serve?
49 plans with 100 or more participants named it on Schedule C for plan year 2024. Plans that paid it under $5,000, small plans that file Form 5500-SF, and plans whose filings spell its name without an EIN under a different form are not counted.
What do plans pay Rocaton Investment Advisors LLC?
The median plan reported $19.00 per participant in direct and indirect compensation (49 plans reporting an amount), or 0.01% of plan net assets. Eligible indirect compensation disclosed to the plan by formula is not reported as a dollar amount, so many filings understate what a provider receives.
What services are reported?
The service codes most often attached to it are Investment advisory (plan) (29 plans), Investment management (10 plans), Consulting (general) (8 plans) and Investment advisory (participants) (1 plans).
Where does this come from?
Schedule C of Form 5500, Part I line 2, from the EBSA research files with filings received through 24 Aug 2026. Individuals named on Schedule C are excluded from this site.
Provenance
Source: U.S. Department of Labor, Employee Benefits Security Administration, Form 5500 research files, Schedule C Part I line 2, public domain, with filings received through 24 Aug 2026. Rows are grouped by the provider's EIN as entered by each plan; rows without an EIN join the EIN most often filed under the same name. Providers named on fewer than 25 plans have no page. See the methodology and corrections.