Providers › Investment advisory and management
Service provider · Schedule C, plan year 2024
Rockefeller Capital Management
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.
Rockefeller Capital Management is named as a service provider on the Schedule C of 52 retirement plans with 100 or more participants for plan year 2024, covering 44,017 participant records. Most often it is reported for investment advisory and management.
Reported compensation from those plans, direct and indirect, totalled $1.5M. Per plan, the median was $60.86 per participant, with the middle half of plans between $36.13 and $99.91. 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 Michigan (31), Texas (3) and Georgia (3).
In 2020 it appeared on 9 such filings; in 2024, 52. 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 | $36.13 | $60.86 | $99.91 |
| Compensation as a share of plan net assets | 0.08% | 0.14% | 0.22% |
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 |
|---|---|---|---|---|---|
| Pesg, LLC 401(k) Plan | Pesg, LLC DBA, Professional Education Services Group, LLC | TN | 16,393 | $22.5M | $14K |
| 1-800-FLOWERS Team Services, Inc. Prototype 401(k) Profit-Sharing Plan | 1-800-FLOWERS Team Services, Inc. | NY | 5,043 | $218M | $177K |
| University of Michigan Health - West 403(b) Retirement Savings Plan | Metropolitan Hospital D.B.A University of Michigan Health West | MI | 4,243 | $233M | $53K |
| Mac Pizza Management 401(k) Plan | Mac Pizza Management, Inc. | TX | 1,312 | $8.4M | $33K |
| Center for Employment Opportunities Tax Sheltered Annuity Plan | Center for Employment Opportunities | NY | 786 | $14.8M | $8,650 |
| Golden State Orthopedics & Spine Profit Sharing 401(k) Plan | Golden State Orthopedics & Spine | CA | 768 | $109M | $47K |
| Megacorp Logistics, LLC 401(k) Plan | Megacorp Logistics, LLC | NC | 746 | $30.0M | $49K |
| Huffines Auto Dealerships Retirement Savings Plan | Ray Huffines Chevrolet, Inc. D.B.A. Huffines Auto Dealerships | TX | 738 | $33.4M | $76K |
| Sonterra Medical Management Group Profit Sharing 401(k) Plan | Sonterra Medical Management Group, Inc. | TX | 650 | $59.5M | $14K |
| Etna Shared Services 401(k) & Profit Sharing Plan | Etna Shared Services, LLC | MI | 634 | $41.6M | $33K |
| MVP Sports Clubs 401(k) Plan | MVP Operations, LLC | MI | 588 | $6.7M | $12K |
| F M G & S P 403(b) Plan | Frederik Meijer Gardens & Sculpture Park | MI | 586 | $8.2M | $4,331 |
| Ambassador Supply Affiliates 401(k) Plan | Quality Structures, LLC | IN | 562 | $10.9M | $16K |
| AG Business Solutions, LLC 401(k) Plan | AG Business Solutions LLC | MI | 557 | $11.5M | $15K |
| Tommy's 401(k) Retirement Plan | VQ, Inc. | MI | 551 | $11.5M | $22K |
| Emergency Technology, Inc. 401(k) and Employee Stock Ownership Plan | Emergency Technology, Inc. | MI | 521 | $79.2M | $36K |
| Cascade Die Casting Group Employees 401(k) Retirement Plan | Cascade Die Casting Group, Inc. | MI | 505 | $11.1M | $24K |
| Aci Parts Warehousing 401(k) Profit Sharing Plan | Aci Parts Warehousing 401(k) Profit Sharing Plan | MI | 458 | $9.6M | $4,936 |
| Team Carolinas Inc. 401(k) Plan | Team Carolinas, Inc. | NC | 413 | $1.7M | $1,822 |
| Progressive Ae Flexible Compensation Plan | Progressive Ae, Inc. | MI | 409 | $63.7M | $64K |
| DM Luxury LLC 401(k) Plan | DM Luxury LLC | GA | 408 | $21.0M | $9,109 |
| Fleis & Vandenbrink Engineering, Inc. 401(k) Plan | F & V Companies Inc. | MI | 370 | $24.8M | $24K |
| Harlem Village Academy Charter School 403(b) Plan | Harlem Village Academy Charter School | NY | 362 | $16.0M | $36K |
| Duncan Family Farms, LLC 401(k) Plan and Trust | Duncan Family Farms, LLC | AZ | 355 | $8.8M | $28K |
| Crystal Flash, Inc. Retirement Savings Plan | Crystal Flash, Inc. | MI | 353 | $29.4M | $33K |
| Ivision Scale, LLC 401(k) Profit Sharing Plan & Trust | Ivision Scale, LLC | GA | 349 | $30.8M | $107K |
| Vandyk Mortgage 401(k) Profit Sharing Plan | Vandyk Mortgage Corporation | MI | 323 | $18.3M | $18K |
| Floracraft, Inc. Profit SHARING/401(K) Plan | Floracraft, Inc. | MI | 306 | $15.4M | $26K |
| CS Manufacturing, Inc. Profit Sharing and Savings Plan | CS Manufacturing, Inc. | MI | 300 | $5.8M | $11K |
| Metropolitan Enterprises 401(k) Plan | Metropolitan Enterprises | MI | 293 | $23.3M | $12K |
| Mario Badescu Skin Care Profit Sharing 401(k) Plan | Mario Badescu Skin Care, Inc. | NJ | 290 | $27.0M | $85K |
| Valley Steel Stamp Inc. 401(k) Profit Sharing Plan & Trust | Valley Steel Stamp Inc. | MA | 269 | $10.1M | $27K |
| Radco Residential, LLC 401(k) Plan | Radco Residential, LLC | GA | 263 | $5.2M | $12K |
| BBP Retirement Savings Plan | Brunswick Bowling Products, LLC | MI | 261 | $41.4M | $31K |
| Concrete General, Inc. 401(k) Profit Sharing Plan | Concrete General, Inc. | MD | 242 | $21.1M | $57K |
| Bayside Solutions Inc. 401(k) Profit Sharing Plan & Trust | Bayside Solutions Inc. | CA | 235 | $3.6M | $12K |
| Colorado Structures 401(k) Plan | Colorado Structures, Inc. | CO | 217 | $23.3M | $55K |
| National Nail Corp. 401(k) Retirement and Savings Plan | National Nail Corp. | MI | 206 | $12.8M | $18K |
| Kl&a 401(k) Plan | Kunz Leigh, & Associates | MI | 191 | $19.8M | $30K |
| Bayloff Stamped Products 401(k) Profit Sharing Plan & Trust | Bayloff Stamped Products | MI | 189 | $8.7M | $11K |
Questions and answers
How many plans does Rockefeller Capital Management serve?
52 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 Rockefeller Capital Management?
The median plan reported $60.86 per participant in direct and indirect compensation (52 plans reporting an amount), or 0.14% 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) (37 plans), Other services (8 plans), Recordkeeping and information management (6 plans) and Trustee (bank, trust company, or similar financial institution) (6 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.