Employers › Roth Capital Partners
Recordkeeping fees per participant · Roth Capital Partners, LLC 401(k) Plan · plan year 2024
$134.36
Higher than 86% of the 5,847 plans $50 to 250M that report it.
= $27,947 / 208
Schedule H, line 2i(3); OTH_RECORDKEEPING_FEES_AMT pos 160; filing 20260413133603NAL0022159746001, received 2026-04-13
participants_with_balance: Form 5500, line 6g(2); PARTCP_ACCOUNT_BAL_CNT pos 78; filing 20260413133603NAL0022159746001, received 2026-04-13
Percentiles compare this plan with the Schedule H plans $50 to 250M in assets of the same plan year, excluding final filings; shown only where at least 50 comparable plans report the figure. Plan year 2024-07-01 to 2025-06-30, filing received 2026-04-13.
Administrative expenses excluding investment management, per participant
$134.36
Higher than 70% of the 8,758 plans $50 to 250M that report it.
= $27,947 / 208
derived, admin_expenses (2i(12)) minus invst_mgmt_fees (2i(5)), floored at 0; filing 20260413133603NAL0022159746001, received 2026-04-13
participants_with_balance: Form 5500, line 6g(2); PARTCP_ACCOUNT_BAL_CNT pos 78; filing 20260413133603NAL0022159746001, received 2026-04-13
Administrative expenses per participant
$507.76
Higher than 95% of the 9,042 plans $50 to 250M that report it.
= $105,614 / 208
Schedule H, line 2i(12) total administrative expenses; TOT_ADMIN_EXPENSES_AMT pos 109; filing 20260413133603NAL0022159746001, received 2026-04-13
participants_with_balance: Form 5500, line 6g(2); PARTCP_ACCOUNT_BAL_CNT pos 78; filing 20260413133603NAL0022159746001, received 2026-04-13
Administrative expenses as a share of assets
0.163%
Higher than 59% of the 9,049 plans $50 to 250M that report it.
= $105,614 / $64,992,917
Schedule H, line 2i(12) total administrative expenses; TOT_ADMIN_EXPENSES_AMT pos 109; filing 20260413133603NAL0022159746001, received 2026-04-13
assets_eoy: Schedule H, Part I line 1f col (b); TOT_ASSETS_EOY_AMT pos 61; filing 20260413133603NAL0022159746001, received 2026-04-13
Employer contributions per participant
$4,881
Higher than 76% of the 9,105 plans $50 to 250M that report it.
= $1,015,269 / 208
Schedule H, Part II line 2a(1)(A); EMPLR_CONTRIB_INCOME_AMT pos 68; filing 20260413133603NAL0022159746001, received 2026-04-13
participants_with_balance: Form 5500, line 6g(2); PARTCP_ACCOUNT_BAL_CNT pos 78; filing 20260413133603NAL0022159746001, received 2026-04-13
Employer share of total contributions
21.3%
Higher than 23% of the 9,112 plans $50 to 250M that report it.
= $1,015,269 / $4,758,392
Schedule H, Part II line 2a(1)(A); EMPLR_CONTRIB_INCOME_AMT pos 68; filing 20260413133603NAL0022159746001, received 2026-04-13
total_contrib: Schedule H, line 2a(3); TOT_CONTRIB_AMT pos 72; filing 20260413133603NAL0022159746001, received 2026-04-13
Plan terms are not published in public filings.
2E profit-sharing · 2F ERISA 404(c) plan · 2G fully participant-directed · 2J 401(k) feature · 2K 401(m) arrangement · 2T default investment (QDIA) · 3H controlled-group sponsor · 3D IRS pre-approved plan · 2R participant brokerage window · Form 5500, line 8a; TYPE_PENSION_BNFT_CODE pos 81; filing 20260413133603NAL0022159746001, received 2026-04-13
| Field | Value | Source |
|---|---|---|
| Plan sponsor | ROTH CAPITAL PARTNERS, LLC | Form 5500, Part II line 2a; SPONSOR_DFE_NAME pos 19; filing 20260413133603NAL0022159746001, received 2026-04-13 |
| Plan name | ROTH CAPITAL PARTNERS, LLC 401(K) PLAN | Form 5500, line 1a; PLAN_NAME pos 16; filing 20260413133603NAL0022159746001, received 2026-04-13 |
| Sponsor EIN / plan number | 33-0947643 / 001 | Form 5500, line 2b; SPONS_DFE_EIN pos 44; filing 20260413133603NAL0022159746001, received 2026-04-13 |
| Plan type | single-employer | Form 5500, Part I line A; TYPE_PLAN_ENTITY_CD pos 4; filing 20260413133603NAL0022159746001, received 2026-04-13 |
| Sponsor location | NEWPORT BEACH, CA | Form 5500, line 2a; SPONS_DFE_MAIL_US_STATE pos 25; filing 20260413133603NAL0022159746001, received 2026-04-13 |
| Industry (business code) | 523110, Finance and insurance | Form 5500, line 2d; BUSINESS_CODE pos 46; filing 20260413133603NAL0022159746001, received 2026-04-13 |
| Plan year | 2024-07-01 to 2025-06-30 | Form 5500, Part I plan year; FORM_PLAN_YEAR_BEGIN_DATE pos 2; filing 20260413133603NAL0022159746001, received 2026-04-13 |
| Filing received | 2026-04-13 | Form 5500, EFAST2 receipt date; DATE_RECEIVED pos 102; filing 20260413133603NAL0022159746001, received 2026-04-13 |
| Final filing | no | Form 5500, Part I line B; FINAL_FILING_IND pos 8; filing 20260413133603NAL0022159746001, received 2026-04-13 |
| Amended filing | no | Form 5500, Part I line B; AMENDED_IND pos 7; filing 20260413133603NAL0022159746001, received 2026-04-13 |
| Participants, beginning of year | 248 | Form 5500, line 5; TOT_PARTCP_BOY_CNT pos 71; filing 20260413133603NAL0022159746001, received 2026-04-13 |
| Active participants | 240 | Form 5500, line 6a(2); TOT_ACTIVE_PARTCP_CNT pos 72; filing 20260413133603NAL0022159746001, received 2026-04-13 |
| Participants, end of year | 278 | Form 5500, line 6f; TOT_ACT_RTD_SEP_BENEF_CNT pos 77; filing 20260413133603NAL0022159746001, received 2026-04-13 |
| Participants with an account balance | 208 | Form 5500, line 6g(2); PARTCP_ACCOUNT_BAL_CNT pos 78; filing 20260413133603NAL0022159746001, received 2026-04-13 |
| Total assets, beginning of year | $54,659,923 | Schedule H, Part I line 1f col (a); TOT_ASSETS_BOY_AMT pos 30; filing 20260413133603NAL0022159746001, received 2026-04-13 |
| Total assets, end of year | $64,992,917 | Schedule H, Part I line 1f col (b); TOT_ASSETS_EOY_AMT pos 61; filing 20260413133603NAL0022159746001, received 2026-04-13 |
| Net assets, end of year | $64,992,917 | Schedule H, line 1l col (b); NET_ASSETS_EOY_AMT pos 67; filing 20260413133603NAL0022159746001, received 2026-04-13 |
| Total income | $11,952,929 | Schedule H, Part II line 2d; TOT_INCOME_AMT pos 97; filing 20260413133603NAL0022159746001, received 2026-04-13 |
| Net income | $10,332,994 | Schedule H, line 2k; NET_INCOME_AMT pos 111; filing 20260413133603NAL0022159746001, received 2026-04-13 |
| Employer contributions | $1,015,269 | Schedule H, Part II line 2a(1)(A); EMPLR_CONTRIB_INCOME_AMT pos 68; filing 20260413133603NAL0022159746001, received 2026-04-13 |
| Participant contributions | $3,621,079 | Schedule H, line 2a(1)(B); PARTICIPANT_CONTRIB_AMT pos 69; filing 20260413133603NAL0022159746001, received 2026-04-13 |
| Other contributions (incl. rollovers) | $122,044 | Schedule H, line 2a(1)(C); OTH_CONTRIB_RCVD_AMT pos 70; filing 20260413133603NAL0022159746001, received 2026-04-13 |
| Total contributions | $4,758,392 | Schedule H, line 2a(3); TOT_CONTRIB_AMT pos 72; filing 20260413133603NAL0022159746001, received 2026-04-13 |
| Benefit payments | $1,396,432 | Schedule H, line 2e(4); TOT_DISTRIB_BNFT_AMT pos 101; filing 20260413133603NAL0022159746001, received 2026-04-13 |
| Total expenses (incl. benefit payments) | $1,619,935 | Schedule H, line 2j; TOT_EXPENSES_AMT pos 110; filing 20260413133603NAL0022159746001, received 2026-04-13 |
| Total administrative expenses | $105,614 | Schedule H, line 2i(12) total administrative expenses; TOT_ADMIN_EXPENSES_AMT pos 109; filing 20260413133603NAL0022159746001, received 2026-04-13 |
| Contract administrator fees | $0 | Schedule H, line 2i(2); CONTRACT_ADMIN_FEES_AMT pos 106; filing 20260413133603NAL0022159746001, received 2026-04-13 |
| Recordkeeping fees | $27,947 | Schedule H, line 2i(3); OTH_RECORDKEEPING_FEES_AMT pos 160; filing 20260413133603NAL0022159746001, received 2026-04-13 |
| IQPA audit fees | $0 | Schedule H, line 2i(4); IQPA_AUDIT_FEES_AMT pos 161; filing 20260413133603NAL0022159746001, received 2026-04-13 |
| Investment advisory and management fees | $77,667 | Schedule H, line 2i(5); INVST_MGMT_FEES_AMT pos 107; filing 20260413133603NAL0022159746001, received 2026-04-13 |
| Administrative expenses excluding investment management | $27,947 | derived, admin_expenses (2i(12)) minus invst_mgmt_fees (2i(5)), floored at 0; filing 20260413133603NAL0022159746001, received 2026-04-13 |
| Held in master trusts | $0 | Schedule H, line 1c(11) col (b); INT_MASTER_TR_EOY_AMT pos 53; filing 20260413133603NAL0022159746001, received 2026-04-13 |
| Held in common/collective trusts | $439,729 | Schedule H, line 1c(9) col (b); INT_COMMON_TR_EOY_AMT pos 51; filing 20260413133603NAL0022159746001, received 2026-04-13 |
| Held in mutual funds | $57,199,931 | Schedule H, line 1c(13) col (b); INT_REG_INVST_CO_EOY_AMT pos 55; filing 20260413133603NAL0022159746001, received 2026-04-13 |
| Independent auditor | DAVID L BUCK, CPA | Schedule H, Part III line 3a; ACCOUNTANT_FIRM_NAME pos 116; filing 20260413133603NAL0022159746001, received 2026-04-13 |
Position = column in the DOL layout for form year 2024. Filing 20260413133603NAL0022159746001, received 2026-04-13.
| Provider | Relationship | Service codes | Direct compensation | Indirect |
|---|---|---|---|---|
| ALLIANCEBERNSTEIN L.P. | ADVISOR | 27 Investment advisory (plan) | $77,667 | no |
| FIDELITY INVESTMENTS INSTITUTIONALrecordkeeper | RECORDKEEPER | 37 Participant loan processing; 60 Sub-transfer agency fees; 64 Recordkeeping fees; 65 Account maintenance fees; 71 Securities brokerage commissions and fees | $31,272 | yes |
Schedule C Part I line 2: name (a), service codes (b), relationship (c), direct compensation paid by the plan (d), indirect compensation received (e). Filing 20260413133603NAL0022159746001, received 2026-04-13.
| Figure | 2023 | 2024 | Change |
|---|---|---|---|
| Total assets | $54,659,923 | $64,992,917 | 18.9% |
| Participants with a balance | 197 | 208 | 5.6% |
| Administrative expenses | $74,357 | $105,614 | 42.0% |
| Recordkeeping fees per participant | $23.06 | $134.36 | 482.6% |
| Employer contributions | $689,093 | $1,015,269 | 47.3% |
Prior filing 20250403172159NAL0010631633001, received 2025-04-03; the plan years are contiguous.
Sponsor name as filed: ROTH CAPITAL PARTNERS, LLC; SEC registrant: ROTH CAPITAL PARTNERS, LLC (CIK 748532, matched by EIN).