2023 Form 5500 filing — Roth Capital Partners, LLC 401(K) Plan
Plain-English filing 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, this is the 2023 Form 5500 filing (EFAST2 acknowledgement 20250403172159NAL0010631633001) for Roth Capital Partners, LLC 401(K) Plan, reported by Roth Capital Partners, LLC under EIN 33-0947643 and plan number 001. It reports 257 participants. Attached schedules in the loaded dataset include Schedule H (large plan financials), Schedule C (service provider compensation).
- EFAST2 acknowledgement
- 20250403172159NAL0010631633001
- Filing year
- 2023
- Form type
- 2
- Plan sponsor
- Roth Capital Partners, LLC
- EIN
- 33-0947643
- Plan number
- 001
- Location
- Newport Beach, CA
- Participants
- 257
- Schedules available
- Schedule H, Schedule C
- Received date
- not reported in the loaded dataset
Reported financial snapshot (2023)
- Total assets (EOY)
- $54,659,923
- Total liabilities (EOY)
- $0
- Net assets (EOY)
- $54,659,923
- Employer contributions
- $689,093
- Participant contributions
- $3,799,862
- Total income / additions
- $13,548,387
- Benefits paid
- $4,254,540
- Administrative expenses
- $74,357
- Total expenses
- $4,343,225
- Net increase / (decrease)
- $9,205,162
- Schedule source
- Schedule H
Reported service provider compensation (Schedule C)
| Provider | Service | Direct comp. | Indirect comp. |
|---|---|---|---|
| Wellspring Financial Partners | INVESTMENT ADIVSOR | $52,185 | not reported in the loaded dataset |
| Alliancebernstein Lp | ADVISOR | $17,329 | not reported in the loaded dataset |
| Fidelity Investments Institutional | RECORDKEEPER | $4,940 | $0 |