Plan Snapshot
- Plan Sponsor: Daiwa Capital Markets America INC.
- Sponsor EIN: 135680329
- Sponsor Address: 1251 AVENUE OF THE AMERICAS, NEW YORK, NY, 10020
- Plan Type: 401(k)
- Total Participants: 301
- Total Assets: $155.1M
Key Plan Design Features
- Auto-Enrollment: Yes
- Auto-Escalation: No
- Allows Roth Contributions: No
- Participant Loans: No
- Participant-Directed Investments: Yes
- ERISA Section 404(c) Fiduciary Safe Harbor: Yes
Plan Financials by Year
| Year | Participants | Total Assets | Employer Contrib. | Employee Contrib. |
|---|---|---|---|---|
| 2024 | 301 | $155.1M | $3.1M | $5.4M |
| 2023 | 299 | $149.3M | $3.2M | $5.2M |
| 2022 | 311 | $138.2M | $3.1M | $4.8M |
Service Providers (Schedule C)
Vendors paid $5,000 or more for services to the plan, ranked by total compensation (direct + indirect fees).
| Provider Name | Role | Direct Compensation | Indirect Compensation | Total Fees |
|---|---|---|---|---|
| PKF O'CONNOR DAVIES, LLP | Auditor | $28,750 | — | $28,750 |
Verified Provider Profiles
Direct links to verified profiles of matched retirement plan providers on PlanProvider.Pro:
- PKF O'CONNOR DAVIES, LLP — Auditor
Plan Fees & Expenses
Annual service provider fees and administrative expenses sourced from DOL Form 5500 filings.
- Total Service Provider Fees: $28,750
- Estimated Expense Ratio: 0.019% of plan assets
Historical Administrative Expenses
Breakdown of administrative expense categories reported on Form 5500 filings.
| Year | Total Admin Expenses | Investment Mgmt Fees | Contract Admin Fees | IQPA Audit Fees | Professional Fees |
|---|---|---|---|---|---|
| 2024 | $29,840 | — | — | $28,750 | — |
| 2023 | $28,986 | — | — | $27,300 | — |
| 2022 | $29,465 | — | — | — | — |