# Daiwa Capital Markets America INC. 401(k) Plan
Source: https://planprovider.pro/companies/daiwa-capital-markets-america-inc-401k-plan

> Daiwa Capital Markets America INC.'s 401(k) plan: 301 participants, plan year 2024 financials, providers, and benchmarks from Form 5500.

Form 5500 filing data for plan year 2024.

## 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](https://planprovider.pro/provider/bpas) — 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|—|—|—|—|

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[View full interactive plan profile on PlanProvider.Pro](https://planprovider.pro/companies/daiwa-capital-markets-america-inc-401k-plan)

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