Plan Snapshot
- Plan Sponsor: Nomura Securities International, INC.
- Sponsor EIN: 132642206
- Sponsor Address: WORLD WIDE PLAZA, NEW YORK, NY, 10019
- Plan Type: 401(k)
- Total Participants: 2,190
- Total Assets: $1.2B
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 | 2,190 | $1.2B | $37.9M | $34.5M |
| 2023 | 2,107 | $1.0B | $34.9M | $32.7M |
| 2022 | 1,923 | $848.2M | $29.8M | $28.8M |
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 |
|---|---|---|---|---|
| THE VANGUARD GROUP, INC. | NONE | $286,071 | — | $286,071 |
| VANGUARD ADVISERS INC. | NONE | $172,928 | — | $172,928 |
| MITCHELL & TITUS | Auditor | — | — | $0 |
Verified Provider Profiles
Direct links to verified profiles of matched retirement plan providers on PlanProvider.Pro:
- THE VANGUARD GROUP, INC. — NONE
- VANGUARD ADVISERS INC. — NONE
- MITCHELL & TITUS — Auditor
Plan Fees & Expenses
Annual service provider fees and administrative expenses sourced from DOL Form 5500 filings.
- Total Service Provider Fees: $458,999
- Estimated Expense Ratio: 0.038% 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 | $455,598 | — | — | — | — |
| 2023 | $450,375 | — | — | — | — |
| 2022 | $361,630 | — | — | — | — |