Employers › Daiwa Capital Markets America
Recordkeeping fees per participant · Daiwa Capital Markets America Inc. Retirement Investment Plan · plan year 2024
$2.43
Higher than 3% of the 5,847 plans $50 to 250M that report it.
= $1,090 / 449
Schedule H, line 2i(3); OTH_RECORDKEEPING_FEES_AMT pos 160; filing 20250915110955NAL0001692320001, received 2025-09-15
participants_with_balance: Form 5500, line 6g(2); PARTCP_ACCOUNT_BAL_CNT pos 78; filing 20250915110955NAL0001692320001, received 2025-09-15
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 2024-01-01 to 2024-12-31, filing received 2025-09-15.
Administrative expenses excluding investment management, per participant
$66.46
Higher than 33% of the 8,758 plans $50 to 250M that report it.
= $29,840 / 449
derived, admin_expenses (2i(12)) minus invst_mgmt_fees (2i(5)), floored at 0; filing 20250915110955NAL0001692320001, received 2025-09-15
participants_with_balance: Form 5500, line 6g(2); PARTCP_ACCOUNT_BAL_CNT pos 78; filing 20250915110955NAL0001692320001, received 2025-09-15
Administrative expenses per participant
$66.46
Higher than 22% of the 9,042 plans $50 to 250M that report it.
= $29,840 / 449
Schedule H, line 2i(12) total administrative expenses; TOT_ADMIN_EXPENSES_AMT pos 109; filing 20250915110955NAL0001692320001, received 2025-09-15
participants_with_balance: Form 5500, line 6g(2); PARTCP_ACCOUNT_BAL_CNT pos 78; filing 20250915110955NAL0001692320001, received 2025-09-15
Administrative expenses as a share of assets
0.019%
Higher than 9% of the 9,049 plans $50 to 250M that report it.
= $29,840 / $155,076,020
Schedule H, line 2i(12) total administrative expenses; TOT_ADMIN_EXPENSES_AMT pos 109; filing 20250915110955NAL0001692320001, received 2025-09-15
assets_eoy: Schedule H, Part I line 1f col (b); TOT_ASSETS_EOY_AMT pos 61; filing 20250915110955NAL0001692320001, received 2025-09-15
Employer contributions per participant
$6,971
Higher than 87% of the 9,105 plans $50 to 250M that report it.
= $3,130,045 / 449
Schedule H, Part II line 2a(1)(A); EMPLR_CONTRIB_INCOME_AMT pos 68; filing 20250915110955NAL0001692320001, received 2025-09-15
participants_with_balance: Form 5500, line 6g(2); PARTCP_ACCOUNT_BAL_CNT pos 78; filing 20250915110955NAL0001692320001, received 2025-09-15
Employer share of total contributions
33.9%
Higher than 64% of the 9,112 plans $50 to 250M that report it.
= $3,130,045 / $9,243,922
Schedule H, Part II line 2a(1)(A); EMPLR_CONTRIB_INCOME_AMT pos 68; filing 20250915110955NAL0001692320001, received 2025-09-15
total_contrib: Schedule H, line 2a(3); TOT_CONTRIB_AMT pos 72; filing 20250915110955NAL0001692320001, received 2025-09-15
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 · Form 5500, line 8a; TYPE_PENSION_BNFT_CODE pos 81; filing 20250915110955NAL0001692320001, received 2025-09-15
| Field | Value | Source |
|---|---|---|
| Plan sponsor | DAIWA CAPITAL MARKETS AMERICA INC. | Form 5500, Part II line 2a; SPONSOR_DFE_NAME pos 19; filing 20250915110955NAL0001692320001, received 2025-09-15 |
| Plan name | DAIWA CAPITAL MARKETS AMERICA INC. RETIREMENT INVESTMENT PLAN | Form 5500, line 1a; PLAN_NAME pos 16; filing 20250915110955NAL0001692320001, received 2025-09-15 |
| Sponsor EIN / plan number | 13-5680329 / 001 | Form 5500, line 2b; SPONS_DFE_EIN pos 44; filing 20250915110955NAL0001692320001, received 2025-09-15 |
| Plan type | single-employer | Form 5500, Part I line A; TYPE_PLAN_ENTITY_CD pos 4; filing 20250915110955NAL0001692320001, received 2025-09-15 |
| Sponsor location | NEW YORK, NY | Form 5500, line 2a; SPONS_DFE_MAIL_US_STATE pos 25; filing 20250915110955NAL0001692320001, received 2025-09-15 |
| Industry (business code) | 523120, Finance and insurance | Form 5500, line 2d; BUSINESS_CODE pos 46; filing 20250915110955NAL0001692320001, received 2025-09-15 |
| Plan year | 2024-01-01 to 2024-12-31 | Form 5500, Part I plan year; FORM_PLAN_YEAR_BEGIN_DATE pos 2; filing 20250915110955NAL0001692320001, received 2025-09-15 |
| Filing received | 2025-09-15 | Form 5500, EFAST2 receipt date; DATE_RECEIVED pos 102; filing 20250915110955NAL0001692320001, received 2025-09-15 |
| Final filing | no | Form 5500, Part I line B; FINAL_FILING_IND pos 8; filing 20250915110955NAL0001692320001, received 2025-09-15 |
| Amended filing | no | Form 5500, Part I line B; AMENDED_IND pos 7; filing 20250915110955NAL0001692320001, received 2025-09-15 |
| Participants, beginning of year | 473 | Form 5500, line 5; TOT_PARTCP_BOY_CNT pos 71; filing 20250915110955NAL0001692320001, received 2025-09-15 |
| Active participants | 301 | Form 5500, line 6a(2); TOT_ACTIVE_PARTCP_CNT pos 72; filing 20250915110955NAL0001692320001, received 2025-09-15 |
| Participants, end of year | 465 | Form 5500, line 6f; TOT_ACT_RTD_SEP_BENEF_CNT pos 77; filing 20250915110955NAL0001692320001, received 2025-09-15 |
| Participants with an account balance | 449 | Form 5500, line 6g(2); PARTCP_ACCOUNT_BAL_CNT pos 78; filing 20250915110955NAL0001692320001, received 2025-09-15 |
| Total assets, beginning of year | $149,279,832 | Schedule H, Part I line 1f col (a); TOT_ASSETS_BOY_AMT pos 30; filing 20250915110955NAL0001692320001, received 2025-09-15 |
| Total assets, end of year | $155,076,020 | Schedule H, Part I line 1f col (b); TOT_ASSETS_EOY_AMT pos 61; filing 20250915110955NAL0001692320001, received 2025-09-15 |
| Net assets, end of year | $155,076,020 | Schedule H, line 1l col (b); NET_ASSETS_EOY_AMT pos 67; filing 20250915110955NAL0001692320001, received 2025-09-15 |
| Total income | $24,654,774 | Schedule H, Part II line 2d; TOT_INCOME_AMT pos 97; filing 20250915110955NAL0001692320001, received 2025-09-15 |
| Net income | $5,796,188 | Schedule H, line 2k; NET_INCOME_AMT pos 111; filing 20250915110955NAL0001692320001, received 2025-09-15 |
| Employer contributions | $3,130,045 | Schedule H, Part II line 2a(1)(A); EMPLR_CONTRIB_INCOME_AMT pos 68; filing 20250915110955NAL0001692320001, received 2025-09-15 |
| Participant contributions | $5,357,249 | Schedule H, line 2a(1)(B); PARTICIPANT_CONTRIB_AMT pos 69; filing 20250915110955NAL0001692320001, received 2025-09-15 |
| Other contributions (incl. rollovers) | $756,628 | Schedule H, line 2a(1)(C); OTH_CONTRIB_RCVD_AMT pos 70; filing 20250915110955NAL0001692320001, received 2025-09-15 |
| Total contributions | $9,243,922 | Schedule H, line 2a(3); TOT_CONTRIB_AMT pos 72; filing 20250915110955NAL0001692320001, received 2025-09-15 |
| Benefit payments | $18,817,672 | Schedule H, line 2e(4); TOT_DISTRIB_BNFT_AMT pos 101; filing 20250915110955NAL0001692320001, received 2025-09-15 |
| Total expenses (incl. benefit payments) | $18,858,586 | Schedule H, line 2j; TOT_EXPENSES_AMT pos 110; filing 20250915110955NAL0001692320001, received 2025-09-15 |
| Total administrative expenses | $29,840 | Schedule H, line 2i(12) total administrative expenses; TOT_ADMIN_EXPENSES_AMT pos 109; filing 20250915110955NAL0001692320001, received 2025-09-15 |
| Recordkeeping fees | $1,090 | Schedule H, line 2i(3); OTH_RECORDKEEPING_FEES_AMT pos 160; filing 20250915110955NAL0001692320001, received 2025-09-15 |
| IQPA audit fees | $28,750 | Schedule H, line 2i(4); IQPA_AUDIT_FEES_AMT pos 161; filing 20250915110955NAL0001692320001, received 2025-09-15 |
| Administrative expenses excluding investment management | $29,840 | derived, admin_expenses (2i(12)) minus invst_mgmt_fees (2i(5)), floored at 0; filing 20250915110955NAL0001692320001, received 2025-09-15 |
| Held in common/collective trusts | $12,428,694 | Schedule H, line 1c(9) col (b); INT_COMMON_TR_EOY_AMT pos 51; filing 20250915110955NAL0001692320001, received 2025-09-15 |
| Held in mutual funds | $126,151,509 | Schedule H, line 1c(13) col (b); INT_REG_INVST_CO_EOY_AMT pos 55; filing 20250915110955NAL0001692320001, received 2025-09-15 |
| Independent auditor | PKF O'CONNOR DAVIES, LLP | Schedule H, Part III line 3a; ACCOUNTANT_FIRM_NAME pos 116; filing 20250915110955NAL0001692320001, received 2025-09-15 |
Position = column in the DOL layout for form year 2024. Filing 20250915110955NAL0001692320001, received 2025-09-15.
| Provider | Relationship | Service codes | Direct compensation | Indirect |
|---|---|---|---|---|
| PKF O'CONNOR DAVIES, LLP | ACCOUNTANT | 70 Consulting fees | $28,750 | no |
| MERRILL LYNCH, PIERCE, FENNER AND Srecordkeeper | RECORDKEEPER | 15 Recordkeeping and information management; 52 Investment management fees paid indirectly by plan; 59 Shareholder servicing fees; 60 Sub-transfer agency fees; 62 Float revenue; 63 Distribution (12b-1) fees; 72 Other investment fees and expenses | $1,090 | 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 20250915110955NAL0001692320001, received 2025-09-15.
| Figure | 2023 | 2024 | Change |
|---|---|---|---|
| Total assets | $149,279,832 | $155,076,020 | 3.9% |
| Participants with a balance | 456 | 449 | -1.5% |
| Administrative expenses | $28,986 | $29,840 | 2.9% |
| Recordkeeping fees per participant | $2.59 | $2.43 | -6.2% |
| Employer contributions | $3,167,314 | $3,130,045 | -1.2% |
Prior filing 20241003084039NAL0020105714001, received 2024-10-03; the plan years are contiguous.
Sponsor name as filed: DAIWA CAPITAL MARKETS AMERICA INC.; SEC registrant: Daiwa Capital Markets America Inc. (CIK 1489000, matched by EIN).