BNY Mellon Investment Adviser, Inc. (EIN 76-6192146) files Form 5500 as a direct filing entity (DFE) — a pooled investment vehicle such as a collective trust, master trust, or 103-12 entity that employer plans invest in, not an employer-sponsored plan. Its 3 filings report $3.8B in assets.
| Plan | Plan # | Participants | Assets |
|---|---|---|---|
| NCS Group Trust - Global Fund | 003 | 0 | $2.7B |
| NCS Group Trust - International Fund | 001 | 0 | $1.1B |
| NCS Group Trust - Global Emerging Markets Fund | 002 | 0 | $0 |
76-6192146 is the Employer Identification Number (EIN) BNY Mellon Investment Adviser, Inc. reports on its Form 5500 filings as a direct filing entity. DFEs are pooled investment vehicles — collective trusts, master trusts, and similar entities — that file their own Form 5500 so the employer plans investing in them can reference it on Schedule D. A DFE has no employees or participants of its own.
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