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Original filing (PDF)20251015071933NAL0008445586002
MAXIM GROUP, LLC
Form 5500
FILING_RECEIVED
MAXIM GROUP, LLC 401(K) PLAN
401(k) retirement plan
Signals · 1
No recordkeeper disclosed
Active participants
173
Accounts w/ balance
213
Plan assets (EOY)
$78.0M
Net assets (EOY)
$78.0M
How this plan invests
This plan
27 pooled trusts
Schedule D
42 securities
funds · stocks · CUSIPs
Holdings are itemized directly on this plan's Schedule of Assets, below.
Plan health score (directional)
92
/ 100
Grade A
Top-tier plan health
Directional indicator computed from public Form 5500 data — compliance, concentration, cost, vendor stack and participation. Not a fiduciary tool.
Compliance & disclosures
100
Concentration risk
100
Total plan cost
75
Vendor stack
80
Participation health
100
Knocking points off
- No recordkeeper disclosed on Schedule C.
Helping the score
- No Schedule C compensation disclosed — likely a small plan or unbundled.
Decision-maker contacts
CFO / Head of HR / Benefits Manager — verified email + LinkedIn for MAXIM GROUP, LLC.
Plan sponsor
Name
MAXIM GROUP, LLC
EIN
04-3640096
Address
100 CROSSWAYS PARK DRIVE WEST · SUITE 207 · WOODBURY, NY · 11797
Phone
(516) 393-8300
Industry
Finance & Insurancesee all
Plan administrator
Same as plan sponsor.
Plan characteristics
Plan number
001
Plan year
2024
Plan year begin
2024-01-01
Tax period
2024-12-31
Filed
2025-10-15
Pension benefit codes
2E · Profit-sharing
2G · Total participant-directed accounts
2J · 401(k) feature
2K · 401(m) arrangement
3B · Covers self-employed individuals
Audit & trust (Schedule H)
Auditor
CITRIN COOPEMAN & COMPANY LLP
Trustee / custodian
—
Trustee phone
—
Service providers (Schedule C)
2 rowsTPA / Administrator
1| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| PRINCIPAL LIFE INSURANCE COMPANY | 42-0127290 | — | CONTRACT ADMINISTRATOR | — | — |
Other
1| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| DANZIGER & MARKHOFF LLP | 13-3010201 | — | OTHER SERVICES | — | — |
Investments
19 direct securities · 27 pooled funds· $81.9M(100% of reported assets)
Rows tagged as a trust or pooled fund hold many underlying securities. Click one to drill into its own Schedule of Assets — where the individual funds, shares, and CUSIPs live.
Pooled Separate Account
$44.1M
13 holdings
Uncategorized
$32.3M
19 holdings
Common Collective Trust
$5.6M
14 holdings
| PI | Investment | Type | Shares / units | Cost | Current value | % of plan |
|---|---|---|---|---|---|---|
| PRIN LARGECAP GROWTH I SA-Z PRINCIPAL LIFE INSURANCE COMPANY · EIN 42-0127290 / PN 066 | Pooled Separate Account | — | — | $12.6M | 16.1% | |
| PRIN CAPITAL APPR SA-Z PRINCIPAL LIFE INSURANCE COMPANY · EIN 42-0127290 / PN 119 | Pooled Separate Account | — | — | $8.6M | 11.1% | |
| PRIN LGCAP S&P 500 INDEX SA-Z PRINCIPAL LIFE INSURANCE COMPANY · EIN 42-0127290 / PN 016 | Pooled Separate Account | — | — | $6.6M | 8.5% | |
| JPMorgan JP Morgan Mid Cap Gr R6 Fund | — | — | — | $6.6M | 8.4% | |
| Principal Funds Prin Fixed Inc Guar Option | — | — | — | $6.0M | 7.7% | |
| PRIN MIDCAP SEP ACCT-Z PRINCIPAL LIFE INSURANCE COMPANY · EIN 42-0127290 / PN 020 | Pooled Separate Account | — | — | $3.7M | 4.8% | |
| Principal Funds Prin Lg Cap S&P 500 ldx SA-R6 | — | — | — | $3.7M | 4.8% | |
| Invesco Sm Cap Growth R6 Fund | — | — | — | $3.3M | 4.2% | |
| PRIN LARGECAP VALUE III SA-Z PRINCIPAL LIFE INSURANCE COMPANY · EIN 42-0127290 / PN 068 | Pooled Separate Account | — | — | $3.1M | 4.0% | |
| Columbia Threadneedle Columbia Dividend Income Fund | — | — | — | $2.3M | 2.9% | |
| PRIN DIVERSIFIED INTL SA-Z PRINCIPAL LIFE INSURANCE COMPANY · EIN 42-0127290 / PN 015 | Pooled Separate Account | — | — | $2.2M | 2.9% | |
| Victory Capital Management Inc. Victory lnteg Sm Cap Val Y Fd | — | — | — | $1.8M | 2.4% | |
| Capital Group Am Funds Am Balanced R6Fund | — | — | — | $1.7M | 2.2% | |
| PRIN SMALLCAP SEP ACCT-Z PRINCIPAL LIFE INSURANCE COMPANY · EIN 42-0127290 / PN 029 | Pooled Separate Account | — | — | $1.6M | 2.1% | |
| PRIN INTL SMALLCAP SEP ACCT-Z PRINCIPAL LIFE INSURANCE COMPANY · EIN 42-0127290 / PN 014 | Pooled Separate Account | — | — | $1.6M | 2.1% | |
| PRINCORE PLUS BOND SEP ACT-Z PRINCIPAL LIFE INSURANCE COMPANY · EIN 42-0127290 / PN 005 | Pooled Separate Account | — | — | $1.4M | 1.8% | |
| Pacific Investment Management Company PIMCO Short-Term Fund Inst Class | — | — | — | $1.3M | 1.7% | |
| PRIN LIFETIME HYB 2040 CIT Z PRINCIPAL GLOBAL INVESTORS TRUST CO · EIN 26-6447574 / PN 007 | Common Collective Trust | — | — | $1.2M | 1.5% | |
| PRIN LIFETIME HYB 2030 CIT Z PRINCIPAL GLOBAL INVESTORS TRUST CO · EIN 26-6447574 / PN 005 | Common Collective Trust | — | — | $1.1M | 1.4% | |
| Dimensional Fund Advisors DFA Emerging Markets Small Cap I | — | — | — | $1.1M | 1.4% | |
| John Hancock John Hancock Disciplined Value Mid | — | — | — | $1.0M | 1.3% | |
| PRIN LIFETIME HYB 2050 CIT Z PRINCIPAL GLOBAL INVESTORS TRUST CO · EIN 26-6447574 / PN 009 | Common Collective Trust | — | — | $926K | 1.2% | |
| PRIN GOVT & HQ BOND SA-Z PRINCIPAL LIFE INSURANCE COMPANY · EIN 42-0127290 / PN 007 | Pooled Separate Account | — | — | $916K | 1.2% | |
| PRIN MIDCAP S&P 400 IDX SA-Z PRINCIPAL LIFE INSURANCE COMPANY · EIN 42-0127290 / PN 023 | Pooled Separate Account | — | — | $748K | 1.0% | |
| Fund AllianceBernstein L.P. AllianBern High Income I Fund | — | — | — | $668K | 0.9% | |
| PRIN SMCAP S&P 600 INDEX SA-Z PRINCIPAL LIFE INSURANCE COMPANY · EIN 42-0127290 / PN 028 | Pooled Separate Account | — | — | $657K | 0.8% | |
| First Eagle First Eagle Gold Fund | — | — | — | $633K | 0.8% | |
| Principal Funds Prin Government Money Market | — | — | — | $548K | 0.7% | |
| PRIN LIFETIME HYB 2055 CIT Z PRINCIPAL GLOBAL INVESTORS TRUST CO · EIN 26-6447574 / PN 010 | Common Collective Trust | — | — | $529K | 0.7% | |
| Cap Pacific Investment Management Company PIMCO CommodityRealReturn | — | — | — | $477K | 0.6% | |
| Strategy * Notes receivable from participants Interest rates ranging from 4.25% - | — | — | — | $391K | 0.5% | |
| PRIN LIFETIME HYB INC CIT Z PRINCIPAL GLOBAL INVESTORS TRUST CO · EIN 26-6447574 / PN 011 | Common Collective Trust | — | — | $376K | 0.5% | |
| PRIN LIFETIME HYB 2060 CIT Z PRINCIPAL GLOBAL INVESTORS TRUST CO · EIN 26-6447574 / PN 012 | Common Collective Trust | — | — | $333K | 0.4% | |
| PRIN LIFETIME HYB 2035 CIT Z PRINCIPAL GLOBAL INVESTORS TRUST CO · EIN 26-6447574 / PN 006 | Common Collective Trust | — | — | $286K | 0.4% | |
| PRIN LIFETIME HYB 2025 CIT Z PRINCIPAL GLOBAL INVESTORS TRUST CO · EIN 26-6447574 / PN 004 | Common Collective Trust | — | — | $282K | 0.4% | |
| PRIN LIFETIME HYB 2045 CIT Z PRINCIPAL GLOBAL INVESTORS TRUST CO · EIN 26-6447574 / PN 008 | Common Collective Trust | — | — | $248K | 0.3% | |
| Pacific Investment Management Company PIMCO Investment Grade Ct Bond | — | — | — | $221K | 0.3% | |
| Fd Vanguard Long-Term Inv-Grade Fd | — | — | — | $220K | 0.3% | |
| PRIN LIFETIME HYB 2020 CIT Z PRINCIPAL GLOBAL INVESTORS TRUST CO · EIN 26-6447574 / PN 003 | Common Collective Trust | — | — | $219K | 0.3% | |
| Principal Funds Principal Inflation Protection | — | — | — | $216K | 0.3% | |
| PRIN INFLATION PROTECT SA-Z PRINCIPAL LIFE INSURANCE COMPANY · EIN 42-0127290 / PN 099 | Pooled Separate Account | — | — | $216K | 0.3% | |
| Cohen & Steers Cohn & Steers RE Est Sec Z | — | — | — | $92K | 0.1% | |
| PRIN LIFETIME HYB 2065 CIT Z PRINCIPAL GLOBAL INVESTORS TRUST CO · EIN 26-6447574 / PN 013 | Common Collective Trust | — | — | $46K | <0.1% | |
| PRIN LIFETIME HYB 2015 CIT Z PRINCIPAL GLOBAL INVESTORS TRUST CO · EIN 26-6447574 / PN 002 | Common Collective Trust | — | — | $38K | <0.1% | |
| PRIN LIFETIME HYB 2070 CIT Z PRINCIPAL GLOBAL INVESTORS TRUST CO · EIN 26-6447574 / PN 014 | Common Collective Trust | — | — | $5 | <0.1% | |
| MORLEY STABLE VALUE FUND PRINCIPAL GLOBAL INVESTORS TRUST CO · EIN 93-6274329 / PN 001 | Common Collective Trust | — | — | $0 | <0.1% |
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