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Original filing (PDF)20251002095709NAL0000502128001
CREDIT SUISSE SECURITIES USA LLC
Form 5500
FILING_RECEIVED
EMPLOYEES SAVINGS AND RETIREMENT PLAN OF CREDIT SUISSE
401(k) retirement plan
Signals · 1
7 service providers
Active participants
9
Accounts w/ balance
10,945
Plan assets (EOY)
$5.4B
Net assets (EOY)
$5.4B
How this plan invests
This plan
19 pooled trusts
Schedule D
41 securities
funds · stocks · CUSIPs
Holdings are itemized directly on this plan's Schedule of Assets, below.
Plan health score (directional)
100
/ 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
100
Vendor stack
100
Participation health
100
Helping the score
- Below-peer total fees (1 bps vs 5 bps peer median).
Decision-maker contacts
CFO / Head of HR / Benefits Manager — verified email + LinkedIn for CREDIT SUISSE SECURITIES USA LLC.
Plan sponsor
Name
CREDIT SUISSE SECURITIES USA LLC
EIN
05-0546650
Address
11 MADISON AVENUE, FLOOR 8 · NEW YORK, NY · 10010
Phone
(212) 325-2000
Industry
Finance & Insurancesee all
Plan administrator
Name
EMPLOYEE BENEFITS COMMITTEE OF UBS AG
EIN
98-0186363
City
WEEHAWKEN, NJ
Phone
(212) 325-2000
Plan characteristics
Plan number
002
Plan year
2024
Plan year begin
2024-01-01
Tax period
2024-12-31
Filed
2025-10-02
Pension benefit codes
2E · Profit-sharing
2F · ERISA section 404(c)
2G · Total participant-directed accounts
2J · 401(k) feature
2K · 401(m) arrangement
2S · Automatic enrollment
2T · Default investment account (QDIA)
3F · Sponsor used leased employees
3H · Sponsor in controlled / affiliated group
Audit & trust (Schedule H)
Auditor
ERNST & YOUNG LLP
Trustee / custodian
—
Trustee phone
—
Service providers (Schedule C)
7 rowsOther
7| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| ALIGHT SOLUTIONS | 82-1061233 | — | NONE | $182K | — |
| JOE HUBER | 14-4367883 | — | NONE | $100K | — |
| THOMPSON HINE | 34-0575300 | — | NONE | $72K | — |
| PRICEWATERHOUSECOOPERS LLP | 13-4008324 | — | NONE | $69K | — |
| BUCK CONSULTANTS | 13-3954297 | — | NONE | $16K | — |
| MCLAGAN PARTNERS, INC. | 13-3975524 | — | NONE | $5K | — |
| FIDELITY INVESTMENTS | 04-2647786 | — | NONE | $0 | — |
Investments
22 direct securities · 19 pooled funds· $5.4B(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.
Uncategorized
$3.3B
22 holdings
Common Collective Trust
$2.1B
19 holdings
| PI | Investment | Type | Shares / units | Cost | Current value | % of plan |
|---|---|---|---|---|---|---|
| Fidelity Blue Chip Growth Fund K6 Mutual Funds; 18777731.868shares | — | — | $18.8M | $691.6M | 12.7% | |
| VANGUARD TOTAL STOCK MARKET INDEX VANGUARD FIDUCIARY TRUST COMPANY · EIN 81-6316167 / PN 001 | Common Collective Trust | — | $2.0M | $527.0M | 9.7% | |
| Vanguard Growth Index Fund Mutual Funds; 2,425,090.516 shares | — | — | $2.4M | $512.3M | 9.4% | |
| Vanguard LifeStrategy Growth Fund Pooled separate accounts; 24,429,299.788 shares | — | — | $24.4M | $376.5M | 6.9% | |
| Alliance Growth Fund Pooled separate accounts; 4,508,826.201 shares | — | — | $4.5M | $319.8M | 5.9% | |
| NT COLLECTIVE GOVT SHORT TERM FUND NORTHERN TRUST INVESTMENTS, INC. · EIN 45-6138589 / PN 068 | Common Collective Trust | — | — | $289.1M | 5.3% | |
| Vanguard Value Index Institutional Shares Mutual Funds; 3,678,065.521 shares | — | — | $3.7M | $242.9M | 4.5% | |
| Vanguard Prime Cap Fund Mutual Funds; 1,457,141.811 shares | — | — | $1.5M | $242.4M | 4.5% | |
| T. ROWE PRICE RETIREMENT 2035 T.ROWE PRICE TRUST COMPANY · EIN 36-7595013 / PN 001 | Common Collective Trust | — | $5.6M | $191.4M | 3.5% | |
| T. ROWE PRICE RETIREMENT 2045 T.ROWE PRICE TRUST COMPANY · EIN 32-6199848 / PN 001 | Common Collective Trust | — | $4.9M | $182.6M | 3.4% | |
| T. ROWE PRICE RETIREMENT 2040 T.ROWE PRICE TRUST COMPANY · EIN 35-6941729 / PN 001 | Common Collective Trust | — | $5.0M | $181.7M | 3.3% | |
| T. ROWE PRICE RETIREMENT 2050 T.ROWE PRICE TRUST COMPANY · EIN 30-6303214 / PN 001 | Common Collective Trust | — | $4.1M | $152.2M | 2.8% | |
| T. Rowe Price New Horizons Fund I Mutual Funds; 2,444,181.849 shares | — | — | $2.4M | $137.4M | 2.5% | |
| T. ROWE PRICE RETIREMENT 2055 T.ROWE PRICE TRUST COMPANY · EIN 35-6941728 / PN 001 | Common Collective Trust | — | $3.6M | $134.3M | 2.5% | |
| T. ROWE PRICE RETIREMENT 2030 T.ROWE PRICE TRUST COMPANY · EIN 38-7010946 / PN 001 | Common Collective Trust | — | $4.1M | $128.7M | 2.4% | |
| Vanguard Mid Cap Index Fund Mutual Funds; 332,564.528 shares | — | — | $333K | $118.4M | 2.2% | |
| Vanguard Intermediate-Term Investment-Grade Fund Admiral Shares Mutual Funds; 10,610,833.045 shares | — | — | $10.6M | $90.8M | 1.7% | |
| Vanguard LifeStrategy Moderate Growth Fund Pooled separate accounts; 6,293,688.579 shares | — | — | $6.3M | $80.9M | 1.5% | |
| VANGUARD TOTAL INTL STOCK MKT INDEX VANGUARD FIDUCIARY TRUST COMPANY · EIN 84-6548531 / PN 001 | Common Collective Trust | — | $735K | $76.2M | 1.4% | |
| T. ROWE PRICE RETIREMENT 2025 T.ROWE PRICE TRUST COMPANY · EIN 37-6495447 / PN 001 | Common Collective Trust | — | $2.5M | $71.2M | 1.3% | |
| Fidelity Diversified International Str Pooled separate accounts; 4,265,720.286 shares | — | — | $4.3M | $64.6M | 1.2% | |
| T. Rowe Price Small-Cap Value Fund Mutual Funds; 1,203,416.037 shares | — | — | $1.2M | $63.5M | 1.2% | |
| Fidelity Low Priced Stock Str Pooled separate accounts; 2,845,217.913 shares | — | — | $2.8M | $60.5M | 1.1% | |
| Vanguard Healthcare Admiral Shares Mutual Funds; 779,408.750 shares | — | — | $779K | $59.9M | 1.1% | |
| CREDIT SUISSE FLOATING RATE TRUST GREAT GRAY TRUST COMPANY, LLC · EIN 46-3073254 / PN 179 | Common Collective Trust | — | $3.1M | $54.1M | 1.0% | |
| Fidelity Emerging Markets Mutual Funds; 1393229.814shares | — | — | $1.4M | $53.1M | 1.0% | |
| Vanguard Energy Fund Admiral Shares Mutual Funds; 637,346.355 shares | — | — | $637K | $51.5M | 0.9% | |
| T. ROWE PRICE RETIREMENT 2060 T.ROWE PRICE TRUST COMPANY · EIN 47-1088316 / PN 001 | Common Collective Trust | — | $2.0M | $47.4M | 0.9% | |
| Vanguard Inflation Protected Institutional Shares Mutual Funds; 4,573,679.976 shares | — | — | $4.6M | $41.9M | 0.8% | |
| Vanguard High-Yield Corporate Fund Admiral Mutual Funds; 6,676,029.202 shares | — | — | $6.7M | $36.2M | 0.7% | |
| Vanguard REIT Index Institutional Shares Mutual Funds; 1,450,969.321 shares | — | — | $1.5M | $28.4M | 0.5% | |
| American Funds Europacific Growth Mutual Funds; 525,204.453 shares | — | — | $525K | $28.2M | 0.5% | |
| T. ROWE PRICE RETIREMENT 2020 T.ROWE PRICE TRUST COMPANY · EIN 36-7594871 / PN 001 | Common Collective Trust | — | $1.0M | $27.7M | 0.5% | |
| Vanguard LifeStrategy Conservative Growth Fund Pooled separate accounts; 2,698,372.993 shares | — | — | $2.7M | $26.9M | 0.5% | |
| T. ROWE PRICE RETIREMENT 2065 T.ROWE PRICE TRUST COMPANY · EIN 85-1763138 / PN 001 | Common Collective Trust | — | $1.0M | $15.6M | 0.3% | |
| 899 participant notes receivable with interest rates * Notes receivable from participants of 4.25% - 9.5% with maturities through 2030 | — | — | — | $10.3M | 0.2% | |
| T. ROWE PRICE RETIREMENT 2015 T.ROWE PRICE TRUST COMPANY · EIN 35-6941654 / PN 001 | Common Collective Trust | — | $331K | $8.1M | 0.1% | |
| T. ROWE PRICE RETIREMENT 2010 T.ROWE PRICE TRUST COMPANY · EIN 32-6199795 / PN 001 | Common Collective Trust | — | $173K | $3.9M | <0.1% | |
| T. ROWE PRICE RETIREMENT T.ROWE PRICE TRUST COMPANY · EIN 38-7011316 / PN 001 | Common Collective Trust | — | $177K | $3.6M | <0.1% | |
| T. ROWE PRICE RETIREMENT 2005 T.ROWE PRICE TRUST COMPANY · EIN 61-6434302 / PN 001 | Common Collective Trust | — | $75K | $1.6M | <0.1% | |
| MANAGED INCOME PORTFOLIO II COMM FD FIDELITY MANAGEMENT TRUST COMPANY · EIN 04-3022712 / PN 025 | Common Collective Trust | — | $109K | $109K | <0.1% |