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Original filing (PDF)20251014161830NAL0001641203001
AMERICAN ARBITRATION ASSOCIATION, INC.
Form 5500
FILING_RECEIVED
THE AMERICAN ARBITRATION ASSOCIATION, INC. EMPLOYEE SAVINGS AND RETIREMENT PLAN
403(b) retirement plan
Signals · 1
No recordkeeper disclosed
Active participants
750
Accounts w/ balance
937
Plan assets (EOY)
$120.7M
Net assets (EOY)
$120.7M
How this plan invests
This plan
33 securities
funds · stocks · CUSIPs
Holdings are itemized directly on this plan's Schedule of Assets, below.
Plan health score (directional)
98
/ 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
80
Participation health
100
Knocking points off
- No recordkeeper disclosed on Schedule C.
Decision-maker contacts
CFO / Head of HR / Benefits Manager — verified email + LinkedIn for AMERICAN ARBITRATION ASSOCIATION, INC..
Plan sponsor
Name
AMERICAN ARBITRATION ASSOCIATION, INC.
EIN
13-0429745
Address
120 BROADWAY · 21ST FLOOR · NEW YORK, NY · 10271
Phone
(212) 716-3903
Industry
Professional & Technical Servicessee all
Plan administrator
Same as plan sponsor.
Plan characteristics
Plan number
002
Plan year
2024
Plan year begin
2024-01-01
Tax period
2024-12-31
Filed
2025-10-14
Pension benefit codes
2F · ERISA section 404(c)
2G · Total participant-directed accounts
2L · 403(b)(1) annuity
2M · 403(b)(7) custodial accounts
2T · Default investment account (QDIA)
3D · Pre-approved plan (master / prototype / VS)
Audit & trust (Schedule H)
Auditor
COHNREZNICK
Trustee / custodian
—
Trustee phone
—
Service providers (Schedule C)
2 rowsOther
2| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| THE VANGUARD GROUP, INC. | 23-1945930 | — | NONE | $84K | — |
| CAPITAL STRATEGIES INV GROUP | 26-4789150 | — | NONE | $45K | — |
Investments
33 direct securities· $120.7M(100% of reported assets)
| PI | Investment | Type | Shares / units | Cost | Current value | % of plan |
|---|---|---|---|---|---|---|
| Vanguard Institutional Index Fund Inst'l Shares | — | — | — | $12.4M | 10.3% | |
| T. Rowe Price Retirement I 2030 Fund; I Class | — | — | — | $12.2M | 10.1% | |
| T. Rowe Price Retirement I 2035 Fund; I Class | — | — | — | $11.2M | 9.3% | |
| NYLI Winslow Large Cap Growth | — | — | — | $9.5M | 7.9% | |
| T. Rowe Price Retirement I 2040 Fund; I Class | — | — | — | $9.2M | 7.6% | |
| T. Rowe Price Retirement I 2045 Fund; I Class | — | — | — | $9.1M | 7.5% | |
| T. Rowe Price Retirement I 2020 Fund; I Class | — | — | — | $6.1M | 5.0% | |
| T. Rowe Price Retirement I 2050 Fund; I Class | — | — | — | $6.0M | 5.0% | |
| Prudential Guaranteed Income Fund | — | — | — | $5.3M | 4.4% | |
| T. Rowe Price Retirement I 2055 Fund; I Class | — | — | — | $4.9M | 4.1% | |
| Vanguard Total Bond Market Index Fund Admiral Shares | — | — | — | $4.6M | 3.8% | |
| T. Rowe Price Retirement I 2025 Fund; I Class | — | — | — | $4.3M | 3.6% | |
| Vanguard Equity Income Fund Admiral Shares | — | — | — | $3.6M | 3.0% | |
| T. Rowe Price Retirement I 2060 Fund; I Class | — | — | — | $3.5M | 2.9% | |
| T. Rowe Price Retirement I 2015 Fund; I Class | — | — | — | $2.4M | 2.0% | |
| Vanguard Extended Market Index Fund Admiral Shares | — | — | — | $2.2M | 1.9% | |
| Vanguard Total International Stock Index Fund Admiral Shr | — | — | — | $1.9M | 1.6% | |
| T. Rowe Price Retirement I 2010 Fund; I Class | — | — | — | $1.8M | 1.5% | |
| PIMCO Total Return Fund; Institutional Class | — | — | — | $1.5M | 1.3% | |
| Participant loans | — | — | — | $1.4M | 1.2% | |
| T. Rowe Price Retirement I 2005 Fund; I Class | — | — | — | $1.4M | 1.1% | |
| The Hartford Strategic Income Fund; Class R6 | — | — | — | $1.2M | 1.0% | |
| T. Rowe Price International Discovery; I Class | — | — | — | $816K | 0.7% | |
| MFS International Growth Fund; Class R6 | — | — | — | $745K | 0.6% | |
| Fidelity Emerging Markets K | — | — | — | $597K | 0.5% | |
| T. Rowe Price Retirement Balanced I Fund; I Class | — | — | — | $566K | 0.5% | |
| Fidelity Small Cap Growth K6 Fund | — | — | — | $550K | 0.5% | |
| T. Rowe Price Retirement I 2065 Fund; I Class | — | — | — | $469K | 0.4% | |
| DFA Global Real Estate Securities Portfolio | — | — | — | $386K | 0.3% | |
| Vanguard International Value Fund | — | — | — | $361K | 0.3% | |
| Vanguard Federal Money Market Fund | — | — | — | $183K | 0.2% | |
| Columbia Small Cap Value Fund II; Inst'l III Class | — | — | — | $160K | 0.1% | |
| Pimco Commodity Real Return Strategy Fund: Inst'l Cl | — | — | — | $137K | 0.1% |
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