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Original filing (PDF)20251014111557NAL0005580946001
NOMURA SECURITIES INTERNATIONAL, INC.
Form 5500
FILING_RECEIVED
NOMURA SECURITIES INTERNATIONAL, INC. RETIREMENT INVESTMENT PLAN
401(k) retirement plan
Signals · 1
No recordkeeper disclosed
Active participants
2,190
Accounts w/ balance
4,090
Plan assets (EOY)
$1.2B
Net assets (EOY)
$1.2B
How this plan invests
This plan
13 pooled trusts
Schedule D
49 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 NOMURA SECURITIES INTERNATIONAL, INC..
Plan sponsor
Name
NOMURA SECURITIES INTERNATIONAL, INC.
EIN
13-2642206
Address
WORLD WIDE PLAZA · 309 WEST 49TH STREET · NEW YORK, NY · 10019
Phone
(212) 667-9300
Industry
Finance & Insurancesee 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
2E · Profit-sharing
2F · ERISA section 404(c)
2G · Total participant-directed accounts
2J · 401(k) feature
2K · 401(m) arrangement
2T · Default investment account (QDIA)
3H · Sponsor in controlled / affiliated group
Audit & trust (Schedule H)
Auditor
MITCHELL & TITUS
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 | $286K | — |
| VANGUARD ADVISERS INC. | 23-2811930 | — | NONE | $173K | — |
Investments
37 direct securities · 13 pooled funds· $1.2B(98% 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
$802.6M
37 holdings
Common Collective Trust
$374.0M
13 holdings
| PI | Investment | Type | Shares / units | Cost | Current value | % of plan |
|---|---|---|---|---|---|---|
| Vanguard Institutional Index Fund Institutional Plus Shares | — | — | $389K | $186.5M | 15.6% | |
| Vanguard Federal Money Market Fund | — | — | $79.9M | $79.9M | 6.7% | |
| Vanguard U.S. Growth Fund Admiral Shares | — | — | $371K | $68.6M | 5.7% | |
| VFTC TARGET RET 2045 TR II VANGUARD FIDUCIARY TRUST COMPANY · EIN 90-6083972 / PN 001 | Common Collective Trust | — | $1.1M | $66.2M | 5.5% | |
| VFTC TARGET RET 2035 TR II VANGUARD FIDUCIARY TRUST COMPANY · EIN 90-6083976 / PN 001 | Common Collective Trust | — | $1.0M | $56.4M | 4.7% | |
| VFTC TARGET RET 2040 TR II VANGUARD FIDUCIARY TRUST COMPANY · EIN 90-6083974 / PN 001 | Common Collective Trust | — | $962K | $55.6M | 4.7% | |
| Vanguard International Growth Fund Admiral Shares | — | — | $509K | $51.7M | 4.3% | |
| VFTC TARGET RET 2050 TR II VANGUARD FIDUCIARY TRUST COMPANY · EIN 90-6083970 / PN 001 | Common Collective Trust | — | $811K | $50.0M | 4.2% | |
| VFTC TARGET RET 2030 TR II VANGUARD FIDUCIARY TRUST COMPANY · EIN 90-6083978 / PN 001 | Common Collective Trust | — | $922K | $47.1M | 3.9% | |
| Vanguard Wellington Fund Admiral Shares | — | — | $562K | $41.6M | 3.5% | |
| Vanguard Windsor II Fund Admiral Shares | — | — | $403K | $31.7M | 2.6% | |
| VFTC TARGET RET 2055 TR II VANGUARD FIDUCIARY TRUST COMPANY · EIN 27-6715091 / PN 001 | Common Collective Trust | — | $366K | $30.2M | 2.5% | |
| Vanguard PRIMECAP Fund Admiral Shares | — | — | $175K | $29.1M | 2.4% | |
| Vanguard Global Equity Fund | — | — | $787K | $28.0M | 2.3% | |
| Dodge & Cox Stock Fund; Class I | — | — | $99K | $25.5M | 2.1% | |
| Vanguard Total Bond Market Index Fund Institutional Shares | — | — | $2.4M | $22.5M | 1.9% | |
| VFTC TARGET RET 2025 TR II VANGUARD FIDUCIARY TRUST COMPANY · EIN 90-6083980 / PN 001 | Common Collective Trust | — | $448K | $22.1M | 1.9% | |
| Vanguard Long-Term Investment-Grade Fund Admiral Shares | — | — | $2.8M | $21.4M | 1.8% | |
| Vanguard Mid-Cap Index Fund Institutional Shares | — | — | $273K | $19.7M | 1.7% | |
| Vanguard Capital Opportunity Fund Admiral Shares | — | — | $95K | $18.0M | 1.5% | |
| Vanguard Extended Market Index Fund Institutional Shares | — | — | $115K | $16.6M | 1.4% | |
| VFTC TARGET RET 2060 TR II VANGUARD FIDUCIARY TRUST COMPANY · EIN 45-3799419 / PN 001 | Common Collective Trust | — | $251K | $16.4M | 1.4% | |
| Fidelity Magellan Fund; Retail Class | — | — | $853K | $12.6M | 1.1% | |
| Vanguard Selected Value Fund | — | — | $418K | $11.3M | 0.9% | |
| Janus Henderson Research Fund; Class N | — | — | $133K | $11.3M | 0.9% | |
| Vanguard Small-Cap Growth Index Fund Institutional Shares | — | — | $139K | $10.9M | 0.9% | |
| VFTC TARGET RET 2065 TR II VANGUARD FIDUCIARY TRUST COMPANY · EIN 82-6194314 / PN 001 | Common Collective Trust | — | $272K | $10.9M | 0.9% | |
| VFTC TARGET RET INCOME TR II VANGUARD FIDUCIARY TRUST COMPANY · EIN 90-6083967 / PN 001 | Common Collective Trust | — | $239K | $10.8M | 0.9% | |
| Vanguard Short-Term Investment-Grade Fund Institutional Shares | — | — | $1.0M | $10.5M | 0.9% | |
| Vanguard Small-Cap Index Fund Institutional Shares | — | — | $85K | $9.8M | 0.8% | |
| Vanguard Explorer Fund Admiral Shares | — | — | $91K | $9.7M | 0.8% | |
| Vanguard Small-Cap Value Index Fund Institutional Shares | — | — | $191K | $9.1M | 0.8% | |
| Columbia Small Cap Growth Fund; Institutional 3 Class | — | — | $281K | $8.3M | 0.7% | |
| Vanguard Windsor Fund Admiral Shares | — | — | $115K | $8.1M | 0.7% | |
| Vanguard Inflation-Protected Securities Fund Institutional Shares | — | — | $871K | $8.0M | 0.7% | |
| Dodge & Cox Balanced Fund; Class I | — | — | $77K | $7.8M | 0.7% | |
| Neuberger Berman Genesis Fund; Class R6 | — | — | $115K | $7.5M | 0.6% | |
| T. Rowe Price Small-Cap Value Fund; I Class | — | — | $134K | $7.1M | 0.6% | |
| VFTC TARGET RET 2020 TR II VANGUARD FIDUCIARY TRUST COMPANY · EIN 90-6083982 / PN 001 | Common Collective Trust | — | $143K | $6.7M | 0.6% | |
| Oakmark Select Fund; Investor Class | — | — | $73K | $5.9M | 0.5% | |
| Vanguard Short-Term Federal Fund Admiral Shares | — | — | $542K | $5.5M | 0.5% | |
| Vanguard GNMA Fund Admiral Shares | — | — | $526K | $4.8M | 0.4% | |
| Fidelity Puritan Fund; Retail Class | — | — | $176K | $4.4M | 0.4% | |
| American Century Equity Income Fund; R6 Class | — | — | $442K | $3.7M | 0.3% | |
| DWS International Growth Fund; Class S | — | — | $79K | $3.1M | 0.3% | |
| Ariel Appreciation Fund; Institutional Class | — | — | $35K | $1.4M | 0.1% | |
| VFTC TARGET RET 2070 TR II VANGUARD FIDUCIARY TRUST COMPANY · EIN 87-7039453 / PN 001 | Common Collective Trust | — | $48K | $1.2M | <0.1% | |
| Gabelli Asset Fund; Class I | — | — | $19K | $843K | <0.1% | |
| Target Retirement Income and Growth Trust II | — | — | $16K | $361K | <0.1% | |
| VFTC TRGT RET INCOME AND GRTH TR II VANGUARD FIDUCIARY TRUST COMPANY · EIN 87-6420194 / PN 001 | Common Collective Trust | — | — | $361K | <0.1% |