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Original filing (PDF)20250731134610NAL0003113107001
NATWEST MARKETS SECURITIES, INC.
Form 5500
FILING_RECEIVED
NATWEST MARKETS RETIREMENT SAVINGS PLAN
401(k) retirement plan
Signals · 2
43% in single holdingNo recordkeeper disclosed
Active participants
274
Accounts w/ balance
1,456
Plan assets (EOY)
$588.9M
Net assets (EOY)
$588.9M
How this plan invests
This plan
17 pooled trusts
Schedule D
20 securities
funds · stocks · CUSIPs
Holdings are itemized directly on this plan's Schedule of Assets, below.
Plan health score (directional)
94
/ 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
78
Total plan cost
100
Vendor stack
80
Participation health
100
Knocking points off
- Top holding "Vanguard" is 43% of plan.
- No recordkeeper disclosed on Schedule C.
Decision-maker contacts
CFO / Head of HR / Benefits Manager — verified email + LinkedIn for NATWEST MARKETS SECURITIES, INC..
Plan sponsor
Name
NATWEST MARKETS SECURITIES, INC.
EIN
13-3172275
Address
600 WASHINGTON BLVD · STAMFORD, CT · 06901
Phone
(203) 897-6005
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
2025-07-31
Pension benefit codes
2E · Profit-sharing
2F · ERISA section 404(c)
2G · Total participant-directed accounts
2J · 401(k) feature
2K · 401(m) arrangement
2R · Participant-directed brokerage (SDBA)
2T · Default investment account (QDIA)
3H · Sponsor in controlled / affiliated group
Audit & trust (Schedule H)
Auditor
ERNST & YOUNG, LLP
Trustee / custodian
—
Trustee phone
—
Service providers (Schedule C)
4 rowsOther
4| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| EMPOWER ADVISORY GROUP, LLC | — | GREENWOOD VILLAGE, CO | NONE | $177K | — |
| EMPOWER ANNUITY INSURANCE COMPANY O | — | GREENWOOD VILLAGE, CO | NONE | $97K | — |
| MERCER INVESTMENT CONSULTING INC | — | DALLAS, TX | NONE | $19K | — |
| EMPOWER FINANCIAL SERVICES, INC. | — | GREENWOOD VILLAGE, CO | NONE | $2K | — |
Investments
19 direct securities · 17 pooled funds· $1.1B(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
$560.3M
19 holdings
Common Collective Trust
$546.7M
17 holdings
| PI | Investment | Type | Shares / units | Cost | Current value | % of plan |
|---|---|---|---|---|---|---|
| Vanguard | — | 1,731,753 | — | $252.8M | 42.9% | |
| INSTITUTIONAL 500 INDEX TRUST VANGUARD FIDUCIARY TRUST · EIN 81-6327546 / PN 001 | Common Collective Trust | — | — | $252.8M | 42.9% | |
| Vanguard | — | 545,065 | — | $76.4M | 13.0% | |
| EXTENDED MARKET INDEX TR VANGUARD FIDUCIARY TRUST · EIN 81-6324211 / PN 001 | Common Collective Trust | — | — | $76.4M | 13.0% | |
| INST TOTAL INTL STOCK MKT INDEX TR VANGUARD FIDUCIARY TRUST · EIN 81-6317280 / PN 001 | Common Collective Trust | — | — | $38.6M | 6.6% | |
| Vanguard | — | 344,115 | — | $38.6M | 6.6% | |
| LIQUIDITY FUND JPMORGAN · EIN 13-6285055 / PN 001 | Common Collective Trust | — | — | $31.8M | 5.4% | |
| JP Morgan | — | 2,630,032 | — | $31.8M | 5.4% | |
| Empower Financial Services Inc. | — | — | — | $29.6M | 5.0% | |
| PRUDENTIAL CORE PLUS BOND FUND 5 PRUDENTIAL · EIN 23-6994310 / PN 165 | Common Collective Trust | 145,686 | — | $27.1M | 4.6% | |
| INST TOTAL BOND MARKET INDEX TR VANGUARD FIDUCIARY TRUST · EIN 81-6321044 / PN 001 | Common Collective Trust | — | — | $19.1M | 3.2% | |
| Vanguard | — | 184,061 | — | $19.1M | 3.2% | |
| SMARTRETIREMENT 2030 JPMORGAN · EIN 20-3063387 / PN 001 | Common Collective Trust | — | — | $15.3M | 2.6% | |
| JP Morgan | — | 426,153 | — | $15.3M | 2.6% | |
| SMARTRETIREMENT 2040 JPMORGAN · EIN 20-3063440 / PN 001 | Common Collective Trust | — | — | $13.3M | 2.3% | |
| JP Morgan | — | 315,746 | — | $13.3M | 2.3% | |
| SMARTRETIREMENT 2045 JPMORGAN · EIN 20-5819388 / PN 001 | Common Collective Trust | — | — | $12.6M | 2.1% | |
| JP Morgan | — | 239,913 | — | $12.6M | 2.1% | |
| JP Morgan | — | 364,981 | — | $11.1M | 1.9% | |
| SMARTRETIREMENT 2020 JPMORGAN · EIN 20-3063359 / PN 001 | Common Collective Trust | — | — | $11.1M | 1.9% | |
| JP Morgan | — | 225,045 | — | $10.8M | 1.8% | |
| SMARTRETIREMENT 2035 JPMORGAN · EIN 20-5819181 / PN 001 | Common Collective Trust | — | — | $10.8M | 1.8% | |
| Vanguard | — | 525,976 | — | $10.2M | 1.7% | |
| JP Morgan | — | 202,736 | — | $10.1M | 1.7% | |
| SMARTRETIREMENT 2050 JPMORGAN · EIN 20-5819476 / PN 001 | Common Collective Trust | — | — | $10.1M | 1.7% | |
| US TREASURY INFLATION PROTECTED SEC BLACKROCK · EIN 94-3410125 / PN 001 | Common Collective Trust | — | — | $10.1M | 1.7% | |
| Blackrock | — | 853,330 | — | $10.1M | 1.7% | |
| JPMCB SMARTRETIREMENT INCOME JPMORGAN · EIN 20-3063490 / PN 001 | Common Collective Trust | — | — | $8.8M | 1.5% | |
| JP Morgan | — | 343,894 | — | $8.8M | 1.5% | |
| JP Morgan | — | 122,481 | — | $4.9M | 0.8% | |
| SMARTRETIREMENT 2055 JPMORGAN · EIN 45-5595944 / PN 001 | Common Collective Trust | — | — | $4.9M | 0.8% | |
| SMARTRETIREMENT 2025 JPMORGAN · EIN 20-5819098 / PN 001 | Common Collective Trust | — | — | $2.7M | 0.5% | |
| JP Morgan | — | 66,422 | — | $2.7M | 0.5% | |
| JP Morgan | — | 36,423 | — | $1.2M | 0.2% | |
| SMARTRETIREMENT 2060 JPMORGAN · EIN 81-3221155 / PN 001 | Common Collective Trust | — | — | $1.2M | 0.2% | |
| Participants | — | — | — | $948K | 0.2% |