Back to filter
Original filing (PDF)20251014130853NAL0001394323001
MACQUARIE HOLDINGS (U.S.A.) INC.
Form 5500
FILING_RECEIVED
MACQUARIE HOLDINGS (USA) INC. 401(K) PLAN AND TRUST
401(k) retirement plan
Signals · 1
1 failed disclosure
Active participants
2,294
Accounts w/ balance
3,748
Plan assets (EOY)
$720.7M
Net assets (EOY)
$720.7M
How this plan invests
This plan
27 pooled trusts
Schedule D
31 securities
funds · stocks · CUSIPs
Holdings are itemized directly on this plan's Schedule of Assets, below.
Plan health score (directional)
91
/ 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
85
Concentration risk
100
Total plan cost
80
Vendor stack
100
Participation health
100
Knocking points off
- 1 Schedule C provider failed to disclose compensation.
- 8 bps in Schedule C fees — modestly above peer band of 6 bps.
Decision-maker contacts
CFO / Head of HR / Benefits Manager — verified email + LinkedIn for MACQUARIE HOLDINGS (U.S.A.) INC..
Plan sponsor
Name
MACQUARIE HOLDINGS (U.S.A.) INC.
EIN
13-3789912
Address
660 5TH AVE · NEW YORK, NY · 10103
Phone
(212) 231-1000
Industry
Finance & Insurancesee all
Plan administrator
Name
JOINT 401K ADVISORY & INVESTMENT COMM. OF MACQUARIE
EIN
32-0314116
City
NEW YORK, NY
Phone
(212) 231-1000
Plan characteristics
Plan number
001
Plan year
2024
Plan year begin
2024-01-01
Tax period
2024-12-31
Filed
2025-10-14
Pension benefit codes
3D · Pre-approved plan (master / prototype / VS)
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)
Audit & trust (Schedule H)
Auditor
PRICEWATERHOUSECOOPERS
Trustee / custodian
—
Trustee phone
—
Service providers (Schedule C)
5 rowsRecordkeeper
1| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| FIDELITY INVESTMENTS INSTITUTIONAL | 04-2647786 | — | RECORDKEEPER | $185K | — |
Advisor / Consultant
3| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| STRATEGIC ADVISORS, INC. | 04-2654524 | — | ADVISOR | $139K | — |
| MERCER INVESTMENTS LLC | 30-0282430 | — | CONSULTANT | $110K | — |
| PRICE WATER HOUSE CO | 13-4008324 | — | CONSULTANT | $110K | — |
Legal counsel
1| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| ARNOLD & PORTER KAYE SCHOLER | 53-0208605 | — | ATTORNEY/LEGAL | $43K | — |
Failed / refused disclosures (Sched C Part 2)
| Provider | Nondisclosure info |
|---|---|
| — | — |
Investments
24 direct securities · 27 pooled funds· $1.2B(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.
Common Collective Trust
$666.3M
27 holdings
Uncategorized
$518.5M
24 holdings
| PI | Investment | Type | Shares / units | Cost | Current value | % of plan |
|---|---|---|---|---|---|---|
| Fidelity Grow th Company Commingled Pool Class A Collective investment trust | — | — | — | $140.6M | 19.5% | |
| FID GROWTH CO POOL A FIDELITY MANAGEMENT TRUST COMPANY · EIN 04-3022712 / PN 135 | Common Collective Trust | — | — | $140.6M | 19.5% | |
| SP 500 INDEX PL CL C GEODE CAPITAL MANAGEMENT TRUST · EIN 82-6293122 / PN 001 | Common Collective Trust | — | — | $106.1M | 14.7% | |
| Fidelity Freedom 2045 Collective investment trust | — | — | — | $46.2M | 6.4% | |
| FID FRDM 2045 CP D FIDELITY INSTITUTIONAL ASSET MANAGEMENT · EIN 20-4659714 / PN 204 | Common Collective Trust | — | — | $46.2M | 6.4% | |
| Fidelity Freedom 2040 Collective investment trust | — | — | — | $42.7M | 5.9% | |
| FID FRDM 2040 CP D FIDELITY INSTITUTIONAL ASSET MANAGEMENT · EIN 20-4659714 / PN 203 | Common Collective Trust | — | — | $42.7M | 5.9% | |
| Fidelity Freedom 2050 Collective investment trust | — | — | — | $42.3M | 5.9% | |
| FID FRDM 2050 CP D FIDELITY INSTITUTIONAL ASSET MANAGEMENT · EIN 20-4659714 / PN 205 | Common Collective Trust | — | — | $42.3M | 5.9% | |
| Fidelity Freedom 2035 Collective investment trust | — | — | — | $34.7M | 4.8% | |
| FID FRDM 2035 CP D FIDELITY INSTITUTIONAL ASSET MANAGEMENT · EIN 20-4659714 / PN 202 | Common Collective Trust | — | — | $34.7M | 4.8% | |
| Spartan® Total Market Index Pool Class C Collective investment trust | — | — | — | $32.2M | 4.5% | |
| SP TTL MRKT IDX CL C GEODE CAPITAL MANAGEMENT, LLC · EIN 82-6293122 / PN 002 | Common Collective Trust | — | — | $32.2M | 4.5% | |
| Fidelity Freedom 2055 Collective investment trust | — | — | — | $28.7M | 4.0% | |
| FID FRDM 2055 CP D FIDELITY INSTITUTIONAL ASSET MANAGEMENT · EIN 20-4659714 / PN 206 | Common Collective Trust | — | — | $28.7M | 4.0% | |
| Spartan Extended Market Index Pool Class C Collective investment trust | — | — | — | $24.2M | 3.4% | |
| SP EXT MKT IDX CL C GEODE CAPITAL MANAGEMENT TRUST · EIN 82-6293122 / PN 010 | Common Collective Trust | — | — | $24.2M | 3.4% | |
| Fidelity Freedom 2030 Collective investment trust | — | — | — | $23.6M | 3.3% | |
| FID FRDM 2030 CP D FIDELITY INSTITUTIONAL ASSET MANAGEMENT · EIN 20-4659714 / PN 201 | Common Collective Trust | — | — | $23.6M | 3.3% | |
| Galliard Stable Return Fund E Collective investment trust | — | — | — | $21.9M | 3.0% | |
| GALLIARD STBLE RTN E WELLS FARGO BANK, N.A. · EIN 52-2250951 / PN 001 | Common Collective Trust | — | — | $21.9M | 3.0% | |
| TRP EQUITY INCOME D T. ROWE PRICE TRUST COMPANY · EIN 52-6559833 / PN 011 | Common Collective Trust | — | — | $21.1M | 2.9% | |
| Fidelity Freedom 2060 Collective investment trust | — | — | — | $18.8M | 2.6% | |
| FID FRDM 2060 CP D FIDELITY INSTITUTIONAL ASSET MANAGEMENT · EIN 20-4659714 / PN 207 | Common Collective Trust | — | — | $18.8M | 2.6% | |
| MFS INTL EQUITY 3A MFS HERITAGE TRUST COMPANY · EIN 57-1187281 / PN 013 | Common Collective Trust | — | — | $18.2M | 2.5% | |
| SP INTL INDEX C GEODE CAPITAL MANAGEMENT, LLC · EIN 82-6293122 / PN 011 | Common Collective Trust | — | — | $18.2M | 2.5% | |
| Pimco Income Mutual fund | — | — | — | $14.4M | 2.0% | |
| Prudential Core Plus Bond Fund Class 5 Collective investment trust | — | — | — | $9.5M | 1.3% | |
| PRU CORE PL BD CL 5 PRUDENTIAL TRUST COMPANY · EIN 23-6994310 / PN 165 | Common Collective Trust | — | — | $9.5M | 1.3% | |
| AB US SMMDCP VAL P-1 GREAT GRAY TRUST COMPANY, LLC · EIN 38-4116868 / PN 532 | Common Collective Trust | — | — | $9.2M | 1.3% | |
| Fidelity Freedom 2025 Collective investment trust | — | — | — | $7.8M | 1.1% | |
| FID FRDM 2025 CP D FIDELITY INSTITUTIONAL ASSET MANAGEMENT · EIN 20-4659714 / PN 200 | Common Collective Trust | — | — | $7.8M | 1.1% | |
| Westfield Small/Mid Cap Grow th Equity CIT Class D Collective investment trust | — | — | — | $7.6M | 1.1% | |
| WFLD SMMD CP GR EQ D COMERICA BANK & TRUST, N.A. · EIN 82-6648070 / PN 001 | Common Collective Trust | — | — | $7.6M | 1.1% | |
| Fidelity U.S. Bond Index Fund Mutual fund | — | — | — | $5.7M | 0.8% | |
| Fidelity Freedom 2065 Collective investment trust | — | — | — | $4.9M | 0.7% | |
| FID FRDM 2065 CP D FIDELITY INSTITUTIONAL ASSET MANAGEMENT · EIN 20-4659714 / PN 208 | Common Collective Trust | — | — | $4.9M | 0.7% | |
| Notes Receivable From Participants Rates range from 4.25% to 9.50% | — | — | — | $3.7M | 0.5% | |
| Fidelity Freedom 2020 Collective investment trust | — | — | — | $3.1M | 0.4% | |
| FID FRDM 2020 CP D FIDELITY INSTITUTIONAL ASSET MANAGEMENT · EIN 20-4659714 / PN 199 | Common Collective Trust | — | — | $3.1M | 0.4% | |
| Vanguard Inflation Protected Secs Mutual fund | — | — | — | $3.1M | 0.4% | |
| C&S GLOBAL REALTY A SEI TRUST COMPANY · EIN 46-3411346 / PN 064 | Common Collective Trust | — | — | $2.8M | 0.4% | |
| Fidelity Government Money Market - Premium Class Mutual fund | — | — | — | $1.1M | 0.1% | |
| Fidelity Freedom Income Commingled Pool Class D Collective investment trust | — | — | — | $773K | 0.1% | |
| FID FRDM INC CP D FIDELITY INSTITUTIONAL ASSET MANAGEMENT · EIN 20-4659714 / PN 195 | Common Collective Trust | — | — | $773K | 0.1% | |
| Fidelity Freedom 2015 Collective investment trust | — | — | — | $746K | 0.1% | |
| FID FRDM 2015 CP D FIDELITY INSTITUTIONAL ASSET MANAGEMENT · EIN 20-4659714 / PN 198 | Common Collective Trust | — | — | $746K | 0.1% | |
| Fidelity Freedom 2010 Collective investment trust | — | — | — | $219K | <0.1% | |
| FID FRDM 2010 CP D FIDELITY INSTITUTIONAL ASSET MANAGEMENT · EIN 20-4659714 / PN 197 | Common Collective Trust | — | — | $219K | <0.1% | |
| JS SMID CAP GROWTH SEI TRUST COMPANY · EIN 45-1285328 / PN 047 | Common Collective Trust | — | — | $0 | <0.1% | |
| FID FRDM 2005 CP D FIAM TRUST COMPANY · EIN 20-4659714 / PN 196 | Common Collective Trust | — | — | $0 | <0.1% |