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Original filing (PDF)20251008153749NAL0006078433001
SUMITOMO MITSUI BANKING CORPORATION
Form 5500
FILING_RECEIVED
SUMITOMO MITSUI BANKING CORPORATION 401(K) PLAN
401(k) retirement plan
Signals · 1
6 service providers
Active participants
4,537
Accounts w/ balance
5,661
Plan assets (EOY)
$764.5M
Net assets (EOY)
$764.5M
How this plan invests
This plan
18 pooled trusts
Schedule D
17 securities
funds · stocks · CUSIPs
Holdings are itemized directly on this plan's Schedule of Assets, below.
Plan health score (directional)
95
/ 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
80
Vendor stack
100
Participation health
100
Knocking points off
- 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 SUMITOMO MITSUI BANKING CORPORATION.
Plan sponsor
Name
SUMITOMO MITSUI BANKING CORPORATION
EIN
13-5611820
Address
277 PARK AVENUE 6TH FLOOR · NEW YORK, NY · 10172
Phone
(212) 224-4000
Industry
Commercial Banking· 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
2025-10-08
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)
2S · Automatic enrollment
2T · Default investment account (QDIA)
3D · Pre-approved plan (master / prototype / VS)
3H · Sponsor in controlled / affiliated group
Audit & trust (Schedule H)
Auditor
COHNREZNICK, LLP
Trustee / custodian
—
Trustee phone
—
Service providers (Schedule C)
6 rowsRecordkeeper
1| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| EMPOWER LIFE & ANNUITY INSURANCE CO | — | GREENWOOD VILLAGE, CO | RECORDKEEPER | $446K | — |
Other
5| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| CAPFINANCIAL PARTNERS LLC DBA CAPTR | — | RALEIGH, NC | NONE | $110K | — |
| COHNREZNICK LLP | — | HARTFORD, CT | NONE | $89K | — |
| NIXON PEABODY LLP | — | NEW YORK, NY | NONE | $819 | — |
| QDRO CONSULTANTS COMPANY, LLC | — | MEDINA, OH | NONE | $300 | — |
| EMPOWER FINANCIAL SERVICES, INC. | — | GREENWOOD VILLAGE, CO | NONE | $190 | — |
Investments
6 direct securities · 18 pooled funds· $404.8M(53% 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
$364.4M
11 holdings
Pooled Separate Account
$31.4M
7 holdings
Uncategorized
$9.0M
6 holdings
| PI | Investment | Type | Shares / units | Cost | Current value | % of plan |
|---|---|---|---|---|---|---|
| THE VANGUARD TARGET RETIRE 2035 TRU VANGUARD COLLECTIVE INVESTMENT TRUST FUNDS · EIN 90-6083976 / PN 001 | Common Collective Trust | — | — | $56.7M | 7.4% | |
| THE VANGUARD TARGET RETIRE 2040 TRU VANGUARD COLLECTIVE INVESTMENT TRUST FUNDS · EIN 90-6083974 / PN 001 | Common Collective Trust | — | — | $55.1M | 7.2% | |
| THE VANGUARD TARGET RETIRE 2030 TRU VANGUARD COLLECTIVE INVESTMENT TRUST FUNDS · EIN 90-6083978 / PN 001 | Common Collective Trust | — | — | $51.7M | 6.8% | |
| THE VANGUARD TARGET RETIRE 2045 TRU VANGUARD COLLECTIVE INVESTMENT TRUST FUNDS · EIN 90-6083972 / PN 001 | Common Collective Trust | — | — | $49.1M | 6.4% | |
| THE VANGUARD TARGET RETIRE 2050 TRU VANGUARD COLLECTIVE INVESTMENT TRUST FUNDS · EIN 90-6083970 / PN 001 | Common Collective Trust | — | $42.7M | $45.4M | 5.9% | |
| THE VANGUARD TARGET RETIRE 2055 TRU VANGUARD COLLECTIVE INVESTMENT TRUST FUNDS · EIN 27-6715091 / PN 001 | Common Collective Trust | — | — | $34.6M | 4.5% | |
| THE VANGUARD TARGET RETIRE 2025 TRU VANGUARD COLLECTIVE INVESTMENT TRUST FUNDS · EIN 90-6083980 / PN 001 | Common Collective Trust | — | $33.8M | $29.9M | 3.9% | |
| ROBECO BP LARGE CAP VAL EQTY (IS PL EMPOWER ANNUITY INSURANCE COMPANY · EIN 06-1050034 / PN 786 | Pooled Separate Account | — | — | $28.5M | 3.7% | |
| THE VANGUARD TARGET RETIRE 2060 TRU VANGUARD COLLECTIVE INVESTMENT TRUST FUNDS · EIN 45-3799419 / PN 001 | Common Collective Trust | — | — | $22.2M | 2.9% | |
| THE VANGUARD TARGET RETIRE 2065 TRU VANGUARD FIDUCIARY TRUST COMPANY · EIN 82-6194314 / PN 001 | Common Collective Trust | — | — | $7.2M | 0.9% | |
| THE VANGUARD TARGET RETIRE 2020 TRU VANGUARD COLLECTIVE INVESTMENT TRUST FUNDS · EIN 90-6083982 / PN 001 | Common Collective Trust | — | — | $6.3M | 0.8% | |
| VFTC TARGET RET. INCOME MASTER TRUS | — | — | — | $6.1M | 0.8% | |
| THE VANGUARD TARGET RETIRE INCM TRU VANGUARD COLLECTIVE INVESTMENT TRUST FUNDS · EIN 90-6083967 / PN 001 | Common Collective Trust | — | — | $6.1M | 0.8% | |
| [DFE: LIFETIME 20 FUND-INCOME FLEX - IF1 (extraction pending)] | — | — | — | $2.1M | 0.3% | |
| INCOMEFLEX SELECT AGGRESSIVE GROWTH EMPOWER ANNUITY INSURANCE COMPANY · EIN 06-1050034 / PN 511 | Pooled Separate Account | — | — | $2.1M | 0.3% | |
| [DFE: LIFETIME 60 FUND-INCOME FLEX - IF5 (extraction pending)] | — | — | — | $589K | <0.1% | |
| INCOMEFLEX SELECT INCOME & EQUITY F EMPOWER ANNUITY INSURANCE COMPANY · EIN 06-1050034 / PN 515 | Pooled Separate Account | — | — | $589K | <0.1% | |
| [DFE: LIFETIME 40 FUND-INCOME FLEX - IF3 (extraction pending)] | — | — | — | $86K | <0.1% | |
| INCOMEFLEX SELECT BALANCED FUND EMPOWER ANNUITY INSURANCE COMPANY · EIN 06-1050034 / PN 513 | Pooled Separate Account | — | — | $86K | <0.1% | |
| [DFE: LIFETIME 50 FUND-INCOME FLEX - IF4 (extraction pending)] | — | — | — | $45K | <0.1% | |
| INCOMEFLEX SELECT CONSERVATIVE GROW EMPOWER ANNUITY INSURANCE COMPANY · EIN 06-1050034 / PN 514 | Pooled Separate Account | — | — | $45K | <0.1% | |
| [DFE: LIFETIME 60 FUND-INCOME FLEX - IF5 (extraction pending)] | — | — | — | $32K | <0.1% | |
| INCOMEFLEX SELECT GROWTH FUND EMPOWER ANNUITY INSURANCE COMPANY · EIN 06-1050034 / PN 515 | Pooled Separate Account | — | — | $32K | <0.1% | |
| ROBECO BP LARGE CAP VAL EQ (IS PLAT EMPOWER ANNUITY INSURANCE COMPANY · EIN 06-1050034 / PN 786 | Pooled Separate Account | — | — | $0 | <0.1% |