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Original filing (PDF)20251014103853NAL0001229923001
CANACCORD GENUITY LLC
Form 5500
FILING_RECEIVED
CANACCORD GENUITY LLC 401(K) PLAN
401(k) retirement plan
Active participants
377
Accounts w/ balance
545
Plan assets (EOY)
$110.5M
Net assets (EOY)
$110.5M
How this plan invests
This plan
32 securities
funds · stocks · CUSIPs
Holdings are itemized directly on this plan's Schedule of Assets, below.
Plan health score (directional)
100
/ 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
100
Participation health
100
Helping the score
- Below-peer total fees (7 bps vs 10 bps peer median).
Decision-maker contacts
CFO / Head of HR / Benefits Manager — verified email + LinkedIn for CANACCORD GENUITY LLC.
Plan sponsor
Name
CANACCORD GENUITY LLC
EIN
20-0779566
Address
535 MADISON AVENUE · NY, NY · 10022
Phone
(212) 389-8113
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)
2H · Partial participant-directed accounts
2J · 401(k) feature
2K · 401(m) arrangement
3I · Requires investment in employer securities
3D · Pre-approved plan (master / prototype / VS)
2R · Participant-directed brokerage (SDBA)
Audit & trust (Schedule H)
Auditor
ERNST & YOUNG
Trustee / custodian
—
Trustee phone
—
Service providers (Schedule C)
3 rowsRecordkeeper
1| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| FIDELITY INVESTMENTS INSTITUTIONAL | 04-2647786 | — | RECORDKEEPER | -$33K | — |
Advisor / Consultant
2| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| ONEDIGITAL INVESTMENT ADVISORS LLC | 43-1451524 | — | ADVISOR | $94K | — |
| STRATEGIC ADVISORS, INC. | 04-2654524 | — | ADVISOR | $12K | — |
Investments
32 direct securities· $110.3M(100% of reported assets)
| PI | Investment | Type | Shares / units | Cost | Current value | % of plan |
|---|---|---|---|---|---|---|
| Party Registered investment FID BLUE CHIP GR | — | — | — | $20.0M | 18.1% | |
| FID 500 INDEX PR | — | — | — | $18.5M | 16.7% | |
| VANG VMMR-FED MMKT | — | — | — | $6.3M | 5.7% | |
| FID LARGE CAP STOCK | — | — | — | $5.6M | 5.1% | |
| FID MID CAP IDX | — | — | — | $5.1M | 4.6% | |
| Self Directed Brokerage Account | — | — | — | $5.1M | 4.6% | |
| DODGE & COX STOCK | — | — | — | $5.0M | 4.5% | |
| TRP RETIREMENT 2060 | — | — | — | $3.7M | 3.4% | |
| TRP RETIREMENT 2040 | — | — | — | $3.3M | 3.0% | |
| companies FID MID CAP STOCK | — | — | — | $3.3M | 2.9% | |
| TRP RETIREMENT 2030 | — | — | — | $3.2M | 2.9% | |
| TRP RETIREMENT 2050 | — | — | — | $3.1M | 2.8% | |
| TRP RETIREMENT 2045 | — | — | — | $2.9M | 2.7% | |
| FID SM CAP IDX | — | — | — | $2.7M | 2.4% | |
| FID INTL INDEX | — | — | — | $2.6M | 2.4% | |
| AF EOROPACIFIC GR R6 | — | — | — | $2.5M | 2.3% | |
| J H TRITON N | — | — | — | $2.5M | 2.2% | |
| TRP RETIREMENT 2055 | — | — | — | $2.4M | 2.1% | |
| TRP RETIREMENT 2035 | — | — | — | $2.2M | 2.0% | |
| VICTORY S ESTB VAL I | — | — | — | $2.2M | 2.0% | |
| LOOMIS INV GRD BD | — | — | — | $1.8M | 1.6% | |
| JPM SM CAP VALUE R6 | — | — | — | $1.2M | 1.1% | |
| AF NEW WORLD R6 | — | — | — | $1.2M | 1.1% | |
| BLKRK HIGH YD BD K | — | — | — | $1.1M | 1.0% | |
| TRP RETIREMENT 2065 | — | — | — | $1.1M | 1.0% | |
| FID US BOND IDX | — | — | — | $662K | 0.6% | |
| TRP RETIREMENT 2025 | — | — | — | $569K | 0.5% | |
| DFA INF PRT SEC PORT | — | — | — | $259K | 0.2% | |
| TCW TOTAL RTN BOND N | — | — | — | $150K | 0.1% | |
| TRP RETIREMENT 2010 | — | — | — | $43K | <0.1% | |
| TRP RETIRE I BAL I | — | — | — | $25K | <0.1% | |
| TRP RETIREMENT 2020 | — | — | — | $12K | <0.1% |
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