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Original filing (PDF)20251002052532NAL0000078673001
MIDCAP FINANCIAL SERVICES, LLC
Form 5500
FILING_RECEIVED
MIDCAP FINANCIAL SERVICES, LLC 401(K) PLAN
401(k) retirement plan
Signals · 1
27% in single holding
Active participants
308
Accounts w/ balance
338
Plan assets (EOY)
$64.2M
Net assets (EOY)
$64.2M
How this plan invests
This plan
1 pooled trust
Schedule D
39 securities
funds · stocks · CUSIPs
Holdings are itemized directly on this plan's Schedule of Assets, below.
Plan health score (directional)
97
/ 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
86
Total plan cost
100
Vendor stack
100
Participation health
100
Knocking points off
- Top holding "FID 500 IND" is 27% of plan.
Decision-maker contacts
CFO / Head of HR / Benefits Manager — verified email + LinkedIn for MIDCAP FINANCIAL SERVICES, LLC.
Plan sponsor
Name
MIDCAP FINANCIAL SERVICES, LLC
EIN
26-3242056
Address
7255 WOODMONT AVE · SUITE 300 · BETHESDA, MD · 20814
Phone
(301) 801-7041
Industry
Finance & Insurancesee all
Plan administrator
Same as plan sponsor.
Plan characteristics
Plan number
001
Plan year
2024
Plan year begin
2024-01-01
Tax period
2024-12-31
Filed
2025-10-02
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)
3D · Pre-approved plan (master / prototype / VS)
Audit & trust (Schedule H)
Auditor
ERNST AND YOUNG
Trustee / custodian
—
Trustee phone
—
Service providers (Schedule C)
3 rowsRecordkeeper
1| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| ADP, INC. | 13-3036745 | — | RECORD KEEPER | $46K | — |
Other
2| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| OSAIC WEALTH INC | 93-0987232 | — | INVESTMENT/FINANCIAL ADVI | $19K | — |
| SECURITIES AMERICA ADVISORS, INC. | 47-0648506 | — | INVESTMENT/FINANCIAL ADVI | $16K | — |
Investments
38 direct securities · 1 pooled fund· $63.9M(99% 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.
Registered Investment Companies
$63.0M
38 holdings
Common Collective Trust
$899K
1 holding
| PI | Investment | Type | Shares / units | Cost | Current value | % of plan |
|---|---|---|---|---|---|---|
| FID 500 IND | Registered Investment Companies | — | — | $17.4M | 27.0% | |
| VANGUARD MID CAP INDEX - ADM | Registered Investment Companies | — | — | $4.6M | 7.2% | |
| VAN TARG RETIRE 2060 | Registered Investment Companies | — | — | $4.5M | 7.0% | |
| VAN TARGET RETIRE 2055 | Registered Investment Companies | — | — | $3.8M | 5.9% | |
| FID ADV EQUITY GROWTH - Z | Registered Investment Companies | — | — | $3.5M | 5.4% | |
| VANGUARD SMALL CAP INDEX ADMRL | Registered Investment Companies | — | — | $3.4M | 5.3% | |
| AMERFUNDS AMER BALANCED - R6 | Registered Investment Companies | — | — | $2.9M | 4.5% | |
| VANGUARD DEV MKT INDEX ADMIRAL | Registered Investment Companies | — | — | $2.7M | 4.2% | |
| VAN TARGET RETIRE 2050 | Registered Investment Companies | — | — | $2.5M | 3.8% | |
| VANGUARD INTERMEDIATE TERM BON | Registered Investment Companies | — | — | $2.4M | 3.7% | |
| VAN TARGET RETIRE 2045 | Registered Investment Companies | — | — | $2.2M | 3.5% | |
| VAN TARGET RETIRE 2035 | Registered Investment Companies | — | — | $1.8M | 2.7% | |
| JPMORGAN EQUITY INCOME FUND R6 | Registered Investment Companies | — | — | $1.4M | 2.1% | |
| JANUS HENDERSON ENTERPRISE N | Registered Investment Companies | — | — | $1.2M | 1.9% | |
| VAN TARGET RETIRE 2025 | Registered Investment Companies | — | — | $1.1M | 1.6% | |
| VAN TARGET RETIRE 2040 | Registered Investment Companies | — | — | $945K | 1.5% | |
| VAN INFL PROTECTED SEC - ADMR | Registered Investment Companies | — | — | $928K | 1.4% | |
| METLIFE REL ST VAL 25053 - 0 RELIANCE TRUST COMPANY · EIN 46-6625485 / PN 001 | Common Collective Trust | — | — | $899K | 1.4% | |
| VAN TARGET RETIRE 2030 | Registered Investment Companies | — | — | $691K | 1.1% | |
| ALLSPRING SPECIAL MC VAL R6 | Registered Investment Companies | — | — | $677K | 1.1% | |
| MFS INTERNATIONAL GROWTH R6 | Registered Investment Companies | — | — | $632K | 1.0% | |
| BLACKROCK ADV SCC K | Registered Investment Companies | — | — | $621K | 1.0% | |
| AMERFUNDS 2060 TARG DATERET R6 | Registered Investment Companies | — | — | $619K | 1.0% | |
| TCW METWEST TOTAL RET BOND PL | Registered Investment Companies | — | — | $506K | 0.8% | |
| VAN TARGET RETIRE 2020 | Registered Investment Companies | — | — | $447K | 0.7% | |
| BLACKROCK HIGH YIELD K | Registered Investment Companies | — | — | $317K | 0.5% | |
| AMERICAN FUNDS 2055 TARGET R6 | Registered Investment Companies | — | — | $254K | 0.4% | |
| FRANKLIN SCV R6 | Registered Investment Companies | — | — | $246K | 0.4% | |
| AMERFUNDS 2040 TARG DATERET R6 | Registered Investment Companies | — | — | $221K | 0.3% | |
| AMERICAN BEACON INTL EQTY R5 | Registered Investment Companies | — | — | $215K | 0.3% | |
| AMERFUNDS 2025 TARG DATERET R6 | Registered Investment Companies | — | — | $122K | 0.2% | |
| VAN TARGET RETIRE INC | Registered Investment Companies | — | — | $74K | 0.1% | |
| AMERICAN FUNDS NEW WORLD R6 | Registered Investment Companies | — | — | $73K | 0.1% | |
| FIDELITY SMALL CAP GROWTH K6 | Registered Investment Companies | — | — | $55K | <0.1% | |
| AMERFUNDS 2045 TARG DATERET R6 | Registered Investment Companies | — | — | $41K | <0.1% | |
| AMERFUNDS 2020 TARG DATERET R6 | Registered Investment Companies | — | — | $27K | <0.1% | |
| AMERFUNDS 2050 TARG DATERET R6 | Registered Investment Companies | — | — | $11K | <0.1% | |
| AMERFUNDS 2035 TARG DATERET R6 | Registered Investment Companies | — | — | $11K | <0.1% | |
| AMERFUNDS 2030 TARG DATERET R6 | Registered Investment Companies | — | — | $2K | <0.1% |
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