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Original filing (PDF)20250725105110NAL0003355699001
ABN AMRO CLEARING USA LLC
Form 5500
FILING_RECEIVED
ABN AMRO CLEARING USA LLC AND ITS AFFILIATES 401(K) PLAN
401(k) retirement plan
Active participants
254
Accounts w/ balance
505
Plan assets (EOY)
$106.2M
Net assets (EOY)
$106.2M
How this plan invests
This plan
41 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 (1 bps vs 10 bps peer median).
Decision-maker contacts
CFO / Head of HR / Benefits Manager — verified email + LinkedIn for ABN AMRO CLEARING USA LLC.
Plan sponsor
Name
ABN AMRO CLEARING USA LLC
EIN
36-4168071
Address
175 WEST JACKSON · SUITE 2050 · CHICAGO, IL · 60604
Phone
(312) 604-8000
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
2025-07-25
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
SIKICH CPA LLC
Trustee / custodian
—
Trustee phone
—
Service providers (Schedule C)
2 rowsRecordkeeper
1| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| FIDELITY INVESTMENTS INSTITUTIONAL | 04-2647786 | — | RECORDKEEPER | -$53K | — |
Advisor / Consultant
1| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| UBS FINANCIAL SERVICES INC | 13-2638166 | — | ADVISOR | $65K | — |
Investments
41 direct securities· $105.5M(99% of reported assets)
Uncategorized
$105.3M
40 holdings
Mutual Funds
$252K
1 holding
| PI | Investment | Type | Shares / units | Cost | Current value | % of plan |
|---|---|---|---|---|---|---|
| Fidelity Investments 500 Index Fund | — | — | — | $21.9M | 20.7% | |
| Fidelity Investments Freedom 2040 Fund - Class K | — | — | — | $11.2M | 10.5% | |
| Fidelity Investments Contrafund - Class K | — | — | — | $9.0M | 8.5% | |
| Fidelity Investments Freedom 2035 Fund - Class K | — | — | — | $7.4M | 6.9% | |
| Fidelity Investments Freedom 2045 Fund - Class K | — | — | — | $7.2M | 6.8% | |
| Vanguard Treasury Money Market Fund | — | — | — | $6.0M | 5.6% | |
| Fidelity Investments Freedom 2030 Fund - Class K | — | — | — | $5.5M | 5.2% | |
| Fidelity Investments Freedom 2025 Fund - Class K | — | — | — | $3.7M | 3.5% | |
| Fidelity Investments Freedom 2050 Fund - Class K | — | — | — | $3.5M | 3.3% | |
| Janus Henderson Enterprise Fund | — | — | — | $3.3M | 3.1% | |
| Fidelity Investments Freedom 2055 Fund - Class K | — | — | — | $3.0M | 2.8% | |
| Fidelity Investments Extended Market Index Fund | — | — | — | $2.2M | 2.0% | |
| Fidelity Investments International Index Fund | — | — | — | $1.7M | 1.6% | |
| Fidelity Investments Value Fund - Class K | — | — | — | $1.5M | 1.4% | |
| Dodge & Cox Income Fund - Class X | — | — | — | $1.3M | 1.2% | |
| Fidelity Investments Freedom 2060 Fund - Class K | — | — | — | $1.3M | 1.2% | |
| MFS Funds Value Fund - Class R6 | — | — | — | $1.2M | 1.1% | |
| Baron Funds Discovery Fund - Class R6 | — | — | — | $1.1M | 1.1% | |
| MFS Funds Massachusetts Investors Trust Fund - Class R6 | — | — | — | $1.1M | 1.0% | |
| Fidelity Investments Freedom Income Fund - Class K | — | — | — | $1.0M | 1.0% | |
| Franklin Templeton Franklin Utilities Fund - Class R6 | — | — | — | $951K | 0.9% | |
| Eaton Vance High Income Opportunities Fund - Class I | — | — | — | $924K | 0.9% | |
| Cohen & Steers Real Estate Opportunities & Income Fund | — | — | — | $915K | 0.9% | |
| Vanguard Small-Cap Index Fund - Admiral Class | — | — | — | $842K | 0.8% | |
| T. Rowe Price Global Stock Fund - Class I | — | — | — | $835K | 0.8% | |
| Principal Diversified International Fund - Class R6 | — | — | — | $720K | 0.7% | |
| Victory NASDAQ 100 Index Fund R6 | — | — | — | $710K | 0.7% | |
| Vanguard Balanced Index Fund - Admiral Class | — | — | — | $665K | 0.6% | |
| Fidelity Investments Freedom 2065 Fund - Class K | — | — | — | $653K | 0.6% | |
| DFA US Targeted Value Fund - Class I | — | — | — | $647K | 0.6% | |
| Fidelity Investments Davis Financial Fund - Class Y | — | — | — | $645K | 0.6% | |
| Vanguard Inflation-Protected Securities Fund - Admiral Class | — | — | — | $538K | 0.5% | |
| Fidelity Investments Government Income Fund | — | — | — | $518K | 0.5% | |
| Invesco Developing Markets Fund - Class R6 | — | — | — | $449K | 0.4% | |
| Royce Funds Pennsylvania Mutual Fund - Institutional Class | — | — | — | $377K | 0.4% | |
| MFS Funds International New Discovery Fund - Class R6 | — | — | — | $312K | 0.3% | |
| Fidelity Investments Freedom 2020 Fund - Class K | — | — | — | $265K | 0.2% | |
| American Funds Capital World Bond - Class R6 | Mutual Funds | — | — | $252K | 0.2% | |
| Fidelity Investments Freedom 2010 Fund - Class K | — | — | — | $189K | 0.2% | |
| Calvert International Responsible Index Fund - Class R6 | — | — | — | $24K | <0.1% | |
| Fidelity Investments Freedom 2015 Fund - Class K | — | — | — | $21K | <0.1% |
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