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Original filing (PDF)20250730132231NAL0004137649001
HUDSON RIVER TRADING LLC
Form 5500
FILING_RECEIVED
HUDSON RIVER TRADING LLC 401(K) PLAN
401(k) retirement plan
Signals · 2
1 failed disclosure26% in single holding
Active participants
794
Accounts w/ balance
897
Plan assets (EOY)
$132.7M
Net assets (EOY)
$132.7M
How this plan invests
This plan
1 pooled trust
Schedule D
32 securities
funds · stocks · CUSIPs
Holdings are itemized directly on this plan's Schedule of Assets, below.
Plan health score (directional)
93
/ 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
87
Total plan cost
100
Vendor stack
100
Participation health
100
Knocking points off
- 1 Schedule C provider failed to disclose compensation.
- Top holding "Fidelity 500 Index Fund "" is 26% of plan.
Helping the score
- Below-peer total fees (0 bps vs 10 bps peer median).
Decision-maker contacts
CFO / Head of HR / Benefits Manager — verified email + LinkedIn for HUDSON RIVER TRADING LLC.
Plan sponsor
Name
HUDSON RIVER TRADING LLC
EIN
45-0465436
Address
3 WORLD TRADE CENTER · 175 GREENWICH STREET · NEW YORK, NY · 10007
Phone
(212) 293-1444
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
2025-07-30
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)
2A · Age/service weighted or new comparability
3B · Covers self-employed individuals
3F · Sponsor used leased employees
3D · Pre-approved plan (master / prototype / VS)
2R · Participant-directed brokerage (SDBA)
Audit & trust (Schedule H)
Auditor
CARON & BLETZER, PLLC
Trustee / custodian
—
Trustee phone
—
Service providers (Schedule C)
1 rowsRecordkeeper
1| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| FIDELITY INVESTMENTS INSTITUTIONAL | 04-2647786 | — | RECORDKEEPER | $3K | — |
Failed / refused disclosures (Sched C Part 2)
| Provider | Nondisclosure info |
|---|---|
| — | — |
Investments
31 direct securities · 1 pooled fund· $126.5M(95% 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.
Uncategorized
$125.0M
31 holdings
Common Collective Trust
$1.5M
1 holding
| PI | Investment | Type | Shares / units | Cost | Current value | % of plan |
|---|---|---|---|---|---|---|
| Fidelity 500 Index Fund " | — | — | — | $32.5M | 24.5% | |
| Vanguard Institutional Target Retirement 2050 Fund " | — | — | — | $10.6M | 8.0% | |
| Vanguard Institutional Target Retirement 2060 Fund " | — | — | — | $9.7M | 7.3% | |
| Vanguard Institutional Target Retirement 2055 Fund Mutual fund | — | — | — | $8.7M | 6.6% | |
| Fidelity Self-Directed Brokerage Account Self-directed brokerage account | — | — | — | $7.0M | 5.3% | |
| Vanguard Wellington Fund " | — | — | — | $7.0M | 5.2% | |
| Vanguard Institutional Target Retirement 2045 Fund " | — | — | — | $6.8M | 5.1% | |
| Fidelity Contrafund " | — | — | — | $6.0M | 4.5% | |
| Vanguard Institutional Target Retirement 2065 Fund " | — | — | — | $5.2M | 3.9% | |
| Fidelity Extended Market Index Fund " | — | — | — | $5.0M | 3.7% | |
| Vanguard Institutional Target Retirement 2040 Fund " | — | — | — | $3.7M | 2.8% | |
| Fidelity Total International Index Fund " | — | — | — | $3.6M | 2.7% | |
| Janus Henderson Global Technology and Innovation Fund " | — | — | — | $3.0M | 2.3% | |
| Vanguard Institutional Target Retirement 2035 Fund " | — | — | — | $2.8M | 2.1% | |
| Dodge & Cox Stock Fund " | — | — | — | $1.9M | 1.4% | |
| TRP STABLE VALUE A T. ROWE PRICE TRUST COMPANY · EIN 52-1309931 / PN 001 | Common Collective Trust | — | — | $1.5M | 1.2% | |
| Dodge & Cox Income Fund " | — | — | — | $1.3M | 1.0% | |
| MFS Mid Cap Growth Fund " | — | — | — | $1.2M | 0.9% | |
| Dodge & Cox International Stock Fund " | — | — | — | $1.2M | 0.9% | |
| Fidelity U.S. Bond Index Fund " | — | — | — | $1.2M | 0.9% | |
| DFA Emerging Markets Fund " | — | — | — | $1.1M | 0.8% | |
| Vanguard Inflation-Protected Securities Fund " | — | — | — | $1.1M | 0.8% | |
| T. Rowe Price New Horizons Fund " | — | — | — | $1.0M | 0.8% | |
| Vanguard Real Estate Index Fund " | — | — | — | $723K | 0.5% | |
| Vanguard Strategic Equity Fund " | — | — | — | $713K | 0.5% | |
| Vanguard Institutional Target Retirement 2070 Fund " | — | — | — | $639K | 0.5% | |
| Vanguard Institutional Target Retirement 2030 Fund " | — | — | — | $621K | 0.5% | |
| Fidelity Government Money Market Fund " | — | — | — | $188K | 0.1% | |
| Vanguard Institutional Target Retirement 2025 Fund " | — | — | — | $161K | 0.1% | |
| PGIM Floating Rate Income Fund " | — | — | — | $112K | <0.1% | |
| Hartford World Bond Fund " | — | — | — | $96K | <0.1% | |
| Vanguard Institutional Target Retirement 2020 Fund " | — | — | — | $2K | <0.1% |