How big is Finra's plan?

Finra's plan reported $535.0M in assets and 1,065 participants for 2024.

Original filing (PDF)20251003082704NAL0000726067001

Finra

Name: Finra — Finra Employees Retirement Plan, Form 5500 (2024)
Creator: Finra
License: https://www.usa.gov/government-works

Form 5500

FILING_RECEIVED

Finra Employees Retirement Plan

Defined-benefit pension plan · Finra's Finra Employees Retirement Plan held $535.0M in plan assets for 1,065 participants in 2024.

Signals · 2

No recordkeeper disclosed7 service providers

Active participants

1,065

Accounts w/ balance

—

Plan assets (EOY)

$535.0M

Net assets (EOY)

$518.6M

People on this filing

Jennifer Keating signed Finra's 2024 Form 5500 as plan administrator.

Jennifer Keating — Plan Administrator — Form 5500 signer

Get verified email & phone for these signers

Signer names are public record from the Form 5500 e-signature.

Plan identifiers

Finra's EIN is 53-0088710.

EIN 53-0088710

Plan number 001

Plan year 2024

ACK ID 20251003082704NAL0000726067001

Official Form 5500 document

Download the official 2024 Form 5500 (PDF) for Finra from the U.S. Department of Labor's EFAST2 system.

Download the official 2024 Form 5500 (PDF)

Plan features

Finra's plan includes a defined-benefit pension formula.

Decision-maker contacts

One unlock reveals every key decision-maker — plan signer, CFO, HR & Benefits — with verified email + LinkedIn for FINRA.

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How this plan invests

This plan

9 pooled trusts

Schedule D

205 securities

funds · stocks · CUSIPs

Holdings are itemized directly on this plan's Schedule of Assets, below.

Plan health score

Above-average plan

Directional indicator from public Form 5500 data — compliance & integrity, total plan cost, participant health and vendor stack, benchmarked against same-size peers. Not a fiduciary tool.

Compliance & integrity

100

Total plan cost

Plan health

Vendor & structure

100

Knocking points off

Total administrative cost in the bottom quartile of peers (19th percentile).

Plan sponsor

Name

FINRA

EIN

all filings

Address

1700 K STREET, NW · WASHINGTON, DC · 20006

Phone

(301) 590-6500

Industry

Other Services (ex. Public Admin)

Plan administrator

Name

FINRA PENSION/401(K) PLAN COMMITTEE

EIN

52-1087606

City

WASHINGTON, DC

Phone

(301) 590-6500

Plan characteristics

Plan number

001

Plan year

2024

Plan year begin

2024-01-01

Tax period

2024-12-31

Filed

2025-10-03

Pension benefit codes

1A · Pay-related DB formula

Audit & trust (Schedule H)

Auditor

ERNST & YOUNG LLP

Trustee / custodian

—

Trustee phone

—

Service providers (Schedule C)

7 rows

Investment manager

Name	EIN	Location	Relation	Direct comp	Indirect comp
PACIFIC INVESTMENT MANAGEMENT	33-0629048	—	NONE	$286K	—
WELLINGTON TRUST COMPANY, NA	04-2755549	—	NONE	$222K	—
VAUGHAN NELSON INVESTMENT MGMT LP	04-3304963	—	NONE	$116K	—
BLACKROCK INSTITUTIONAL TRUST CO.	94-3112180

Investments

205 direct securities · 9 pooled funds· $533.9M(100% 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

$357.2M

8 holdings

U.S. Treasuries

$110.5M

17 holdings

Mutual Funds

$35.0M

4 holdings

Bonds / Notes

$13.3M

86 holdings

Common Stocks

$10.2M

58 holdings

Agency / Mortgage-Backed

$3.1M

3 holdings

Other securities

$2.8M

Fund families in this plan

Detected from the parsed Schedule of Assets. Click a family to see every plan that holds it — ranked by position size.

Wellington$114.8M BlackRock / iShares$94.9M Dimensional / DFA$10.6M Fidelity$10.0M PIMCO$417K

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Researching more plans? Run a look up another company's Form 5500 by company name, EIN, or plan name.

Name	EIN	Location	Relation	Direct comp	Indirect comp
AON CONSULTING INC.	22-2232264	—	NONE	$439K	—
AON INVESTMENTS USA, INC.	36-3109431	—	NONE	$190K	—
THE BANK OF NEW YORK MELLON	13-5160382	—	NONE	$100K	—

					% of plan
WTC-CIF II US INV GRADE CORP LG BD WELLINGTON TRUST COMPANY, NA · EIN 04-6913417 / PN 120	Common Collective Trust	—	$131.4M	$114.8M	21.5%
PAPS LONG DURATION CREDIT BOND PORTFOLIO 10,591,591.72 SHARES	U.S. Treasuries	—	$117.8M	$97.5M	18.2%
BLACKROCK US STRIPS 20+ YEAR BOND BLACKROCK INSTITUTIONAL TRUST COMPANY, NA · EIN 27-3227381 / PN 101	Common Collective Trust	—	$83.6M	$68.2M	12.7%
BLACKROCK U.S. EQUITY MARKET FUND BLACKROCK INSTITUTIONAL TRUST COMPANY, N.A. · EIN 94-3071854 / PN 001	Common Collective Trust	—	$35.3M	$54.3M	10.2%
BLACKROCK MSCI ACWI IMI INDEX FUND BLACKROCK INSTITUTIONAL TRUST COMPANY, N.A. · EIN 33-6371938 / PN 001	Common Collective Trust	—	$52.7M	$53.9M	10.1%
BLACKROCK MSCI ACWI EX-US IMI INDEX BLACKROCK INSTITUTIONAL TRUST COMPANY, N.A. · EIN 33-6371939 / PN 001	Common Collective Trust	—	$42.2M	$41.0M	7.7%
HRDNG LVNR GL EQ COL INV FUND GLOBAL TRUST COMPANY · EIN 27-6075499 / PN 004	Common Collective Trust	—	$18.4M	$25.0M	4.7%
DREYFUS GOVT CAS MGMT INST 289 VAR RT 12/31/2075 DD 06/03/97 14,066,765.12 SHARES	Mutual Funds	—	$14.1M	$14.1M	2.6%
VALUE OF INTEREST IN REGISTERED INVESTMENT COMPANIES DFA INTL SMALL COMP 544,522.85 SHARES	Mutual Funds	—	$9.7M	$10.6M	2.0%
FIDELITY FLTNG RT HI INC 1,076,324.37 SHARES	Mutual Funds	—	$10.3M	$10.0M	1.9%
U S TREASURY BOND 2.375% 02/15/2042 DD 02/15/22 3,975,000.00 SHARES	U.S. Treasuries	—	$2.8M	$2.8M	0.5%
U S TREASURY BOND 4.750% 11/15/2043 DD 11/15/23 2,100,000.00 SHARES	U.S. Treasuries	—	$2.1M	$2.1M	0.4%
COMMIT TO PUR FNMA SF MTG 6.500% 02/01/2055 DD 02/01/25 1,700,000.00 SHARES	Agency / Mortgage-Backed	—	$1.7M	$1.7M	0.3%
U S TREASURY BOND 4.375% 08/15/2043 DD 08/15/23 1,690,000.00 SHARES	U.S. Treasuries	—	$1.6M	$1.6M	0.3%
U S TREASURY NOTE 3.875% 08/15/2034 DD 08/15/24 1,600,000.00 SHARES	U.S. Treasuries	—	$1.5M	$1.5M	0.3%
U S TREASURY BOND 3.000% 08/15/2048 DD 08/15/18 1,900,000.00 SHARES	U.S. Treasuries	—	$1.4M	$1.4M	0.3%
Q-BLK REAL ASSETS II PARALLEL, L.P. BLACKROCK FINANCIAL MANAGEMENT, INC. · EIN 20-4552354 / PN 001	103-12 Investment Entity	—	$1.1M	$1.0M	0.2%
COMMIT TO PUR FNMA SF MTG 6.000% 02/01/2055 DD 02/01/25 1,000,000.00 SHARES	Agency / Mortgage-Backed	—	$1.0M	$1.0M	0.2%
MS ICE CCP COLLAT VAR RT 01/01/2049 DD 02/19/13 U.S. DOLLAR	Other securities	—	$996K	$996K	0.2%
U S TREASURY BOND 2.000% 11/15/2041 DD 11/15/21 1,400,000.00 SHARES	U.S. Treasuries	—	$941K	$941K	0.2%
U S TREASURY BOND 4.125% 08/15/2044 DD 08/15/24 900,000.00 SHARES	U.S. Treasuries	—	$818K	$815K	0.2%
US 10YR TREAS NTS FUTURE (CBT) EXP DEC 24 106.000 SHARES -	U.S. Treasuries	—	—	$492K	<0.1%
PUBLIC SERVICE CO OF COLORADO 5.750% 05/15/2054 DD 04/04/24 400,000.000 SHARES	Bonds / Notes	—	-$399K	$424K	<0.1%
PIMCO FDS SHORT TERM FLTG NAV PORT II 41,580.38 SHARES	Mutual Funds	—	$417K	$417K	<0.1%
AT&T INC 3.850% 06/01/2060 DD 05/28/20 600,000.00 SHARES	Bonds / Notes	—	$505K	$416K	<0.1%
ELEMENT SOLUTIONS INC 15,480.00 SHARES	Common Stocks	—	$233K	$394K	<0.1%
FHLMC POOL #SD-8454 6.000% 07/01/2054 DD 07/01/24 384,004.37 SHARES	Agency / Mortgage-Backed	—	$388K	$386K	<0.1%
CIGNA GROUP/THE 5.600% 02/15/2054 DD 02/13/24 400,000.00 SHARES	Bonds / Notes	—	$399K	$375K	<0.1%
BOEING CO/THE 5.930% 05/01/2060 DD 05/04/20 400,000.00 SHARES	Bonds / Notes	—	$385K	$371K	<0.1%
ENERGY TRANSFER LP 5.400% 10/01/2047 DD 09/21/17 400,000.00 SHARES	Bonds / Notes	—	$348K	$360K	<0.1%
U.S. GOVERNMENT SECURITIES U S TREASURY BOND 2.750% 08/15/2047 DD 08/15/17 500,000.00 SHARES	U.S. Treasuries	—	$372K	$352K	<0.1%
COMERICA INC 5,605.00 SHARES	Common Stocks	—	$285K	$347K	<0.1%
MEXICAN UDIBONOS 4.000% 08/24/2034 8,109,802.00 SHARES	Bonds / Notes	—	$449K	$346K	<0.1%
WESTERN ALLIANCE BANCORP 4,120.00 SHARES	Common Stocks	—	$214K	$344K	<0.1%
UNITED KINGDOM GILT REGS 4.375% 07/31/2054 265,000.000 SHARES	Bonds / Notes	—	-$337K	$342K	<0.1%
SOC GEN FUT CASH COLLATERAL VAR RT 01/01/2049 DD 07/01/08 U.S. DOLLAR	Cash / Money Market	—	$336K	$336K	<0.1%
ROYALTY PHARMA PLC 3.550% 09/02/2050 DD 03/02/21 500,000.00 SHARES	Bonds / Notes	—	$372K	$333K	<0.1%
BAT CAPITAL CORP 7.081% 08/02/2053 DD 08/02/23 300,000.00 SHARES	Bonds / Notes	—	$300K	$329K	<0.1%
U S TREASURY BOND 3.250% 05/15/2042 DD 05/15/22 400,000.00 SHARES	U.S. Treasuries	—	$324K	$326K	<0.1%
ZIONS BANCORP NA 5,735.00 SHARES	Common Stocks	—	$222K	$311K	<0.1%
BEACON ROOFING SUPPLY INC 3,055.00 SHARES	Common Stocks	—	$186K	$310K	<0.1%
ASHTEAD CAPITAL INC 144A 5.950% 10/15/2033 DD 07/27/23 300,000.00 SHARES	Bonds / Notes	—	$300K	$304K	<0.1%
OCCIDENTAL PETROLEUM CORP 6.200% 03/15/2040 DD 09/15/19 300,000.00 SHARES	Bonds / Notes	—	$294K	$296K	<0.1%
CORP NACIONAL DEL COBRE D 144A 6.300% 09/08/2053 DD 09/08/23 300,000.00 SHARES	Bonds / Notes	—	$282K	$294K	<0.1%
CUSHMAN & WAKEFIELD PLC 22,185.00 SHARES	Common Stocks	—	$241K	$290K	<0.1%
CELESTICA INC 3,065.00 SHARES	Common Stocks	—	$162K	$283K	<0.1%
PACIFICORP 5.500% 05/15/2054 DD 05/17/23 300,000.00 SHARES	Bonds / Notes	—	$300K	$281K	<0.1%
COX COMMUNICATIONS INC 144A 5.800% 12/15/2053 DD 01/19/24 300,000.00 SHARES	Bonds / Notes	—	$300K	$274K	<0.1%
CVS HEALTH CORP 5.625% 02/21/2053 DD 02/21/23 300,000.00 SHARES	Bonds / Notes	—	$302K	$266K	<0.1%
CULLEN/FROST BANKERS INC 1,925.00 SHARES	Common Stocks	—	$223K	$258K	<0.1%

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