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Original filing (PDF)20251002120142NAL0000460785001
FINRA
Form 5500
FILING_RECEIVED
FINRA SAVINGS PLUS PLAN
401(k) retirement plan
Signals · 2
32% in single holdingNo recordkeeper disclosed
Active participants
4,223
Accounts w/ balance
6,191
Plan assets (EOY)
$2.5B
Net assets (EOY)
$2.5B
How this plan invests
This plan
19 pooled trusts
Schedule D
24 securities
funds · stocks · CUSIPs
Holdings are itemized directly on this plan's Schedule of Assets, below.
Plan health score (directional)
95
/ 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
84
Total plan cost
100
Vendor stack
80
Participation health
100
Knocking points off
- Top holding "Vanguard Institutional 500 Index Trust 5,425,453 units" is 32% of plan.
- No recordkeeper disclosed on Schedule C.
Helping the score
- Below-peer total fees (3 bps vs 5 bps peer median).
Decision-maker contacts
CFO / Head of HR / Benefits Manager — verified email + LinkedIn for FINRA.
Plan sponsor
Name
FINRA
EIN
53-0088710
Address
1700 K ST NW · WASHINGTON, DC · 20006
Phone
(301) 590-6500
Industry
Other Services (ex. Public Admin)see all
Plan administrator
Name
FINRA PENSION/401(K) PLAN COMMITTEE
EIN
52-1087606
City
WASHINGTON, DC
Phone
(301) 590-6500
Plan characteristics
Plan number
003
Plan year
2024
Plan year begin
2024-01-01
Tax period
2024-12-31
Filed
2025-10-02
Pension benefit codes
2A · Age/service weighted or new comparability
2E · Profit-sharing
2F · ERISA section 404(c)
2G · Total participant-directed accounts
2J · 401(k) feature
2K · 401(m) arrangement
2S · Automatic enrollment
2T · Default investment account (QDIA)
Audit & trust (Schedule H)
Auditor
ERNST & YOUNG LLP
Trustee / custodian
—
Trustee phone
—
Service providers (Schedule C)
2 rowsOther
2| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| VANGUARD ADVISERS INC. | 23-2811930 | — | NONE | $659K | — |
| THE VANGUARD GROUP, INC. | 23-1945930 | — | NONE | $129K | — |
Investments
7 direct securities · 19 pooled funds· $2.7B(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
$2.3B
19 holdings
Uncategorized
$422.7M
7 holdings
| PI | Investment | Type | Shares / units | Cost | Current value | % of plan |
|---|---|---|---|---|---|---|
| VANGUARD INST 500 IND TRUST VANGUARD FIDICIARY TRUST COMPANY · EIN 81-6327546 / PN 001 | Common Collective Trust | — | — | $797.8M | 32.1% | |
| VANGUARD TGT RETIREMENT 2035 TR I VANGUARD FIDICIARY TRUST COMPANY · EIN 90-6083977 / PN 001 | Common Collective Trust | — | — | $164.5M | 6.6% | |
| VFTC RETIREMENT SAVINGS TRUST III VANGUARD FIDICIARY TRUST COMPANY · EIN 38-7041744 / PN 024 | Common Collective Trust | — | — | $154.0M | 6.2% | |
| VANGUARD TGT RETIREMENT 2030 TR I VANGUARD FIDICIARY TRUST COMPANY · EIN 90-6083979 / PN 001 | Common Collective Trust | — | — | $152.5M | 6.1% | |
| VANGUARD TGT RETIREMENT 2045 TR I VANGUARD FIDICIARY TRUST COMPANY · EIN 90-6083973 / PN 001 | Common Collective Trust | — | — | $150.3M | 6.0% | |
| VANGUARD TGT RETIREMENT 2040 TR I VANGUARD FIDICIARY TRUST COMPANY · EIN 90-6083975 / PN 001 | Common Collective Trust | — | — | $149.5M | 6.0% | |
| Vanguard Institutional Extended Market Index Trust 1,036,962 units | — | — | — | $138.8M | 5.6% | |
| VANGUARD INST EXT MKT IND TRUST VANGUARD FIDICIARY TRUST COMPANY · EIN 81-6324211 / PN 001 | Common Collective Trust | — | — | $138.8M | 5.6% | |
| VANGUARD TGT RETIREMENT 2050 TR I VANGUARD FIDICIARY TRUST COMPANY · EIN 90-6083969 / PN 001 | Common Collective Trust | — | — | $133.7M | 5.4% | |
| Vanguard Institutional Total Bond Market Index Trust 1,212,079 units | — | — | — | $122.8M | 4.9% | |
| VANGUARD INST TOT BND MKT IND TRUST VANGUARD FIDICIARY TRUST COMPANY · EIN 81-6321044 / PN 001 | Common Collective Trust | — | — | $122.8M | 4.9% | |
| Vanguard FTSE All-World ex-US Index Fund: Inst. Plus Shares 909,935 shares | — | — | — | $109.0M | 4.4% | |
| VANGUARD TGT RETIREMENT 2025 TR I VANGUARD FIDICIARY TRUST COMPANY · EIN 90-6083981 / PN 001 | Common Collective Trust | — | — | $86.6M | 3.5% | |
| VANGUARD TGT RETIREMENT 2055 TR I VANGUARD FIDICIARY TRUST COMPANY · EIN 27-6715074 / PN 001 | Common Collective Trust | — | — | $69.5M | 2.8% | |
| MFS INTERNATIONAL EQUITY CIT; CL3 MFS INVESTMENT MANAGEMENT · EIN 57-1187281 / PN 013 | Common Collective Trust | — | — | $64.1M | 2.6% | |
| VANGUARD TGT RETIREMENT 2060 TR I VANGUARD FIDICIARY TRUST COMPANY · EIN 45-3799212 / PN 001 | Common Collective Trust | — | — | $34.0M | 1.4% | |
| EARNEST PRN SMID CAP CORE FD CL 1 SEI TRUST COMPANY · EIN 26-4377500 / PN 041 | Common Collective Trust | — | — | $32.7M | 1.3% | |
| VANGUARD TGT RETIREMENT 2020 TR I VANGUARD FIDICIARY TRUST COMPANY · EIN 90-6083983 / PN 001 | Common Collective Trust | — | — | $32.4M | 1.3% | |
| Registered Investment Companies PIMCO Total Return Fund; Institutional Class 2,636,153 shares | — | — | — | $22.4M | 0.9% | |
| VANGUARD TGT RETIREMENT INCOME TR I VANGUARD FIDICIARY TRUST COMPANY · EIN 90-6083968 / PN 001 | Common Collective Trust | — | — | $18.0M | 0.7% | |
| PINESTONE U.S. EQ CIT; FOUNDERS CLS SEI TRUST COMPANY · EIN 99-1858262 / PN 182 | Common Collective Trust | — | — | $15.6M | 0.6% | |
| Participant loans 3.25% - 9.5% | — | — | — | $15.2M | 0.6% | |
| Vanguard Inflation-Protected Securities Fund: Inst. Shares 1,588,076 shares | — | — | — | $14.6M | 0.6% | |
| VANGUARD TGT RETIREMENT 2065 TR I VANGUARD FIDICIARY TRUST COMPANY · EIN 82-6190443 / PN 001 | Common Collective Trust | — | — | $8.4M | 0.3% | |
| VANGUARD TGT RETIREMENT 2070 TR I VANGUARD FIDICIARY TRUST COMPANY · EIN 87-7035538 / PN 001 | Common Collective Trust | — | — | $1.2M | <0.1% | |
| Vanguard Cash Reserves Federal MM Fund Admiral Shares 11,949 shares | — | — | — | $12K | <0.1% |