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Original filing (PDF)20251012131943NAL0000471729001
KCG, INC.
Form 5500
FILING_RECEIVED
KCG, INC. 401(K) PLAN
401(k) retirement plan
Active participants
822
Accounts w/ balance
766
Plan assets (EOY)
$40.9M
Net assets (EOY)
$40.9M
How this plan invests
This plan
31 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
100
Total plan cost
80
Vendor stack
100
Participation health
100
Knocking points off
- 38 bps in Schedule C fees — modestly above peer band of 29 bps.
Decision-maker contacts
CFO / Head of HR / Benefits Manager — verified email + LinkedIn for KCG, INC..
Plan sponsor
Name
KCG, INC.
EIN
86-0390254
Address
15720 W. 108TH ST. · SUITE 100 · LENEXA, KS · 66219
Phone
(913) 438-4142
Industry
Manufacturingsee 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
2025-10-12
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)
2U · Association Retirement Plan
3D · Pre-approved plan (master / prototype / VS)
3H · Sponsor in controlled / affiliated group
Audit & trust (Schedule H)
Auditor
FORVIS MAZARS, LLP
Trustee / custodian
—
Trustee phone
—
Service providers (Schedule C)
4 rowsRecordkeeper
1| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| EMPOWER ANNUITY INSURANCE COMPANY O | — | GREENWOOD VILLAGE, CO | RECORDKEEPER | $69K | — |
Advisor / Consultant
1| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| CBIZ INVESTMENT ADVISORY SERV LLC | — | CLEVELAND, OH | INVESTMENT ADVISOR | $45K | — |
TPA / Administrator
1| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| CBIZ BENEFITS & INS SERVICES | — | CINCINNATI, OH | CONTRACT ADMIN | $28K | — |
Other
1| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| EMPOWER ADVISORY GROUP LLC | — | GREENWOOD VILLAGE, CO | INVESTMENT MGMT | $13K | — |
Investments
31 direct securities· $40.9M(100% of reported assets)
| PI | Investment | Type | Shares / units | Cost | Current value | % of plan |
|---|---|---|---|---|---|---|
| Fidelity 500 Index Mutual Fund | — | — | — | $8.9M | 21.8% | |
| JPMorgan Equity Income R6 Mutual Fund | — | — | — | $5.6M | 13.7% | |
| Janus Henderson Balanced N Mutual Fund | — | — | — | $4.2M | 10.4% | |
| EI Fixed Account - Series Class VI Fixed Annuity | — | — | — | $3.3M | 8.1% | |
| AB Large Cap Growth Z Mutual Fund | — | — | — | $2.1M | 5.0% | |
| Blackrock Total Return K Mutual Fund | — | — | — | $1.6M | 4.0% | |
| American Funds 2030 Target Date Retire R6 Mutual Fund | — | — | — | $1.5M | 3.7% | |
| American Funds 2050 Target Date Retire R6 Mutual Fund | — | — | — | $1.3M | 3.3% | |
| American Funds 2055 Target Date Retire R6 Mutual Fund | — | — | — | $1.2M | 3.0% | |
| American Funds 2040 Target Date Retire R6 Mutual Fund | — | — | — | $1.2M | 2.9% | |
| American Funds 2060 Target Date Retire R6 Mutual Fund | — | — | — | $1.2M | 2.9% | |
| American Funds 2045 Target Date Retire R6 Mutual Fund | — | — | — | $1.1M | 2.7% | |
| Empower T. Rowe Price Mid Cap Gr Inst Mutual Fund | — | — | — | $851K | 2.1% | |
| Pioneer Strategic Income K Mutual Fund | — | — | — | $845K | 2.1% | |
| American Funds 2035 Target Date Retire R6 Mutual Fund | — | — | — | $820K | 2.0% | |
| Fidelity Us Bond Index Mutual Fund | — | — | — | $804K | 2.0% | |
| American Funds 2025 Target Date Retire R6 Mutual Fund | — | — | — | $716K | 1.7% | |
| Fidelity Extended Market Index Mutual Fund | — | — | — | $684K | 1.7% | |
| Fidelity Global Ex Us Index Mutual Fund | — | — | — | $657K | 1.6% | |
| American Funds New World R6 Mutual Fund | — | — | — | $451K | 1.1% | |
| American Funds Europacific Gr R6 Mutual Fund | — | — | — | $419K | 1.0% | |
| Janus Henderson Triton N Mutual Fund | — | — | — | $349K | 0.9% | |
| American Century Mid Cap Value R6 Mutual Fund | — | — | — | $253K | 0.6% | |
| Principal Real Estate Securities Fd R-6 Mutual Fund | — | — | — | $200K | 0.5% | |
| Empower Self Directed Brokerage Self Directed Brokerage Accounts | — | — | — | $196K | 0.5% | |
| and maturity dates through November 2029 | — | — | — | $122K | 0.3% | |
| American Funds 2020 Target Date Retire R6 Mutual Fund | — | — | — | $84K | 0.2% | |
| Franklin Small Cap Value R6 Mutual Fund | — | — | — | $55K | 0.1% | |
| American Funds 2015 Target Date Retire R6 Mutual Fund | — | — | — | $46K | 0.1% | |
| American Funds 2010 Target Date Retire R6 Mutual Fund | — | — | — | $17K | <0.1% | |
| Empower Self Directed Brokerage - Roth Self Directed Brokerage Accounts | — | — | — | $3K | <0.1% |
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