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Original filing (PDF)20251002151608NAL0000656657001
CALIFORNIA INSTITUTE OF TECHNOLOGY
Form 5500
FILING_RECEIVED
CALTECH BASE RETIREMENT PLAN
403(b) retirement plan
Signals · 1
No recordkeeper disclosed
Active participants
10,047
Accounts w/ balance
21,732
Plan assets (EOY)
$5.2B
Net assets (EOY)
$5.2B
How this plan invests
This plan
1 pooled trust
Schedule D
52 securities
funds · stocks · CUSIPs
Holdings are itemized directly on this plan's Schedule of Assets, below.
Plan health score (directional)
98
/ 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
80
Participation health
100
Knocking points off
- No recordkeeper disclosed on Schedule C.
Helping the score
- Below-peer total fees (1 bps vs 5 bps peer median).
Decision-maker contacts
CFO / Head of HR / Benefits Manager — verified email + LinkedIn for CALIFORNIA INSTITUTE OF TECHNOLOGY.
Plan sponsor
Name
CALIFORNIA INSTITUTE OF TECHNOLOGY
EIN
95-1643307
Address
1200 E. CALIFORNIA BLVD, · MC 161-84 · PASADENA, CA · 91125
Phone
(626) 395-8487
Industry
Educational Servicessee all
Plan administrator
Same as plan sponsor.
Plan characteristics
Plan number
002
Plan year
2024
Plan year begin
2024-01-01
Tax period
2024-12-31
Filed
2025-10-02
Pension benefit codes
2F · ERISA section 404(c)
2G · Total participant-directed accounts
2L · 403(b)(1) annuity
2M · 403(b)(7) custodial accounts
2S · Automatic enrollment
2T · Default investment account (QDIA)
Audit & trust (Schedule H)
Auditor
MILLER KAPLAN ARASE LLP
Trustee / custodian
—
Trustee phone
—
Service providers (Schedule C)
3 rowsOther
3| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| MERCER INVESTMENTS LLC | 30-0282430 | — | NONE | $274K | — |
| TIAA | 13-1624203 | — | NONE | $197K | — |
| MILLER KAPLAN ARASE LLP | 95-2036255 | — | NONE | $15K | — |
Investments
51 direct securities · 1 pooled fund· $5.2B(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.
Uncategorized
$5.1B
51 holdings
Pooled Separate Account
$126.3M
1 holding
| PI | Investment | Type | Shares / units | Cost | Current value | % of plan |
|---|---|---|---|---|---|---|
| TIAA Traditional Non Benefit Responsive Insurance Company General Contract | — | — | — | $1.1B | 21.4% | |
| CREF Stock R3 Registered Investment Company | — | — | — | $491.7M | 9.4% | |
| Vanguard Inst Idx Inst Plus Registered Investment Company | — | — | — | $380.1M | 7.2% | |
| CREF Stock R4 Registered Investment Company | — | — | — | $265.4M | 5.1% | |
| CREF Growth R4 Registered Investment Company | — | — | — | $194.8M | 3.7% | |
| CREF Growth R3 Registered Investment Company | — | — | — | $193.8M | 3.7% | |
| CREF Global Equities R4 Registered Investment Company | — | — | — | $162.5M | 3.1% | |
| CREF Global Equities R3 Registered Investment Company | — | — | — | $143.2M | 2.7% | |
| Vanguard Total Int St Ix IsPls Registered Investment Company | — | — | — | $141.3M | 2.7% | |
| Vanguard Treasury MoneyMkt Inv Registered Investment Company | — | — | — | $126.6M | 2.4% | |
| TIAA REAL ESTATE TIAA-CREF · EIN 13-1624203 / PN 004 | Pooled Separate Account | — | — | $126.3M | 2.4% | |
| Vanguard Extend MkIdx Inst Pl Registered Investment Company | — | — | — | $123.0M | 2.3% | |
| Nuveen Lifecycle 2040 R6 Registered Investment Company | — | — | — | $111.9M | 2.1% | |
| CREF Equity Index R3 Registered Investment Company | — | — | — | $95.7M | 1.8% | |
| American Fd New Perspective R6 Registered Investment Company | — | — | — | $93.2M | 1.8% | |
| CREF Equity Index R4 Registered Investment Company | — | — | — | $92.5M | 1.8% | |
| Dodge & Cox Stock Fund Class X Registered Investment Company | — | — | — | $83.9M | 1.6% | |
| Nuveen Lifecycle 2045 R6 Registered Investment Company | — | — | — | $78.8M | 1.5% | |
| CREF Social Choice R3 Registered Investment Company | — | — | — | $78.7M | 1.5% | |
| CREF Social Choice R4 Registered Investment Company | — | — | — | $75.7M | 1.4% | |
| Nuveen Lifecycle 2050 R6 Registered Investment Company | — | — | — | $72.3M | 1.4% | |
| Nuveen Lifecycle 2035 R6 Registered Investment Company | — | — | — | $64.2M | 1.2% | |
| Nuveen Lifecycle 2030 R6 Registered Investment Company | — | — | — | $62.8M | 1.2% | |
| Transamerica Mid Cap Val OppR6 Registered Investment Company | — | — | — | $62.6M | 1.2% | |
| Vanguard Ttl Bd Mkt Idx InstPl Registered Investment Company | — | — | — | $59.5M | 1.1% | |
| Nuveen Large Cap Resp Eq R6 Registered Investment Company | — | — | — | $58.1M | 1.1% | |
| PGIM Jennison Growth Z Registered Investment Company | — | — | — | $52.7M | 1.0% | |
| Vanguard Short-Trm Bd Idx Inst Registered Investment Company | — | — | — | $51.2M | 1.0% | |
| Nuveen Lifecycle 2025 R6 Registered Investment Company | — | — | — | $48.7M | 0.9% | |
| Dodge&CoxInternationalStockX Registered Investment Company | — | — | — | $46.3M | 0.9% | |
| Nuveen Lifecycle 2055 R6 Registered Investment Company | — | — | — | $43.5M | 0.8% | |
| CREF Core Bond R4 Registered Investment Company | — | — | — | $41.1M | 0.8% | |
| Cohen & Steers Global Realty Z Registered Investment Company | — | — | — | $37.3M | 0.7% | |
| Victory Integrity Sm-Cp Val R6 Registered Investment Company | — | — | — | $36.7M | 0.7% | |
| CREF Inflation-Linked Bond R4 Registered Investment Company | — | — | — | $35.7M | 0.7% | |
| CREF Core Bond R3 Registered Investment Company | — | — | — | $35.7M | 0.7% | |
| CREF Inflation-Linked Bond R3 Registered Investment Company | — | — | — | $30.0M | 0.6% | |
| CREF Money Market R3 Registered Investment Company | — | — | — | $28.0M | 0.5% | |
| Nuveen Lifecycle 2020 R6 Registered Investment Company | — | — | — | $23.9M | 0.5% | |
| PIMCO Total Return Instl Registered Investment Company | — | — | — | $22.8M | 0.4% | |
| PGIM Jennison Mid Cap Grw R6 Registered Investment Company | — | — | — | $21.9M | 0.4% | |
| Dodge & Cox Global Bond Fund X Registered Investment Company | — | — | — | $17.8M | 0.3% | |
| Allspring Emerging Growth Inst Registered Investment Company | — | — | — | $17.1M | 0.3% | |
| Nuveen Lifecycle 2060 R6 Registered Investment Company | — | — | — | $17.0M | 0.3% | |
| PIMCO Real Return Inst Class Registered Investment Company | — | — | — | $15.8M | 0.3% | |
| Invesco Global R6 Registered Investment Company | — | — | — | $14.9M | 0.3% | |
| Allspring Emerg Markt Eq R6 Registered Investment Company | — | — | — | $12.9M | 0.2% | |
| Nuveen Lifecycle 2010 R6 Registered Investment Company | — | — | — | $12.0M | 0.2% | |
| Nuveen Lifecycle 2015 R6 Registered Investment Company | — | — | — | $10.0M | 0.2% | |
| Participant Loans 4.00% to 9.50%, maturing through 2034 | — | — | — | $7.6M | 0.1% | |
| Nuveen Lifecycle 2065 R6 Registered Investment Company | — | — | — | $2.4M | <0.1% | |
| Nuveen Lifecycle Ret Inc R6 Registered Investment Company | — | — | — | $2.0M | <0.1% |
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