Retirement plan

MACQUARIE HOLDINGS (USA) INC. 401(K) PLAN AND TRUST

Name: MACQUARIE HOLDINGS U.S.A INC. - MACQUARIE HOLDINGS (USA) INC. 401(K) PLAN AND TRUST (2015) Form 5500
Creator: MACQUARIE HOLDINGS U.S.A INC.
License: https://www.dol.gov/general/disclaim
Keywords: Form 5500, ERISA, retirement plan, MACQUARIE HOLDINGS (USA) INC. 401(K) PLAN AND TRUST, MACQUARIE HOLDINGS U.S.A INC.

MACQUARIE HOLDINGS U.S.A INC.EIN 13-3789912Plan #001PY 2015

125 WEST 55TH STREET - NEW YORK, NY 10019212-231-1000LinkedIn1001-5000 employeesinvestment banking

Prospect flagsCorrective distributions

Top hat statement on fileNQDC

Filed April 10, 2006

This is a legacy paper filing. Plan administrator and contact details are recorded in the original filing, which has not been digitised into structured fields.

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Total assets (EOY)

$214.4M

-8.7% from 2016

Total participants

2,728

+1.5% from 2016

Average account balance

$89,039

-9.3% from 2016

Annual return

2.89%

-5.38 pp from 2016

Benchmarks

See 487 peers

Peer group

Industry52 - Finance and Insurance

Plan typeDefined contribution

Participants1,000-4,999

Cohort487 peers

Snapshot2015

Free accounts unlock saves, downloads, and 3-year history.

Analytics

Total assets (EOY)

Plan-year ending balance

$720.65M

Not enough data

1 years with asset history on file

Average account balance

Total assets / participants with a balance (line 6g)

$192K

Not enough data

1 years with per-participant data

Participants with account balance

Stacked by status: active / separated vested / retired or beneficiary. Total = line 6g.

3,748

Not enough data

1 years with headcount on file

Eligible Participants and Participation

Bars: eligible actives (line 6a). Line: derived rate = active employees with a balance / 6a.

94.5%

Not enough data

1 years with eligibility data

Contributions (total)

Employer and participant dollars contributed each year

$56.40M

Not enough data

1 years with contributions on file

Contributions per participant

Average employer and participant contribution per enrolled participant

$25K

Not enough data

1 years with per-participant contribution data

Asset flow

BOY + contributions + return - distributions = EOY

Year

Annual return

Diverging bars; negative years highlighted

+18.26%

Not enough data

1 years with return on file

Admin fee / account holder

Total admin expenses / participants with a balance (line 6g)

$157

Not enough data

1 years with admin cost on file

Asset composition

Cash / stocks / bonds / mutual funds / real estate / loans over time

Not enough data

1 years with F_SCH_H allocation on file

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Service providers

Top 4 by compensation

Provider	Service type	Compensation
PRICEWATERHOUSECOOPERS LLP1+ years Filed as: PRICE WATER HOUSE CO Service code 10 · EIN 13-4008324	Accounting	$53,560
MMA SECURITIES LLC1+ years Filed as: MMC SECURITIES Service code 16 · EIN 06-1685865	Consulting	$40,000
KAYE SCHOLER LLP1+ years Service code 29 · EIN 13-1672623	Legal	$17,761
FIDELITY INVESTMENTS INSTITUTIONAL1+ years Service code 37 · EIN 04-2647786	Loan Processing	-$105,057

Plan features & details

Pension benefit codes2F2G2J2K2T3D2E

Plan features

2E
Profit-sharing
Profit-sharing plan.
2F
ERISA section 404(c) plan
This plan or any part of it is intended to meet the conditions of 29 CFR 2550.404c-1 (shifting investment responsibility to participants).
2G
Total participant-directed account plan
Participants have the opportunity to direct the investment of all of the assets allocated to their individual accounts regardless of whether 29 CFR 2550.404c-1 is intended to be met.
2J
Code section 401(k) feature
Cash or deferred arrangement described in Code section 401(k) that is part of a qualified defined contribution plan under which employees may elect to defer part of their compensation or receive these amounts in cash.
2K
Code section 401(m) arrangement
Employee contributions are allocated to separate accounts under the plan or employer contributions are based in whole or in part on employee deferrals or contributions to the plan. Not applicable to 401(k) plans with only QNECs and/or QMACs or to 403(b)(1) 403(b)(7) or 408 arrangements.
2T
Default investment account
Total or partial participant-directed account plan where plan uses a default investment account for participants who fail to direct assets in their account.
3D
Pre-approved pension plan
A master prototype or volume submitter plan that is the subject of a favorable opinion or advisory letter from the IRS.

Opportunity flags

1 tripped

ComplianceCorrective distributions
Plan reported corrective distributions (failed ADP/ACP testing).

Expense breakdown

Schedule H Part II

Admin total

$126K

$76 / participant

Other / not subdivided$126K100.0%

% of EOY assets

0.059%

all-in expense ratio

Categories reported

0 / 9

subdivided buckets used

Audit opinion

Schedule H Part III

Disclaimer opinion

Auditor declined to express an opinion - usually a 103(a)(3)(C) limited-scope election.

Auditor firm: PRICEWATERHOUSECOOPERS
Auditor EIN: 134008324
Audit fees: (not subdivided)
Opinion code: Disclaimer

Metric

This plan

Peer set

Industry

Size

Avg account balance

$89,039

$75,760+17.5%

$123,105-27.7%

$59,188+50.4%

Participation rate

80.7%

86.0%-5.4pp

86.8%-6.1pp

69.4%+11.3pp

Annual return

2.89%

2.93%0pp

13.22%-10.3pp

5.51%-2.6pp

Employer contribution / active EE

$5,172

$3,415+51.4%

$5,151+0.4%

$2,098+146.5%

Participant deferral / active EE

$11,059

$5,000+121.2%

$6,229+77.5%

$3,265+238.7%

Admin fee / account holder

$52

$61-13.6%

$9,014-99.4%

$92-43.1%

Provider

Service type

Compensation

PRICEWATERHOUSECOOPERS LLP1+ years

Filed as: PRICE WATER HOUSE CO

Service code 10 · EIN 13-4008324

Accounting

$53,560

MMA SECURITIES LLC1+ years

Filed as: MMC SECURITIES

Service code 16 · EIN 06-1685865

Consulting

$40,000

KAYE SCHOLER LLP1+ years

Service code 29 · EIN 13-1672623

Legal

$17,761

FIDELITY INVESTMENTS INSTITUTIONAL1+ years

Service code 37 · EIN 04-2647786

Loan Processing

-$105,057

MACQUARIE HOLDINGS (USA) INC. 401(K) PLAN AND TRUST

Top hat statement on fileNQDC

Summary metrics

Benchmarksi

Analytics

Service providersi

Plan features & details

Opportunity flagsi

Expense breakdowni

Audit opinioni

MACQUARIE HOLDINGS (USA) INC. 401(K) PLAN AND TRUST

Top hat statement on fileNQDC

Summary metrics

Benchmarksi

Analytics

Service providersi

Plan features & details

Opportunity flagsi

Expense breakdowni

Audit opinioni

Benchmarks

Service providers

Opportunity flags

Expense breakdown

Audit opinion

Benchmarks

Service providers

Opportunity flags

Expense breakdown

Audit opinion