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 (2018) 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 2018

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)

$294.2M

-8.7% from 2016

Total participants

3,030

+1.5% from 2016

Average account balance

$104,575

-9.3% from 2016

Annual return

-5.42%

-5.38 pp from 2016

Benchmarks

See 547 peers

Peer group

Industry52 - Finance and Insurance

Plan typeDefined contribution

Participants1,000-4,999

Cohort547 peers

Snapshot2018

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 6 by compensation

Provider	Service type	Compensation
PRICEWATERHOUSECOOPERS LLP4+ years Filed as: PRICE WATER HOUSE CO Service code 10 · EIN 13-4008324	Accounting	$85,680
MMA SECURITIES LLC4+ years Filed as: MMC SECURITIES Service code 27 · EIN 06-1685865	Advisory (Plan)	$40,000
ARNOLD & PORTER2 years Filed as: ARNOLD & PORTER KAYE SCHOLER Service code 29 · EIN 53-0208605	Legal	$25,140
ADP BROKER-DEALER1 year Filed as: ADP Service code 49 · EIN 22-1467904	Other Services	$11,470
STRATEGIC ADVISORS, INC.1 year Service code 27 · EIN 04-2654524	Advisory (Plan)	$8,579
FIDELITY INVESTMENTS INSTITUTIONAL4+ years Service code 37 · EIN 04-2647786	Loan Processing	-$107,391

Plan features & details

Pension benefit codes3D2E2F2G2J2K2T

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

$246K

$129 / participant

Investment mgmt$9K3.5%
Other / not subdivided$237K96.5%

% of EOY assets

0.084%

all-in expense ratio

Categories reported

1 / 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

$104,575

$82,546+26.7%

$140,019-25.3%

$75,289+38.9%

Participation rate

88.6%

88.4%+0.3pp

87.5%+1.1pp

72.4%+16.2pp

Annual return

-5.42%

-0.36%-5.1pp

651.19%-656.6pp

-0.04%-5.4pp

Employer contribution / active EE

$5,421

$3,856+40.6%

$5,605-3.3%

$2,405+125.4%

Participant deferral / active EE

$12,267

$5,731+114.0%

$6,927+77.1%

$3,739+228.1%

Admin fee / account holder

$87

$86+1.9%

$10,705-99.2%

$102-14.6%

Provider

Service type

Compensation

PRICEWATERHOUSECOOPERS LLP4+ years

Filed as: PRICE WATER HOUSE CO

Service code 10 · EIN 13-4008324

Accounting

$85,680

MMA SECURITIES LLC4+ years

Filed as: MMC SECURITIES

Service code 27 · EIN 06-1685865

Advisory (Plan)

$40,000

ARNOLD & PORTER2 years

Filed as: ARNOLD & PORTER KAYE SCHOLER

Service code 29 · EIN 53-0208605

Legal

$25,140

ADP BROKER-DEALER1 year

Filed as: ADP

Service code 49 · EIN 22-1467904

Other Services

$11,470

STRATEGIC ADVISORS, INC.1 year

Service code 27 · EIN 04-2654524

Advisory (Plan)

$8,579

FIDELITY INVESTMENTS INSTITUTIONAL4+ years

Service code 37 · EIN 04-2647786

Loan Processing

-$107,391

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