401(k) · DOL Form 5500 · 2023

Daiwa Capital Markets America Inc. 401(k) Plan

Data updated 2026-08-25

$149M
Total assets Near avg plan size
315
Participants Below avg headcount
93rd
Percentile by assets National rank
$473,904
Avg per participant High balance/head
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Official DOL plan name: Daiwa Capital Markets America Inc. Retirement Investment Plan · Sponsored by Daiwa Capital Markets America Inc. · New York · Finance & Insurance

$149M in assets, 315 participants

Daiwa Capital Markets America Inc.'s Daiwa Capital Markets America Inc. Retirement Investment Plan reported $149M in total assets and 315 participants in its 2023 DOL Form 5500 filing, ranking in the 93rd percentile by assets among filed plans. Figures are as reported by the plan sponsor to the Department of Labor, not audited or endorsed by PlainRetire.

  • #7,971 in Finance & Insurance (8,869 peers)

Coverage in New York

Daiwa Capital Markets America Inc. Retirement Investment Plan covers 315 participants in New York, about 39% of the average New York filer (state average ~798 per filing). Assets: $149M.

#7,971
in Finance & Insurance (8,869 peers)
+8.0%
assets growth YoY
1.5×
vs typical plan assets (national mean)

Daiwa Capital Markets America Inc. Retirement Investment Plan's outsized position by total assets

Daiwa Capital Markets America Inc. Retirement Investment Plan vs every filed plan by assets

End-of-year total assets · plan year 2023 · DOL Form 5500

$149,279,832 Top 7% higher than 93% of 127,068 filed plans

This plan $0 $2,050,000,000 every filed plan with reported assets, bucketed by value

Dashed line + filled bar = this entry, among filed plans.

Source U.S. Department of Labor Form 5500 filings (EBSA) · plan year 2023

Daiwa Capital Markets America Inc. Retirement Investment Plan among mid-size filed plans by headcount

Plan-year 2023 Form 5500 filings with a reported participant count, partitioned by headcount band, not by assets. Daiwa Capital Markets America Inc. Retirement Investment Plan sits mid-pack in the medium band (315 participants).

What changed between DOL Form 5500 filings

plan year 2022 → plan year 2023

  • Daiwa Capital Markets America Inc. Retirement Investment Plan reported net income rose from -$21M in the plan year 2022 filing to $11M in the plan year 2023 filing.
  • Daiwa Capital Markets America Inc. Retirement Investment Plan end-of-year assets rose from $138M in the plan year 2022 filing to $149M in the plan year 2023 filing.

See the national 2022→2023 release diff →

DOL schedule card

Filing strip 135680329 · Daiwa Capital Markets America Inc. PY 2023 · 401(k)

Daiwa Capital Markets America Inc. Retirement Investment Plan · $149M · 315 · 93rd

  • PCT $149M
  • PCT 315
  • PCT 93rd
  • PCT 401(k)
  • PCT near IBEW Local Union 271 NECA 401(k) Retirement Plan
  • PCT ind #7971

Stamps derive from this plan's Form 5500 line items (assets, participants, type, EIN, cohort placement) - not a quality rating of the sponsor. Read with Finance & Insurance retirement plans → · Plans in New York →

Daiwa Capital Markets America Inc. Retirement Investment Plan in the asset neighbourhood

Von Briesen & Roper S.C. 401(k) Profit Sharing PlanVon Briesen & Roper S.C. 401…$149MDaiwa Capital Markets America Inc. Retirement Investment PlanDaiwa Capital Markets Americ…$149MIBEW Local Union 271 NECA 401(k) Retirement PlanIBEW Local Union 271 NECA 40…$149MHotel Union and Hotel Industry of Hawaii 401(k) Retirement Savings PlanHotel Union and Hotel Indust…$149MCore Laboratories Profit Sharing and Retirement PlanCore Laboratories Profit Sha…$149M
End-of-year total assets ($M) among Daiwa Capital Markets America Inc. Retirement Investment Plan and nearest nationwide 401(k) peers. Source: DOL Form 5500 plan year 2023.

New York filing particulars

Total Assets (Beginning of Year)$138M
Net Assets (End of Year)$149M
Net Income$11M
Employer EIN135680329
Plan Effective Date1985-06-01
Filing StatusFILING RECEIVED

Sponsor Plan History (Daiwa Capital Markets America Inc.)

Sponsor-wide plan assets over time

All Daiwa Capital Markets America Inc. plans reported in each filing year

Latest sponsor-wide plan assets
$155M 12.197083793592178% vs 2022
2024 filing year
$130M$140M$150M$160M 202220232024 $138M $155M ▲ +12.2%
Year Plans Participants Total Assets
2022 1 313 $138M
2023 1 315 $149M
2024 1 299 $155M

Nearby 401(k) Plans in New York

Peer 401(k) plans, same state, same plan type, ranked by total assets.

Daiwa Capital Markets America Inc. Retirement Investment Plan vs. nearby 401(k) plans in New York, assets vs. participants Scatter plot of 6 data points. -50000050000100000150000 -20020406080 Total assets ($B) Participants Daiwa Capital Markets America Inc. Retirement Investment Plan, Total assets ($B): 0.149279832 · Participants: 315Daiwa Capital Markets America Inc. Retirement Investment PlanIBM 401 (K) Plus Plan, Total assets ($B): 57.428456306 · Participants: 54912IBM 401 (K) Plus PlanPfizer Savings Plan, Total assets ($B): 19.56134085 · Participants: 30033Pfizer Savings PlanMorgan Stanley 401(k) Plan, Total assets ($B): 19.235068266 · Participants: 55363Morgan Stanley 401(k) PlanThe Pepsico Savings Plan, Total assets ($B): 13.651296 · Participants: 133597The Pepsico Savings PlanThe Goldman Sachs 401(k) Plan, Total assets ($B): 11.428659742 · Participants: 24866The Goldman Sachs 401(k) Plan
Daiwa Capital Markets America Inc. Retirement Investment Plan vs. nearby 401(k) plans in New York, assets vs. participants
Compare Daiwa Capital Markets America Inc. Retirement Investment Plan side-by-side with 3 peers →

Daiwa Capital Markets America Inc. Retirement Investment Plan's out-of-state 401(k) peers by assets and headcount

Outside New York, the nearest 401(k) by assets is IBEW Local Union 271 NECA 401(k) Retirement Plan in KS ($149M); by covered participants it is Surefire, LLC 401(k) Plan in CA (315 participants). Same-state nearby plans are listed separately above.

Similar participant headcount

Nearest other-state filings by covered participants (315 participants); asset peers above are excluded.

DOL Form 5500 plan year 2023. Asset totals can differ widely at the same headcount; neither axis is a quality rating.

Frequently Asked Questions

How did Daiwa Capital Markets America Inc. Retirement Investment Plan assets move in 2023? ▼
Daiwa Capital Markets America Inc. Retirement Investment Plan grew at a solid clip - up 8.0% during 2023, from $138M to $149M. Reported net income was $11M.
How have Daiwa Capital Markets America Inc. plan assets changed over time? ▼
Across 3 plan years on file (2022-2024), Daiwa Capital Markets America Inc.'s sponsor-wide assets grew 12.2%, from $138M to $155M.
Where does Daiwa Capital Markets America Inc. Retirement Investment Plan rank by assets among Form 5500 filers? ▼
Daiwa Capital Markets America Inc. Retirement Investment Plan ranks in the 93rd percentile by end-of-year assets among 127,072 plans that reported assets for plan year 2023 (in the top 10% of all filed plans by assets).
Which 401(k) plans are similar in size to Daiwa Capital Markets America Inc. Retirement Investment Plan? ▼
Among 401(k) plans in other states, the closest by assets is IBEW Local Union 271 NECA 401(k) Retirement Plan in KS ($149M, 639 participants).
Which 401(k) plans cover a similar participant headcount to Daiwa Capital Markets America Inc. Retirement Investment Plan? ▼
Among 401(k) plans in other states, the closest by covered participants is Surefire, LLC 401(k) Plan in CA (315 participants, $20M in assets).

Source: U.S. Department of Labor, Employee Benefits Security Administration (EBSA), Form 5500 public disclosure dataset. Plan year 2023.

Source: DOL EFAST2 filing system (efast.dol.gov) - original filing retrieval by EIN 135680329.

Read our methodology - how this data is sourced, computed, and verified.

Data sourced from U.S. Department of Labor Form 5500 filings (EBSA). See our methodology for details.