401(k) · DOL Form 5500 · 2023

Maxim Group, LLC 401(k) Plan

Data updated 2026-08-25

$72M
Total assets Below avg plan size
190
Participants Below avg headcount
89th
Percentile by assets National rank
$379,891
Avg per participant High balance/head
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Official DOL plan name: Maxim Group, LLC 401(k) Plan · Sponsored by Maxim Group, LLC · New York · Finance & Insurance

$72M in assets, 190 participants

Maxim Group, LLC's Maxim Group, LLC 401(k) Plan reported $72M in total assets and 190 participants in its 2023 DOL Form 5500 filing, ranking in the 89th 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.

  • #7,341 in Finance & Insurance (8,869 peers)

Coverage in New York

Maxim Group, LLC 401(k) Plan covers 190 participants in New York, about 24% of the average New York filer (state average ~798 per filing). Assets: $72M.

#7,341
in Finance & Insurance (8,869 peers)
+12.3%
assets growth YoY
0.7×
vs typical plan assets (national mean)

Maxim Group, LLC 401(k) Plan's outsized position by total assets

Maxim Group, LLC 401(k) Plan vs every filed plan by assets

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

$72,179,224 Top 11% higher than 89% 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

Maxim Group, LLC 401(k) 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. Maxim Group, LLC 401(k) Plan sits mid-pack in the medium band (190 participants).

What changed between DOL Form 5500 filings

plan year 2022 → plan year 2023

  • Maxim Group, LLC 401(k) Plan reported net income rose from -$19M in the plan year 2022 filing to $8M in the plan year 2023 filing.
  • Maxim Group, LLC 401(k) Plan end-of-year assets rose from $64M in the plan year 2022 filing to $72M in the plan year 2023 filing.
  • Maxim Group, LLC 401(k) Plan reported participants fell from 200 in the plan year 2022 filing to 190 in the plan year 2023 filing.

See the national 2022→2023 release diff →

Plan-year Form 5500 strip

Filing strip 043640096 · Maxim Group, LLC PY 2023 · 401(k)

Maxim Group, LLC 401(k) Plan · $72M · 190 · 89th

  • ASSETS $72M
  • PCT 190
  • EIN 89th
  • RANK 401(k)
  • PHOTO near Sakata Employee Profit Sharing & Savings Plan
  • IND ind #7341

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 →

Maxim Group, LLC 401(k) Plan in the asset neighbourhood

Maxim Group, LLC 401(k) Plan$72MSakata Employee Profit Sharing & Savings PlanSakata Employee Profit Shari…$72MHellman Jordan Management Company, Inc Profit Sharing and 401(k) PlanHellman Jordan Management Co…$72MPennsylvania State Education Association 401(k) Retirement PlanPennsylvania State Education…$72MOrion Engineered Carbons 401(k) Savings PlanOrion Engineered Carbons 401…$72M
End-of-year total assets ($M) among Maxim Group, LLC 401(k) Plan and nearest nationwide 401(k) peers. Source: DOL Form 5500 plan year 2023.

New York filing particulars

Total Assets (Beginning of Year)$64M
Net Assets (End of Year)$72M
Net Income$8M
Employer EIN043640096
Plan Effective Date2002-10-01
Filing StatusFILING RECEIVED

Sponsor Plan History (Maxim Group, LLC)

Sponsor-wide plan assets over time

All Maxim Group, LLC plans reported in each filing year

Latest sponsor-wide plan assets
$78M 21.378339041330417% vs 2022
2024 filing year
$60M$65M$70M$75M$80M 202220232024 $64.3M $78M ▲ +21.4%
Year Plans Participants Total Assets
2022 1 200 $64M
2023 1 190 $72M
2024 1 189 $78M

Nearby 401(k) Plans in New York

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

Maxim Group, LLC 401(k) Plan vs. nearby 401(k) plans in New York, assets vs. participants Scatter plot of 6 data points. -50000050000100000150000 -20020406080 Total assets ($B) Participants Maxim Group, LLC 401(k) Plan, Total assets ($B): 0.072179224 · Participants: 190Maxim Group, LLC 401(k) 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
Maxim Group, LLC 401(k) Plan vs. nearby 401(k) plans in New York, assets vs. participants
Compare Maxim Group, LLC 401(k) Plan side-by-side with 3 peers →

Maxim Group, LLC 401(k) Plan's out-of-state 401(k) peers by assets and headcount

Outside New York, the nearest 401(k) by assets is Sakata Employee Profit Sharing & Savings Plan in CA ($72M); by covered participants it is Nextpoint Group, LLC 401(k) Plan in VA (190 participants). Same-state nearby plans are listed separately above.

Similar participant headcount

Nearest other-state filings by covered participants (190 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 Maxim Group, LLC 401(k) Plan assets move in 2023? ▼
Maxim Group, LLC 401(k) Plan grew at a solid clip - up 12.3% during 2023, from $64M to $72M. Reported net income was $8M.
How have Maxim Group, LLC plan assets changed over time? ▼
Across 3 plan years on file (2022-2024), Maxim Group, LLC's sponsor-wide assets grew 21.4%, from $64M to $78M.
Where does Maxim Group, LLC 401(k) Plan rank by assets among Form 5500 filers? ▼
Maxim Group, LLC 401(k) Plan ranks in the 89th percentile by end-of-year assets among 127,072 plans that reported assets for plan year 2023 (in the top quartile of all filed plans by assets).
Which 401(k) plans are similar in size to Maxim Group, LLC 401(k) Plan? ▼
Among 401(k) plans in other states, the closest by assets is Sakata Employee Profit Sharing & Savings Plan in CA ($72M, 276 participants).
Which 401(k) plans cover a similar participant headcount to Maxim Group, LLC 401(k) Plan? ▼
Among 401(k) plans in other states, the closest by covered participants is Nextpoint Group, LLC 401(k) Plan in VA (190 participants, $36M 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 043640096.

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.