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FINRA Employees Retirement Plan
The FINRA Employees Retirement Plan was established in 1954 as a single-employer non-contributory defined benefit pension for the employees of the Financial...
FINRA Employees Retirement Plan
The FINRA Employees Retirement Plan was established in 1954 as a single-employer non-contributory defined benefit pension for the employees of the Financial Industry Regulatory Authority. The plan is sponsored by FINRA, the self-regulatory organization that oversees broker-dealers in the United States. The Bank of New York Mellon serves as trustee, with a plan committee responsible for the assets. The plan's structure ties it directly to the regulatory body's workforce in Washington, D.C. Real estate assets form a visible component of plan holdings. Directly held properties and subsidiaries stretch across office, residential, and mixed-use categories in multiple US states. Holdings include interests linked to Starwood Real Estate Income Trust in Miami and Blackstone Real Estate Income Trust in New York, alongside entities such as American Housing REIT Inc., ASMI 7825 Ballantyne Owner in North Carolina, and Blair Mill, L.L.C. Geographic reach extends to the Netherlands through subsidiaries Finra Assets I B.V. and Finra Assets II B.V. The portfolio also encompasses properties like Sterling Plaza I in Maryland and Greenspring Waterfront in Virginia, per public record. The plan operates alongside affiliated entities including the FINRA Investor Education Foundation and FINRA CAT, LLC, which manages the Consolidated Audit Trail. Reported deployment activity remains opaque to the public. The plan does not publish an AUM figure or disclose manager lineups. Whistleblower reports have identified a relationship with investment firm HighVista, suggesting co-investment or trading partnership activity exists within the portfolio framework. The plan is distinct among corporate pensions for its sponsor's regulatory mission rather than a commercial operating company. This architecture means the plan's liabilities are tied to the career duration of FINRA's examination and enforcement staff, while its assets include a geographically diversified real estate book that is atypical for a mid-sized defined benefit plan. No succession disclosures or recent board-level investment policy changes have been made public.
General information
Firm type
Pension Fund
Year founded
1954
Location
Region
North America
Country
United States
City
Washington
Corporate office
Washington, District of Columbia, United States
Principals
The Bank of New York Mellon
Trustee
Sector focus
Frequently asked questions
Who serves as trustee for the FINRA Employees Retirement Plan?
The Bank of New York Mellon acts as trustee, providing custodial and administrative services, per public record. The plan's investment decisions are overseen by the FINRA Pension 401(k) plan committee.
What real estate assets does the plan hold directly?
The plan's portfolio includes interests tied to Starwood Real Estate Income Trust, Blackstone Real Estate Income Trust, and American Housing REIT Inc. Directly held entities include ASMI 7825 Ballantyne Owner in Charlotte, NC, Blair Mill, L.L.C., Tuckerman Property LLC, Sterling Plaza I, and Greenspring Waterfront, among others. Dutch subsidiaries Finra Assets I B.V. and Finra Assets II B.V. extend the portfolio's geographic reach.
Does the plan disclose its total assets or manager roster?
No. FINRA does not publicly disclose the retirement plan's total AUM or specific external manager engagements. The plan's investment posture must be inferred from property records and limited public filings.
How is the plan's sponsor different from a typical corporate pension sponsor?
The plan sponsor is the Financial Industry Regulatory Authority, a self-regulatory organization that oversees US broker-dealers, rather than a for-profit corporation. This means the plan's participant base consists primarily of regulatory examiners, enforcement staff, and administrators based in the Washington, D.C. area and field offices.
Is there any relationship between this plan and the FINRA Investor Education Foundation?
Yes, the FINRA Investor Education Foundation is an affiliated nonprofit entity. It operates separately for grant-making and investor education purposes, but shares the FINRA organizational umbrella with the retirement plan.
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