401k Plan data: 401(K) PROFIT-SHARING PLAN FOR THE EMPLOYEES OF TIEDEMANN & CO. plan

401(K) PROFIT-SHARING PLAN FOR THE EMPLOYEES OF TIEDEMANN & CO. 401k Plan overview

Plan Name	401(K) PROFIT-SHARING PLAN FOR THE EMPLOYEES OF TIEDEMANN & CO.
Plan identification number	001

401(K) PROFIT-SHARING PLAN FOR THE EMPLOYEES OF TIEDEMANN & CO. Benefits

401k Plan Type

Defined Contribution Pension

Plan Features/Benefits

Profit-sharing
ERISA section 404(c) Plan - This plan, or any part of it is intended to meet the conditions of 29 CFR 2550.404c-1.
Total participant-directed account plan - Participants have the opportunity to direct the investment of all the assets allocated to their individual accounts, regardless of whether 29 CFR 2550.404c-1 is intended to be met.
Code section 401(k) feature - A cash or deferred arrangement described in Code section 401(k) that is part of a qualified defined contribution plan that provides for an election by employees to defer part of their compensation or receive these amounts in cash.
Total or partial participant-directed account plan - plan uses default investment account for participants who fail to direct assets in their account.
Master plan - A pension plan that is made available by a sponsor for adoption by employers; that is the subject of a favorable opinion letter; and for which a single funding medium (for example, a trust or custodial account) is established for the joint use of all adopting employers.

401k Sponsoring company profile

TIEDEMANN & CO. has sponsored the creation of one or more 401k plans.

Company Name: TIEDEMANN & CO.

Employer identification number (EIN): 133115859

NAIC Classification: 523120
NAIC Description: Securities Brokerage

Form 5500 Filing Information

Submission information for form 5500 for 401k plan 401(K) PROFIT-SHARING PLAN FOR THE EMPLOYEES OF TIEDEMANN & CO.

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2020-01-01
001 2019-01-01
001 2018-01-01
001 2017-01-01 LAURIE JELENEK
001 2016-01-01 LAURIE JELENEK
001 2015-01-01 LAURIE JELENEK 2016-07-19
001 2014-01-01 LAURIE JELENEK 2015-09-28
001 2013-01-01 LAURIE JELENEK 2014-10-09
001 2012-01-01 LAURIE JELENEK 2013-10-07
001 2011-01-01 LAURIE JELENEK 2012-10-05
001 2010-01-01 LAURIE JELENEK 2011-10-11

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed
001	2020-01-01
001	2019-01-01
001	2018-01-01
001	2017-01-01	LAURIE JELENEK
001	2016-01-01	LAURIE JELENEK
001	2015-01-01	LAURIE JELENEK	2016-07-19
001	2014-01-01	LAURIE JELENEK	2015-09-28
001	2013-01-01	LAURIE JELENEK	2014-10-09
001	2012-01-01	LAURIE JELENEK	2013-10-07
001	2011-01-01	LAURIE JELENEK	2012-10-05
001	2010-01-01	LAURIE JELENEK	2011-10-11

Plan Statistics for 401(K) PROFIT-SHARING PLAN FOR THE EMPLOYEES OF TIEDEMANN & CO.

401k plan membership statisitcs for 401(K) PROFIT-SHARING PLAN FOR THE EMPLOYEES OF TIEDEMANN & CO.

Measure Date Value
2020: 401(K) PROFIT-SHARING PLAN FOR THE EMPLOYEES OF TIEDEMANN & CO. 2020 401k membership
Total participants, beginning-of-year 2020-01-01 57
Total number of active participants reported on line 7a of the Form 5500 2020-01-01 39
Number of other retired or separated participants entitled to future benefits 2020-01-01 18
Total of all active and inactive participants 2020-01-01 57
Total participants 2020-01-01 57
Number of participants with account balances 2020-01-01 56
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2020-01-01 1
2019: 401(K) PROFIT-SHARING PLAN FOR THE EMPLOYEES OF TIEDEMANN & CO. 2019 401k membership
Total participants, beginning-of-year 2019-01-01 56
Total number of active participants reported on line 7a of the Form 5500 2019-01-01 39
Number of retired or separated participants receiving benefits 2019-01-01 0
Number of other retired or separated participants entitled to future benefits 2019-01-01 18
Total of all active and inactive participants 2019-01-01 57
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2019-01-01 0
Total participants 2019-01-01 57
Number of participants with account balances 2019-01-01 54
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2019-01-01 3
2018: 401(K) PROFIT-SHARING PLAN FOR THE EMPLOYEES OF TIEDEMANN & CO. 2018 401k membership
Total participants, beginning-of-year 2018-01-01 55
Total number of active participants reported on line 7a of the Form 5500 2018-01-01 41
Number of retired or separated participants receiving benefits 2018-01-01 0
Number of other retired or separated participants entitled to future benefits 2018-01-01 15
Total of all active and inactive participants 2018-01-01 56
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2018-01-01 0
Total participants 2018-01-01 56
Number of participants with account balances 2018-01-01 56
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2018-01-01 1
2017: 401(K) PROFIT-SHARING PLAN FOR THE EMPLOYEES OF TIEDEMANN & CO. 2017 401k membership
Total participants, beginning-of-year 2017-01-01 51
Total number of active participants reported on line 7a of the Form 5500 2017-01-01 42
Number of retired or separated participants receiving benefits 2017-01-01 0
Number of other retired or separated participants entitled to future benefits 2017-01-01 13
Total of all active and inactive participants 2017-01-01 55
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2017-01-01 0
Total participants 2017-01-01 55
Number of participants with account balances 2017-01-01 50
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2017-01-01 4
2016: 401(K) PROFIT-SHARING PLAN FOR THE EMPLOYEES OF TIEDEMANN & CO. 2016 401k membership
Total participants, beginning-of-year 2016-01-01 60
Total number of active participants reported on line 7a of the Form 5500 2016-01-01 41
Number of retired or separated participants receiving benefits 2016-01-01 0
Number of other retired or separated participants entitled to future benefits 2016-01-01 10
Total of all active and inactive participants 2016-01-01 51
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2016-01-01 0
Total participants 2016-01-01 51
Number of participants with account balances 2016-01-01 50
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2016-01-01 4

Measure	Date	Value
2020: 401(K) PROFIT-SHARING PLAN FOR THE EMPLOYEES OF TIEDEMANN & CO. 2020 401k membership
Total participants, beginning-of-year	2020-01-01	57
Total number of active participants reported on line 7a of the Form 5500	2020-01-01	39
Number of other retired or separated participants entitled to future benefits	2020-01-01	18
Total of all active and inactive participants	2020-01-01	57
Total participants	2020-01-01	57
Number of participants with account balances	2020-01-01	56
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2020-01-01	1
2019: 401(K) PROFIT-SHARING PLAN FOR THE EMPLOYEES OF TIEDEMANN & CO. 2019 401k membership
Total participants, beginning-of-year	2019-01-01	56
Total number of active participants reported on line 7a of the Form 5500	2019-01-01	39
Number of retired or separated participants receiving benefits	2019-01-01	0
Number of other retired or separated participants entitled to future benefits	2019-01-01	18
Total of all active and inactive participants	2019-01-01	57
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2019-01-01	0
Total participants	2019-01-01	57
Number of participants with account balances	2019-01-01	54
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2019-01-01	3
2018: 401(K) PROFIT-SHARING PLAN FOR THE EMPLOYEES OF TIEDEMANN & CO. 2018 401k membership
Total participants, beginning-of-year	2018-01-01	55
Total number of active participants reported on line 7a of the Form 5500	2018-01-01	41
Number of retired or separated participants receiving benefits	2018-01-01	0
Number of other retired or separated participants entitled to future benefits	2018-01-01	15
Total of all active and inactive participants	2018-01-01	56
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2018-01-01	0
Total participants	2018-01-01	56
Number of participants with account balances	2018-01-01	56
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2018-01-01	1
2017: 401(K) PROFIT-SHARING PLAN FOR THE EMPLOYEES OF TIEDEMANN & CO. 2017 401k membership
Total participants, beginning-of-year	2017-01-01	51
Total number of active participants reported on line 7a of the Form 5500	2017-01-01	42
Number of retired or separated participants receiving benefits	2017-01-01	0
Number of other retired or separated participants entitled to future benefits	2017-01-01	13
Total of all active and inactive participants	2017-01-01	55
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2017-01-01	0
Total participants	2017-01-01	55
Number of participants with account balances	2017-01-01	50
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2017-01-01	4
2016: 401(K) PROFIT-SHARING PLAN FOR THE EMPLOYEES OF TIEDEMANN & CO. 2016 401k membership
Total participants, beginning-of-year	2016-01-01	60
Total number of active participants reported on line 7a of the Form 5500	2016-01-01	41
Number of retired or separated participants receiving benefits	2016-01-01	0
Number of other retired or separated participants entitled to future benefits	2016-01-01	10
Total of all active and inactive participants	2016-01-01	51
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2016-01-01	0
Total participants	2016-01-01	51
Number of participants with account balances	2016-01-01	50
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2016-01-01	4

Financial Data on 401(K) PROFIT-SHARING PLAN FOR THE EMPLOYEES OF TIEDEMANN & CO.

Measure	Date	Value
2020 : 401(K) PROFIT-SHARING PLAN FOR THE EMPLOYEES OF TIEDEMANN & CO. 2020 401k financial data
Transfers to/from the plan	2020-12-31	$0
Total plan liabilities at end of year	2020-12-31	$0
Total plan liabilities at beginning of year	2020-12-31	$0
Total income from all sources	2020-12-31	$2,042,121
Expenses. Total of all expenses incurred	2020-12-31	$80,816
Benefits paid (including direct rollovers)	2020-12-31	$66,046
Total plan assets at end of year	2020-12-31	$9,484,027
Total plan assets at beginning of year	2020-12-31	$7,522,722
Value of fidelity bond covering the plan	2020-12-31	$1,000,000
Assets. Value of tangible personal property	2020-12-31	$0
Total contributions received or receivable from participants	2020-12-31	$466,324
Assets. Value of loans (other than to participants)	2020-12-31	$0
Expenses. Other expenses not covered elsewhere	2020-12-31	$0
Contributions received from other sources (not participants or employers)	2020-12-31	$42,212
Other income received	2020-12-31	$1,230,572
Noncash contributions received	2020-12-31	$0
Net income (gross income less expenses)	2020-12-31	$1,961,305
Net plan assets at end of year (total assets less liabilities)	2020-12-31	$9,484,027
Net plan assets at beginning of year (total assets less liabilities)	2020-12-31	$7,522,722
Assets. Value of participant loans	2020-12-31	$55,316
Assets. Value of assets in partnership/joint-venture interests	2020-12-31	$0
Assets. Value of real-estate (other than employer real property)	2020-12-31	$0
Assets. Value of employer securities	2020-12-31	$0
Assets. Value of employer real property	2020-12-31	$0
Total contributions received or receivable from employer(s)	2020-12-31	$303,013
Value of certain deemed distributions of participant loans	2020-12-31	$0
Value of corrective distributions	2020-12-31	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2020-12-31	$14,770
2019 : 401(K) PROFIT-SHARING PLAN FOR THE EMPLOYEES OF TIEDEMANN & CO. 2019 401k financial data
Transfers to/from the plan	2019-12-31	$0
Total plan liabilities at end of year	2019-12-31	$0
Total plan liabilities at beginning of year	2019-12-31	$0
Total income from all sources	2019-12-31	$2,125,712
Expenses. Total of all expenses incurred	2019-12-31	$281,908
Benefits paid (including direct rollovers)	2019-12-31	$255,120
Total plan assets at end of year	2019-12-31	$7,522,722
Total plan assets at beginning of year	2019-12-31	$5,678,918
Value of fidelity bond covering the plan	2019-12-31	$1,000,000
Total contributions received or receivable from participants	2019-12-31	$424,302
Expenses. Other expenses not covered elsewhere	2019-12-31	$0
Contributions received from other sources (not participants or employers)	2019-12-31	$4,510
Other income received	2019-12-31	$1,380,081
Noncash contributions received	2019-12-31	$0
Net income (gross income less expenses)	2019-12-31	$1,843,804
Net plan assets at end of year (total assets less liabilities)	2019-12-31	$7,522,722
Net plan assets at beginning of year (total assets less liabilities)	2019-12-31	$5,678,918
Assets. Value of participant loans	2019-12-31	$55,432
Total contributions received or receivable from employer(s)	2019-12-31	$316,819
Value of certain deemed distributions of participant loans	2019-12-31	$0
Value of corrective distributions	2019-12-31	$14,602
Expenses. Administrative service providers (salaries,fees and commissions)	2019-12-31	$12,186
2018 : 401(K) PROFIT-SHARING PLAN FOR THE EMPLOYEES OF TIEDEMANN & CO. 2018 401k financial data
Transfers to/from the plan	2018-12-31	$0
Total plan liabilities at end of year	2018-12-31	$0
Total plan liabilities at beginning of year	2018-12-31	$0
Total income from all sources	2018-12-31	$411,402
Expenses. Total of all expenses incurred	2018-12-31	$80,263
Benefits paid (including direct rollovers)	2018-12-31	$70,001
Total plan assets at end of year	2018-12-31	$5,678,918
Total plan assets at beginning of year	2018-12-31	$5,347,779
Value of fidelity bond covering the plan	2018-12-31	$1,000,000
Total contributions received or receivable from participants	2018-12-31	$461,924
Expenses. Other expenses not covered elsewhere	2018-12-31	$0
Contributions received from other sources (not participants or employers)	2018-12-31	$0
Other income received	2018-12-31	$-344,981
Noncash contributions received	2018-12-31	$0
Net income (gross income less expenses)	2018-12-31	$331,139
Net plan assets at end of year (total assets less liabilities)	2018-12-31	$5,678,918
Net plan assets at beginning of year (total assets less liabilities)	2018-12-31	$5,347,779
Assets. Value of participant loans	2018-12-31	$69,454
Total contributions received or receivable from employer(s)	2018-12-31	$294,459
Value of certain deemed distributions of participant loans	2018-12-31	$0
Value of corrective distributions	2018-12-31	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2018-12-31	$10,262
2017 : 401(K) PROFIT-SHARING PLAN FOR THE EMPLOYEES OF TIEDEMANN & CO. 2017 401k financial data
Transfers to/from the plan	2017-12-31	$0
Total plan liabilities at end of year	2017-12-31	$0
Total plan liabilities at beginning of year	2017-12-31	$0
Total income from all sources	2017-12-31	$1,527,054
Expenses. Total of all expenses incurred	2017-12-31	$497,462
Benefits paid (including direct rollovers)	2017-12-31	$488,952
Total plan assets at end of year	2017-12-31	$5,347,779
Total plan assets at beginning of year	2017-12-31	$4,318,187
Value of fidelity bond covering the plan	2017-12-31	$1,000,000
Total contributions received or receivable from participants	2017-12-31	$406,308
Expenses. Other expenses not covered elsewhere	2017-12-31	$0
Contributions received from other sources (not participants or employers)	2017-12-31	$113,265
Other income received	2017-12-31	$793,902
Noncash contributions received	2017-12-31	$0
Net income (gross income less expenses)	2017-12-31	$1,029,592
Net plan assets at end of year (total assets less liabilities)	2017-12-31	$5,347,779
Net plan assets at beginning of year (total assets less liabilities)	2017-12-31	$4,318,187
Assets. Value of participant loans	2017-12-31	$98,683
Total contributions received or receivable from employer(s)	2017-12-31	$213,579
Value of certain deemed distributions of participant loans	2017-12-31	$0
Value of corrective distributions	2017-12-31	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2017-12-31	$8,510
2016 : 401(K) PROFIT-SHARING PLAN FOR THE EMPLOYEES OF TIEDEMANN & CO. 2016 401k financial data
Transfers to/from the plan	2016-12-31	$0
Total plan liabilities at end of year	2016-12-31	$0
Total plan liabilities at beginning of year	2016-12-31	$0
Total income from all sources	2016-12-31	$-363,796
Expenses. Total of all expenses incurred	2016-12-31	$299,081
Benefits paid (including direct rollovers)	2016-12-31	$295,226
Total plan assets at end of year	2016-12-31	$4,318,187
Total plan assets at beginning of year	2016-12-31	$4,981,064
Value of fidelity bond covering the plan	2016-12-31	$1,000,000
Total contributions received or receivable from participants	2016-12-31	$240,087
Expenses. Other expenses not covered elsewhere	2016-12-31	$0
Contributions received from other sources (not participants or employers)	2016-12-31	$18,016
Other income received	2016-12-31	$-621,899
Noncash contributions received	2016-12-31	$0
Net income (gross income less expenses)	2016-12-31	$-662,877
Net plan assets at end of year (total assets less liabilities)	2016-12-31	$4,318,187
Net plan assets at beginning of year (total assets less liabilities)	2016-12-31	$4,981,064
Assets. Value of participant loans	2016-12-31	$63,816
Total contributions received or receivable from employer(s)	2016-12-31	$0
Value of certain deemed distributions of participant loans	2016-12-31	$0
Value of corrective distributions	2016-12-31	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2016-12-31	$3,855

Form 5500 Responses for 401(K) PROFIT-SHARING PLAN FOR THE EMPLOYEES OF TIEDEMANN & CO.

2020: 401(K) PROFIT-SHARING PLAN FOR THE EMPLOYEES OF TIEDEMANN & CO. 2020 form 5500 responses
2020-01-01	Type of plan entity	Single employer plan
2020-01-01	Submission has been amended	No
2020-01-01	This submission is the final filing	No
2020-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2020-01-01	Plan is a collectively bargained plan	No
2020-01-01	Plan funding arrangement – Trust	Yes
2020-01-01	Plan benefit arrangement - Trust	Yes
2019: 401(K) PROFIT-SHARING PLAN FOR THE EMPLOYEES OF TIEDEMANN & CO. 2019 form 5500 responses
2019-01-01	Type of plan entity	Single employer plan
2019-01-01	Submission has been amended	No
2019-01-01	This submission is the final filing	No
2019-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2019-01-01	Plan is a collectively bargained plan	No
2019-01-01	Plan funding arrangement – Trust	Yes
2019-01-01	Plan benefit arrangement - Trust	Yes
2018: 401(K) PROFIT-SHARING PLAN FOR THE EMPLOYEES OF TIEDEMANN & CO. 2018 form 5500 responses
2018-01-01	Type of plan entity	Single employer plan
2018-01-01	Submission has been amended	No
2018-01-01	This submission is the final filing	No
2018-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2018-01-01	Plan is a collectively bargained plan	No
2018-01-01	Plan funding arrangement – Trust	Yes
2018-01-01	Plan benefit arrangement - Trust	Yes
2017: 401(K) PROFIT-SHARING PLAN FOR THE EMPLOYEES OF TIEDEMANN & CO. 2017 form 5500 responses
2017-01-01	Type of plan entity	Single employer plan
2017-01-01	Submission has been amended	No
2017-01-01	This submission is the final filing	No
2017-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2017-01-01	Plan is a collectively bargained plan	No
2017-01-01	Plan funding arrangement – Trust	Yes
2017-01-01	Plan benefit arrangement - Trust	Yes
2016: 401(K) PROFIT-SHARING PLAN FOR THE EMPLOYEES OF TIEDEMANN & CO. 2016 form 5500 responses
2016-01-01	Type of plan entity	Single employer plan
2016-01-01	Submission has been amended	No
2016-01-01	This submission is the final filing	No
2016-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2016-01-01	Plan is a collectively bargained plan	No
2016-01-01	Plan funding arrangement – Trust	Yes
2016-01-01	Plan benefit arrangement - Trust	Yes

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Company Name:	TIEDEMANN & CO.
Employer identification number (EIN):	133115859
NAIC Classification:	523120
NAIC Description:	Securities Brokerage