401k Plan data: THE WILLIAMS CAPITAL GROUP 401(K) SAVINGS PLAN plan

THE WILLIAMS CAPITAL GROUP 401(K) SAVINGS PLAN 401k Plan overview

Plan Name	THE WILLIAMS CAPITAL GROUP 401(K) SAVINGS PLAN
Plan identification number	001

THE WILLIAMS CAPITAL GROUP 401(K) SAVINGS PLAN 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.
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 contribtions to the plan. Not applicable if plan is 401(k) plan with only QNECs and/or QMACs. Also not applicable if Code section 403(b)(1), 403(b)(7) or 408 arrangements/accounts/annuities.
Total or partial participant-directed account plan - plan uses default investment account for participants who fail to direct assets in their account.
Plan covering Self-Employed individuals.
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

THE WILLIAMS CAPITAL GROUP has sponsored the creation of one or more 401k plans.

Company Name: THE WILLIAMS CAPITAL GROUP

Employer identification number (EIN): 133747879

NAIC Classification: 523110
NAIC Description: Investment Banking and Securities Dealing

Form 5500 Filing Information

Submission information for form 5500 for 401k plan THE WILLIAMS CAPITAL GROUP 401(K) SAVINGS PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2020-01-01 DIANNE CALABISOTTO 2021-07-30 CHRISTOPHER WILLIAMS 2021-07-30
001 2019-01-01
001 2017-01-01 DIANNE CALABRISOTTO CHRISTOPHER J. WILLIAMS 2018-07-31
001 2016-01-01 DIANNE CALABRISOTTO CHRISTOPHER J. WILLIAMS 2017-07-27
001 2015-01-01 DIANNE CALABRISOTTO CHRISTOPHER J. WILLIAMS 2016-07-28
001 2014-01-01 DIANNE CALABRISOTTO CHRISTOPHER WILLIAMS 2015-07-27
001 2013-01-01 DIANNE CALABRISOTTO CHRISTOPHER WILLIAMS 2014-07-24
001 2012-01-01 DIANNE CALABRISOTTO CHRISTOPHER WILLIAMS 2013-07-30
001 2011-01-01 DIANNE CALABRISOTTO CHRISTOPHER WILLIAMS 2012-07-31

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed	Name of Company Sponsor	Date Sponsor Signed
001	2020-01-01	DIANNE CALABISOTTO	2021-07-30	CHRISTOPHER WILLIAMS	2021-07-30
001	2019-01-01
001	2017-01-01	DIANNE CALABRISOTTO		CHRISTOPHER J. WILLIAMS	2018-07-31
001	2016-01-01	DIANNE CALABRISOTTO		CHRISTOPHER J. WILLIAMS	2017-07-27
001	2015-01-01	DIANNE CALABRISOTTO		CHRISTOPHER J. WILLIAMS	2016-07-28
001	2014-01-01	DIANNE CALABRISOTTO		CHRISTOPHER WILLIAMS	2015-07-27
001	2013-01-01	DIANNE CALABRISOTTO		CHRISTOPHER WILLIAMS	2014-07-24
001	2012-01-01	DIANNE CALABRISOTTO		CHRISTOPHER WILLIAMS	2013-07-30
001	2011-01-01	DIANNE CALABRISOTTO		CHRISTOPHER WILLIAMS	2012-07-31

Plan Statistics for THE WILLIAMS CAPITAL GROUP 401(K) SAVINGS PLAN

401k plan membership statisitcs for THE WILLIAMS CAPITAL GROUP 401(K) SAVINGS PLAN

Measure Date Value
2025: THE WILLIAMS CAPITAL GROUP 401(K) SAVINGS PLAN 2025 401k membership
Total number of particpants at beginning of year 2025-08-20 53
Total number of particpants at end of year 2025-08-20 0
Number of Participants With Account Balances 2025-08-20 0
Total number of particpants at beginning of year 2025-02-04 53
Total number of particpants at end of year 2025-02-04 0
Number of Participants With Account Balances 2025-02-04 0
2019: THE WILLIAMS CAPITAL GROUP 401(K) SAVINGS PLAN 2019 401k membership
Total participants, beginning-of-year 2019-01-01 63
Total number of active participants reported on line 7a of the Form 5500 2019-01-01 45
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 14
Total of all active and inactive participants 2019-01-01 59
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2019-01-01 0
Total participants 2019-01-01 59
Number of participants with account balances 2019-01-01 58
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2019-01-01 0
2017: THE WILLIAMS CAPITAL GROUP 401(K) SAVINGS PLAN 2017 401k membership
Total participants, beginning-of-year 2017-01-01 97
Total number of active participants reported on line 7a of the Form 5500 2017-01-01 66
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 7
Total of all active and inactive participants 2017-01-01 73
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2017-01-01 0
Total participants 2017-01-01 73
Number of participants with account balances 2017-01-01 71
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2017-01-01 0
2016: THE WILLIAMS CAPITAL GROUP 401(K) SAVINGS PLAN 2016 401k membership
Total participants, beginning-of-year 2016-01-01 108
Total number of active participants reported on line 7a of the Form 5500 2016-01-01 84
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 6
Total of all active and inactive participants 2016-01-01 90
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2016-01-01 0
Total participants 2016-01-01 90
Number of participants with account balances 2016-01-01 63
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2016-01-01 0
2015: THE WILLIAMS CAPITAL GROUP 401(K) SAVINGS PLAN 2015 401k membership
Total participants, beginning-of-year 2015-01-01 116
Total number of active participants reported on line 7a of the Form 5500 2015-01-01 80
Number of retired or separated participants receiving benefits 2015-01-01 0
Number of other retired or separated participants entitled to future benefits 2015-01-01 9
Total of all active and inactive participants 2015-01-01 89
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2015-01-01 0
Total participants 2015-01-01 89
Number of participants with account balances 2015-01-01 63
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2015-01-01 0
2014: THE WILLIAMS CAPITAL GROUP 401(K) SAVINGS PLAN 2014 401k membership
Total participants, beginning-of-year 2014-01-01 93
Total number of active participants reported on line 7a of the Form 5500 2014-01-01 78
Number of retired or separated participants receiving benefits 2014-01-01 0
Number of other retired or separated participants entitled to future benefits 2014-01-01 10
Total of all active and inactive participants 2014-01-01 88
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2014-01-01 0
Total participants 2014-01-01 88
Number of participants with account balances 2014-01-01 59
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2014-01-01 0
2013: THE WILLIAMS CAPITAL GROUP 401(K) SAVINGS PLAN 2013 401k membership
Total participants, beginning-of-year 2013-01-01 94
Total number of active participants reported on line 7a of the Form 5500 2013-01-01 83
Number of retired or separated participants receiving benefits 2013-01-01 0
Number of other retired or separated participants entitled to future benefits 2013-01-01 10
Total of all active and inactive participants 2013-01-01 93
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2013-01-01 0
Total participants 2013-01-01 93
Number of participants with account balances 2013-01-01 62
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2013-01-01 0
2012: THE WILLIAMS CAPITAL GROUP 401(K) SAVINGS PLAN 2012 401k membership
Total participants, beginning-of-year 2012-01-01 63
Total number of active participants reported on line 7a of the Form 5500 2012-01-01 86
Number of retired or separated participants receiving benefits 2012-01-01 0
Number of other retired or separated participants entitled to future benefits 2012-01-01 8
Total of all active and inactive participants 2012-01-01 94
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2012-01-01 0
Total participants 2012-01-01 94
Number of participants with account balances 2012-01-01 66
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2012-01-01 1
2011: THE WILLIAMS CAPITAL GROUP 401(K) SAVINGS PLAN 2011 401k membership
Total participants, beginning-of-year 2011-01-01 56
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 55
Number of retired or separated participants receiving benefits 2011-01-01 0
Number of other retired or separated participants entitled to future benefits 2011-01-01 8
Total of all active and inactive participants 2011-01-01 63
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-01-01 0
Total participants 2011-01-01 63
Number of participants with account balances 2011-01-01 61
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-01-01 1

Measure	Date	Value
2025: THE WILLIAMS CAPITAL GROUP 401(K) SAVINGS PLAN 2025 401k membership
Total number of particpants at beginning of year	2025-08-20	53
Total number of particpants at end of year	2025-08-20	0
Number of Participants With Account Balances	2025-08-20	0
Total number of particpants at beginning of year	2025-02-04	53
Total number of particpants at end of year	2025-02-04	0
Number of Participants With Account Balances	2025-02-04	0
2019: THE WILLIAMS CAPITAL GROUP 401(K) SAVINGS PLAN 2019 401k membership
Total participants, beginning-of-year	2019-01-01	63
Total number of active participants reported on line 7a of the Form 5500	2019-01-01	45
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	14
Total of all active and inactive participants	2019-01-01	59
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2019-01-01	0
Total participants	2019-01-01	59
Number of participants with account balances	2019-01-01	58
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2019-01-01	0
2017: THE WILLIAMS CAPITAL GROUP 401(K) SAVINGS PLAN 2017 401k membership
Total participants, beginning-of-year	2017-01-01	97
Total number of active participants reported on line 7a of the Form 5500	2017-01-01	66
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	7
Total of all active and inactive participants	2017-01-01	73
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2017-01-01	0
Total participants	2017-01-01	73
Number of participants with account balances	2017-01-01	71
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2017-01-01	0
2016: THE WILLIAMS CAPITAL GROUP 401(K) SAVINGS PLAN 2016 401k membership
Total participants, beginning-of-year	2016-01-01	108
Total number of active participants reported on line 7a of the Form 5500	2016-01-01	84
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	6
Total of all active and inactive participants	2016-01-01	90
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2016-01-01	0
Total participants	2016-01-01	90
Number of participants with account balances	2016-01-01	63
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2016-01-01	0
2015: THE WILLIAMS CAPITAL GROUP 401(K) SAVINGS PLAN 2015 401k membership
Total participants, beginning-of-year	2015-01-01	116
Total number of active participants reported on line 7a of the Form 5500	2015-01-01	80
Number of retired or separated participants receiving benefits	2015-01-01	0
Number of other retired or separated participants entitled to future benefits	2015-01-01	9
Total of all active and inactive participants	2015-01-01	89
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2015-01-01	0
Total participants	2015-01-01	89
Number of participants with account balances	2015-01-01	63
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2015-01-01	0
2014: THE WILLIAMS CAPITAL GROUP 401(K) SAVINGS PLAN 2014 401k membership
Total participants, beginning-of-year	2014-01-01	93
Total number of active participants reported on line 7a of the Form 5500	2014-01-01	78
Number of retired or separated participants receiving benefits	2014-01-01	0
Number of other retired or separated participants entitled to future benefits	2014-01-01	10
Total of all active and inactive participants	2014-01-01	88
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2014-01-01	0
Total participants	2014-01-01	88
Number of participants with account balances	2014-01-01	59
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2014-01-01	0
2013: THE WILLIAMS CAPITAL GROUP 401(K) SAVINGS PLAN 2013 401k membership
Total participants, beginning-of-year	2013-01-01	94
Total number of active participants reported on line 7a of the Form 5500	2013-01-01	83
Number of retired or separated participants receiving benefits	2013-01-01	0
Number of other retired or separated participants entitled to future benefits	2013-01-01	10
Total of all active and inactive participants	2013-01-01	93
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2013-01-01	0
Total participants	2013-01-01	93
Number of participants with account balances	2013-01-01	62
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2013-01-01	0
2012: THE WILLIAMS CAPITAL GROUP 401(K) SAVINGS PLAN 2012 401k membership
Total participants, beginning-of-year	2012-01-01	63
Total number of active participants reported on line 7a of the Form 5500	2012-01-01	86
Number of retired or separated participants receiving benefits	2012-01-01	0
Number of other retired or separated participants entitled to future benefits	2012-01-01	8
Total of all active and inactive participants	2012-01-01	94
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2012-01-01	0
Total participants	2012-01-01	94
Number of participants with account balances	2012-01-01	66
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2012-01-01	1
2011: THE WILLIAMS CAPITAL GROUP 401(K) SAVINGS PLAN 2011 401k membership
Total participants, beginning-of-year	2011-01-01	56
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	55
Number of retired or separated participants receiving benefits	2011-01-01	0
Number of other retired or separated participants entitled to future benefits	2011-01-01	8
Total of all active and inactive participants	2011-01-01	63
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-01-01	0
Total participants	2011-01-01	63
Number of participants with account balances	2011-01-01	61
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-01-01	1

Financial Data on THE WILLIAMS CAPITAL GROUP 401(K) SAVINGS PLAN

Measure	Date	Value
2025 : THE WILLIAMS CAPITAL GROUP 401(K) SAVINGS PLAN 2025 401k financial data
Total transfers to/from plan in this plan year	2025-08-20	-12714547
Total expenses incurred by plan in this plan year	2025-08-20	201413
Total assets as of the beginning of the plan year	2025-08-20	12840698
Value of plan covered by a fidelity bond	2025-08-20	3000000
Participant contributions to plan in this plan year	2025-08-20	14161
Other expenses paid from plan in this plan year	2025-08-20	56
Other income to plan in this plan year	2025-08-20	61101
Plan net income in this plan year	2025-08-20	-126151
Net assets as of the end of the plan year	2025-08-20	0
Net assets as of the beginning of the plan year	2025-08-20	12840698
Fees paid to broker by Benefit Provider	2025-08-20	2833
Expensese paid to adminstrative service provicers from plan in this plan year	2025-08-20	10223
Total transfers to/from plan in this plan year	2025-02-04	-12714547
Total expenses incurred by plan in this plan year	2025-02-04	201413
Total assets as of the beginning of the plan year	2025-02-04	12840698
Value of plan covered by a fidelity bond	2025-02-04	3000000
Participant contributions to plan in this plan year	2025-02-04	14161
Other expenses paid from plan in this plan year	2025-02-04	56
Other income to plan in this plan year	2025-02-04	61101
Plan net income in this plan year	2025-02-04	-126151
Net assets as of the end of the plan year	2025-02-04	0
Net assets as of the beginning of the plan year	2025-02-04	12840698
Fees paid to broker by Benefit Provider	2025-02-04	2833
Expensese paid to adminstrative service provicers from plan in this plan year	2025-02-04	10223
2019 : THE WILLIAMS CAPITAL GROUP 401(K) SAVINGS PLAN 2019 401k financial data
Total income from all sources	2019-12-31	$2,940,091
Expenses. Total of all expenses incurred	2019-12-31	$1,725,334
Benefits paid (including direct rollovers)	2019-12-31	$1,705,727
Total plan assets at end of year	2019-12-31	$11,346,798
Total plan assets at beginning of year	2019-12-31	$10,132,041
Value of fidelity bond covering the plan	2019-12-31	$1,100,000
Total contributions received or receivable from participants	2019-12-31	$568,356
Expenses. Other expenses not covered elsewhere	2019-12-31	$0
Contributions received from other sources (not participants or employers)	2019-12-31	$0
Other income received	2019-12-31	$2,371,735
Net income (gross income less expenses)	2019-12-31	$1,214,757
Net plan assets at end of year (total assets less liabilities)	2019-12-31	$11,346,798
Net plan assets at beginning of year (total assets less liabilities)	2019-12-31	$10,132,041
Assets. Value of participant loans	2019-12-31	$134,386
Total contributions received or receivable from employer(s)	2019-12-31	$0
Value of certain deemed distributions of participant loans	2019-12-31	$0
Value of corrective distributions	2019-12-31	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2019-12-31	$19,607
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2019-12-31	$0
2018 : THE WILLIAMS CAPITAL GROUP 401(K) SAVINGS PLAN 2018 401k financial data
Total income from all sources	2018-12-31	$592,251
Expenses. Total of all expenses incurred	2018-12-31	$2,985,732
Benefits paid (including direct rollovers)	2018-12-31	$2,944,212
Total plan assets at end of year	2018-12-31	$10,132,041
Total plan assets at beginning of year	2018-12-31	$12,525,522
Value of fidelity bond covering the plan	2018-12-31	$1,585,590
Total contributions received or receivable from participants	2018-12-31	$618,058
Expenses. Other expenses not covered elsewhere	2018-12-31	$0
Contributions received from other sources (not participants or employers)	2018-12-31	$234,987
Other income received	2018-12-31	$-260,794
Net income (gross income less expenses)	2018-12-31	$-2,393,481
Net plan assets at end of year (total assets less liabilities)	2018-12-31	$10,132,041
Net plan assets at beginning of year (total assets less liabilities)	2018-12-31	$12,525,522
Assets. Value of participant loans	2018-12-31	$165,229
Total contributions received or receivable from employer(s)	2018-12-31	$0
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	$41,520
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2018-12-31	$0
2017 : THE WILLIAMS CAPITAL GROUP 401(K) SAVINGS PLAN 2017 401k financial data
Total income from all sources	2017-12-31	$2,799,583
Expenses. Total of all expenses incurred	2017-12-31	$454,952
Benefits paid (including direct rollovers)	2017-12-31	$403,383
Total plan assets at end of year	2017-12-31	$12,525,522
Total plan assets at beginning of year	2017-12-31	$10,180,891
Value of fidelity bond covering the plan	2017-12-31	$1,585,590
Total contributions received or receivable from participants	2017-12-31	$801,268
Expenses. Other expenses not covered elsewhere	2017-12-31	$0
Contributions received from other sources (not participants or employers)	2017-12-31	$0
Other income received	2017-12-31	$1,998,315
Net income (gross income less expenses)	2017-12-31	$2,344,631
Net plan assets at end of year (total assets less liabilities)	2017-12-31	$12,525,522
Net plan assets at beginning of year (total assets less liabilities)	2017-12-31	$10,180,891
Assets. Value of participant loans	2017-12-31	$219,803
Total contributions received or receivable from employer(s)	2017-12-31	$0
Value of certain deemed distributions of participant loans	2017-12-31	$0
Value of corrective distributions	2017-12-31	$2,007
Expenses. Administrative service providers (salaries,fees and commissions)	2017-12-31	$49,562
2016 : THE WILLIAMS CAPITAL GROUP 401(K) SAVINGS PLAN 2016 401k financial data
Total income from all sources	2016-12-31	$1,267,976
Expenses. Total of all expenses incurred	2016-12-31	$355,464
Benefits paid (including direct rollovers)	2016-12-31	$310,764
Total plan assets at end of year	2016-12-31	$10,180,891
Total plan assets at beginning of year	2016-12-31	$9,268,379
Value of fidelity bond covering the plan	2016-12-31	$1,000,000
Total contributions received or receivable from participants	2016-12-31	$675,149
Expenses. Other expenses not covered elsewhere	2016-12-31	$0
Contributions received from other sources (not participants or employers)	2016-12-31	$0
Other income received	2016-12-31	$592,827
Net income (gross income less expenses)	2016-12-31	$912,512
Net plan assets at end of year (total assets less liabilities)	2016-12-31	$10,180,891
Net plan assets at beginning of year (total assets less liabilities)	2016-12-31	$9,268,379
Assets. Value of participant loans	2016-12-31	$202,683
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	$44,700
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2016-12-31	$0
2015 : THE WILLIAMS CAPITAL GROUP 401(K) SAVINGS PLAN 2015 401k financial data
Total income from all sources	2015-12-31	$761,255
Expenses. Total of all expenses incurred	2015-12-31	$424,737
Benefits paid (including direct rollovers)	2015-12-31	$381,342
Total plan assets at end of year	2015-12-31	$9,268,379
Total plan assets at beginning of year	2015-12-31	$8,931,861
Value of fidelity bond covering the plan	2015-12-31	$1,000,000
Total contributions received or receivable from participants	2015-12-31	$583,167
Expenses. Other expenses not covered elsewhere	2015-12-31	$0
Contributions received from other sources (not participants or employers)	2015-12-31	$0
Other income received	2015-12-31	$178,088
Net income (gross income less expenses)	2015-12-31	$336,518
Net plan assets at end of year (total assets less liabilities)	2015-12-31	$9,268,379
Net plan assets at beginning of year (total assets less liabilities)	2015-12-31	$8,931,861
Assets. Value of participant loans	2015-12-31	$188,367
Total contributions received or receivable from employer(s)	2015-12-31	$0
Value of certain deemed distributions of participant loans	2015-12-31	$0
Value of corrective distributions	2015-12-31	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2015-12-31	$43,395
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2015-12-31	$0
2014 : THE WILLIAMS CAPITAL GROUP 401(K) SAVINGS PLAN 2014 401k financial data
Total income from all sources	2014-12-31	$1,218,456
Expenses. Total of all expenses incurred	2014-12-31	$534,238
Benefits paid (including direct rollovers)	2014-12-31	$492,450
Total plan assets at end of year	2014-12-31	$8,931,861
Total plan assets at beginning of year	2014-12-31	$8,247,643
Value of fidelity bond covering the plan	2014-12-31	$1,000,000
Total contributions received or receivable from participants	2014-12-31	$532,325
Expenses. Other expenses not covered elsewhere	2014-12-31	$0
Contributions received from other sources (not participants or employers)	2014-12-31	$114,294
Other income received	2014-12-31	$571,837
Net income (gross income less expenses)	2014-12-31	$684,218
Net plan assets at end of year (total assets less liabilities)	2014-12-31	$8,931,861
Net plan assets at beginning of year (total assets less liabilities)	2014-12-31	$8,247,643
Assets. Value of participant loans	2014-12-31	$204,805
Total contributions received or receivable from employer(s)	2014-12-31	$0
Value of certain deemed distributions of participant loans	2014-12-31	$0
Value of corrective distributions	2014-12-31	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2014-12-31	$41,788
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2014-12-31	$0
2013 : THE WILLIAMS CAPITAL GROUP 401(K) SAVINGS PLAN 2013 401k financial data
Total income from all sources	2013-12-31	$2,288,252
Expenses. Total of all expenses incurred	2013-12-31	$463,085
Benefits paid (including direct rollovers)	2013-12-31	$423,517
Total plan assets at end of year	2013-12-31	$8,247,643
Total plan assets at beginning of year	2013-12-31	$6,422,476
Value of fidelity bond covering the plan	2013-12-31	$1,000,000
Total contributions received or receivable from participants	2013-12-31	$582,005
Expenses. Other expenses not covered elsewhere	2013-12-31	$0
Contributions received from other sources (not participants or employers)	2013-12-31	$6,201
Other income received	2013-12-31	$1,700,046
Net income (gross income less expenses)	2013-12-31	$1,825,167
Net plan assets at end of year (total assets less liabilities)	2013-12-31	$8,247,643
Net plan assets at beginning of year (total assets less liabilities)	2013-12-31	$6,422,476
Assets. Value of participant loans	2013-12-31	$174,347
Total contributions received or receivable from employer(s)	2013-12-31	$0
Value of certain deemed distributions of participant loans	2013-12-31	$0
Value of corrective distributions	2013-12-31	$1,359
Expenses. Administrative service providers (salaries,fees and commissions)	2013-12-31	$38,209
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2013-12-31	$0
2012 : THE WILLIAMS CAPITAL GROUP 401(K) SAVINGS PLAN 2012 401k financial data
Total income from all sources	2012-12-31	$1,310,732
Expenses. Total of all expenses incurred	2012-12-31	$88,566
Benefits paid (including direct rollovers)	2012-12-31	$32,213
Total plan assets at end of year	2012-12-31	$6,422,476
Total plan assets at beginning of year	2012-12-31	$5,200,310
Value of fidelity bond covering the plan	2012-12-31	$700,000
Total contributions received or receivable from participants	2012-12-31	$596,278
Expenses. Other expenses not covered elsewhere	2012-12-31	$0
Contributions received from other sources (not participants or employers)	2012-12-31	$0
Other income received	2012-12-31	$714,454
Net income (gross income less expenses)	2012-12-31	$1,222,166
Net plan assets at end of year (total assets less liabilities)	2012-12-31	$6,422,476
Net plan assets at beginning of year (total assets less liabilities)	2012-12-31	$5,200,310
Assets. Value of participant loans	2012-12-31	$94,112
Total contributions received or receivable from employer(s)	2012-12-31	$0
Value of certain deemed distributions of participant loans	2012-12-31	$0
Value of corrective distributions	2012-12-31	$22,960
Expenses. Administrative service providers (salaries,fees and commissions)	2012-12-31	$33,393
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2012-12-31	$0
2011 : THE WILLIAMS CAPITAL GROUP 401(K) SAVINGS PLAN 2011 401k financial data
Total income from all sources	2011-12-31	$612,178
Expenses. Total of all expenses incurred	2011-12-31	$347,005
Benefits paid (including direct rollovers)	2011-12-31	$315,593
Total plan assets at end of year	2011-12-31	$5,200,310
Total plan assets at beginning of year	2011-12-31	$4,935,137
Value of fidelity bond covering the plan	2011-12-31	$500,000
Total contributions received or receivable from participants	2011-12-31	$553,020
Expenses. Other expenses not covered elsewhere	2011-12-31	$0
Contributions received from other sources (not participants or employers)	2011-12-31	$9,333
Other income received	2011-12-31	$49,825
Net income (gross income less expenses)	2011-12-31	$265,173
Net plan assets at end of year (total assets less liabilities)	2011-12-31	$5,200,310
Net plan assets at beginning of year (total assets less liabilities)	2011-12-31	$4,935,137
Assets. Value of participant loans	2011-12-31	$143,682
Total contributions received or receivable from employer(s)	2011-12-31	$0
Value of certain deemed distributions of participant loans	2011-12-31	$0
Value of corrective distributions	2011-12-31	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2011-12-31	$31,412
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2011-12-31	$0
2010 : THE WILLIAMS CAPITAL GROUP 401(K) SAVINGS PLAN 2010 401k financial data
Total income from all sources	2010-12-31	$1,182,096
Expenses. Total of all expenses incurred	2010-12-31	$293,827
Benefits paid (including direct rollovers)	2010-12-31	$265,915
Total plan assets at end of year	2010-12-31	$4,935,137
Total plan assets at beginning of year	2010-12-31	$4,046,868
Value of fidelity bond covering the plan	2010-12-31	$500,000
Total contributions received or receivable from participants	2010-12-31	$507,453
Expenses. Other expenses not covered elsewhere	2010-12-31	$0
Contributions received from other sources (not participants or employers)	2010-12-31	$101,108
Other income received	2010-12-31	$573,535
Net income (gross income less expenses)	2010-12-31	$888,269
Net plan assets at end of year (total assets less liabilities)	2010-12-31	$4,935,137
Net plan assets at beginning of year (total assets less liabilities)	2010-12-31	$4,046,868
Assets. Value of participant loans	2010-12-31	$169,659
Value of participant contributions where there was a failure to transmit these to the plan within the time period described in 29 CFR 2510.3-102	2010-12-31	$27,293
Total contributions received or receivable from employer(s)	2010-12-31	$0
Value of certain deemed distributions of participant loans	2010-12-31	$0
Value of corrective distributions	2010-12-31	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2010-12-31	$27,912
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2010-12-31	$0

Form 5500 Responses for THE WILLIAMS CAPITAL GROUP 401(K) SAVINGS PLAN

2019: THE WILLIAMS CAPITAL GROUP 401(K) SAVINGS PLAN 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 – Insurance	Yes
2019-01-01	Plan funding arrangement – Trust	Yes
2019-01-01	Plan benefit arrangement – Insurance	Yes
2019-01-01	Plan benefit arrangement - Trust	Yes
2017: THE WILLIAMS CAPITAL GROUP 401(K) SAVINGS PLAN 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 – Insurance	Yes
2017-01-01	Plan funding arrangement – Trust	Yes
2017-01-01	Plan benefit arrangement – Insurance	Yes
2017-01-01	Plan benefit arrangement - Trust	Yes
2016: THE WILLIAMS CAPITAL GROUP 401(K) SAVINGS PLAN 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 – Insurance	Yes
2016-01-01	Plan funding arrangement – Trust	Yes
2016-01-01	Plan benefit arrangement – Insurance	Yes
2016-01-01	Plan benefit arrangement - Trust	Yes
2015: THE WILLIAMS CAPITAL GROUP 401(K) SAVINGS PLAN 2015 form 5500 responses
2015-01-01	Type of plan entity	Single employer plan
2015-01-01	Submission has been amended	No
2015-01-01	This submission is the final filing	No
2015-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2015-01-01	Plan is a collectively bargained plan	No
2015-01-01	Plan funding arrangement – Insurance	Yes
2015-01-01	Plan funding arrangement – Trust	Yes
2015-01-01	Plan benefit arrangement – Insurance	Yes
2015-01-01	Plan benefit arrangement - Trust	Yes
2014: THE WILLIAMS CAPITAL GROUP 401(K) SAVINGS PLAN 2014 form 5500 responses
2014-01-01	Type of plan entity	Single employer plan
2014-01-01	Submission has been amended	No
2014-01-01	This submission is the final filing	No
2014-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2014-01-01	Plan is a collectively bargained plan	No
2014-01-01	Plan funding arrangement – Insurance	Yes
2014-01-01	Plan funding arrangement – Trust	Yes
2014-01-01	Plan benefit arrangement – Insurance	Yes
2014-01-01	Plan benefit arrangement - Trust	Yes
2013: THE WILLIAMS CAPITAL GROUP 401(K) SAVINGS PLAN 2013 form 5500 responses
2013-01-01	Type of plan entity	Single employer plan
2013-01-01	Submission has been amended	No
2013-01-01	This submission is the final filing	No
2013-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2013-01-01	Plan is a collectively bargained plan	No
2013-01-01	Plan funding arrangement – Insurance	Yes
2013-01-01	Plan funding arrangement – Trust	Yes
2013-01-01	Plan benefit arrangement – Insurance	Yes
2013-01-01	Plan benefit arrangement - Trust	Yes
2012: THE WILLIAMS CAPITAL GROUP 401(K) SAVINGS PLAN 2012 form 5500 responses
2012-01-01	Type of plan entity	Single employer plan
2012-01-01	Submission has been amended	No
2012-01-01	This submission is the final filing	No
2012-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2012-01-01	Plan is a collectively bargained plan	No
2012-01-01	Plan funding arrangement – Insurance	Yes
2012-01-01	Plan funding arrangement – Trust	Yes
2012-01-01	Plan benefit arrangement – Insurance	Yes
2012-01-01	Plan benefit arrangement - Trust	Yes
2011: THE WILLIAMS CAPITAL GROUP 401(K) SAVINGS PLAN 2011 form 5500 responses
2011-01-01	Type of plan entity	Single employer plan
2011-01-01	Submission has been amended	No
2011-01-01	This submission is the final filing	No
2011-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2011-01-01	Plan is a collectively bargained plan	No
2011-01-01	Plan funding arrangement – Insurance	Yes
2011-01-01	Plan funding arrangement – Trust	Yes
2011-01-01	Plan benefit arrangement – Insurance	Yes
2011-01-01	Plan benefit arrangement - Trust	Yes

Insurance Providers Used on plan

MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 65935 )
Policy contract number	FL 50151
Policy instance	1
MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 65935 )
Policy contract number	FL 50151
Policy instance	1
MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 65935 )
Policy contract number	FL 50151
Policy instance	1
MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 65935 )
Policy contract number	FL 50151
Policy instance	1
MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 65935 )
Policy contract number	FL 50151
Policy instance	1
MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 65935 )
Policy contract number	FL 50151
Policy instance	1
MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 65935 )
Policy contract number	FL 50151
Policy instance	1
MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 65935 )
Policy contract number	FL 50151
Policy instance	1

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Company Name:	THE WILLIAMS CAPITAL GROUP
Employer identification number (EIN):	133747879
NAIC Classification:	523110
NAIC Description:	Investment Banking and Securities Dealing