401k Plan data: MCCARTHY & ASSOCIATES, LLC DEFINED BENEFIT PLAN plan

MCCARTHY & ASSOCIATES, LLC DEFINED BENEFIT PLAN 401k Plan overview

Plan Name	MCCARTHY & ASSOCIATES, LLC DEFINED BENEFIT PLAN
Plan identification number	002

MCCARTHY & ASSOCIATES, LLC DEFINED BENEFIT PLAN Benefits

401k Plan Type

Defined Benefit Pension

Plan Features/Benefits

Benefits are primarily pay related
Covered by PBGC - Plan is covered under the PBGC insurance program (see ERISA section 4021).
Frozen Plan - As of the last day of the plan year, the plan provides that no participant will get any new benefit accrual (whether because of service or compensation).
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

MCCARTHY & ASSOCIATES, LLC has sponsored the creation of one or more 401k plans.

Company Name: MCCARTHY & ASSOCIATES, LLC

Employer identification number (EIN): 204890170

NAIC Classification: 424300

Form 5500 Filing Information

Submission information for form 5500 for 401k plan MCCARTHY & ASSOCIATES, LLC DEFINED BENEFIT PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
002 2018-01-01 THOMAS MCCARTHY 2019-01-29 THOMAS MCCARTHY 2019-01-29
002 2017-01-01 THOMAS MCCARTHY 2018-03-10 THOMAS MCCARTHY 2018-03-10
002 2016-01-01 THOMAS MCCARTHY 2017-10-03 THOMAS MCCARTHY 2017-10-03
002 2015-01-01 THOMAS MCCARTHY 2016-10-05 THOMAS MCCARTHY 2016-10-05
002 2014-01-01 THOMAS MCCARTHY 2015-10-02 THOMAS MCCARTHY 2015-10-02
002 2013-01-01 THOMAS MCCARTHY 2014-10-10 THOMAS MCCARTHY 2014-10-10
002 2012-01-01 THOMAS MCCARTHY 2013-07-02 THOMAS MCCARTHY 2013-07-02

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed	Name of Company Sponsor	Date Sponsor Signed
002	2018-01-01	THOMAS MCCARTHY	2019-01-29	THOMAS MCCARTHY	2019-01-29
002	2017-01-01	THOMAS MCCARTHY	2018-03-10	THOMAS MCCARTHY	2018-03-10
002	2016-01-01	THOMAS MCCARTHY	2017-10-03	THOMAS MCCARTHY	2017-10-03
002	2015-01-01	THOMAS MCCARTHY	2016-10-05	THOMAS MCCARTHY	2016-10-05
002	2014-01-01	THOMAS MCCARTHY	2015-10-02	THOMAS MCCARTHY	2015-10-02
002	2013-01-01	THOMAS MCCARTHY	2014-10-10	THOMAS MCCARTHY	2014-10-10
002	2012-01-01	THOMAS MCCARTHY	2013-07-02	THOMAS MCCARTHY	2013-07-02

Plan Statistics for MCCARTHY & ASSOCIATES, LLC DEFINED BENEFIT PLAN

401k plan membership statisitcs for MCCARTHY & ASSOCIATES, LLC DEFINED BENEFIT PLAN

Measure Date Value
2018: MCCARTHY & ASSOCIATES, LLC DEFINED BENEFIT PLAN 2018 401k membership
Market value of plan assets 2018-11-01 2,319,749
Acturial value of plan assets 2018-11-01 2,319,749
Funding target for retired participants and beneficiaries receiving payment 2018-11-01 0
Number of terminated vested participants 2018-11-01 1
Fundng target for terminated vested participants 2018-11-01 2,374
Active participant vested funding target 2018-11-01 2,352,291
Number of active participants 2018-11-01 2
Total funding liabilities for active participants 2018-11-01 2,352,291
Total participant count 2018-11-01 3
Total funding target for all participants 2018-11-01 2,354,665
Balance at beginning of prior year after applicable adjustments 2018-11-01 0
Prefunding balance at beginning of prior year after applicable adjustments 2018-11-01 0
Carryover balanced portion elected for use to offset prior years funding requirement 2018-11-01 0
Prefunding balanced used to offset prior years funding requirement 2018-11-01 0
Amount remaining of carryover balance 2018-11-01 0
Amount remaining of prefunding balance 2018-11-01 0
Present value of excess contributions 2018-11-01 0
Total available prior years excess cotributions available at beginning of current plan year to add to prefunding balance 2018-11-01 0
Total available prior years excess cotributions added at beginning of current plan year to add to prefunding balance 2018-11-01 0
Reductions in caryover balances due to elections or deemed elections 2018-11-01 0
Reductions in prefunding balances due to elections or deemed elections 2018-11-01 0
Balance of carryovers at beginning of current year 2018-11-01 0
Balance of prefunding at beginning of current year 2018-11-01 0
Total employer contributions 2018-11-01 2,500
Total employee contributions 2018-11-01 0
Contributions allocated toward unpaid minimum require contributions from prior years 2018-11-01 0
Contributions made to avoid restrictions adjusted to valuation date 2018-11-01 0
Contributions allocated toward minimum required contributions for current year adjusted to valuation date 2018-11-01 2,395
Unpaid minimum required contributions for all prior years 2018-11-01 0
iDiscounted employer contributions allocated toward unpaid minimum required contributions from prior years 2018-11-01 0
Remaining amount of unpaid minimum required contributions 2018-11-01 0
Minimum required contributions for current year target normal cost 2018-11-01 0
Net shortfall amortization installment of oustanding balance 2018-11-01 34,916
Waiver amortization installment 2018-11-01 0
Total funding amount beforereflecting carryover/prefunding balances 2018-11-01 2,264
Additional cash requirement 2018-11-01 2,264
Contributions allocatedtoward minimum required contributions for current year 2018-11-01 2,395
Unpaid minimum required contributions for current year 2018-11-01 0
Unpaid minimum required contributions for all years 2018-11-01 0
2017: MCCARTHY & ASSOCIATES, LLC DEFINED BENEFIT PLAN 2017 401k membership
Market value of plan assets 2017-12-31 2,139,144
Acturial value of plan assets 2017-12-31 2,139,144
Funding target for retired participants and beneficiaries receiving payment 2017-12-31 0
Number of terminated vested participants 2017-12-31 0
Fundng target for terminated vested participants 2017-12-31 0
Active participant vested funding target 2017-12-31 2,115,369
Number of active participants 2017-12-31 3
Total funding liabilities for active participants 2017-12-31 2,115,794
Total participant count 2017-12-31 3
Total funding target for all participants 2017-12-31 2,115,794
Balance at beginning of prior year after applicable adjustments 2017-12-31 0
Prefunding balance at beginning of prior year after applicable adjustments 2017-12-31 0
Carryover balanced portion elected for use to offset prior years funding requirement 2017-12-31 0
Prefunding balanced used to offset prior years funding requirement 2017-12-31 0
Amount remaining of carryover balance 2017-12-31 0
Amount remaining of prefunding balance 2017-12-31 0
Present value of excess contributions 2017-12-31 6,213
Total available prior years excess cotributions available at beginning of current plan year to add to prefunding balance 2017-12-31 6,565
Total available prior years excess cotributions added at beginning of current plan year to add to prefunding balance 2017-12-31 0
Reductions in caryover balances due to elections or deemed elections 2017-12-31 0
Reductions in prefunding balances due to elections or deemed elections 2017-12-31 0
Balance of carryovers at beginning of current year 2017-12-31 0
Balance of prefunding at beginning of current year 2017-12-31 0
Total employer contributions 2017-12-31 0
Total employee contributions 2017-12-31 0
Contributions allocated toward unpaid minimum require contributions from prior years 2017-12-31 0
Contributions made to avoid restrictions adjusted to valuation date 2017-12-31 0
Contributions allocated toward minimum required contributions for current year adjusted to valuation date 2017-12-31 0
Unpaid minimum required contributions for all prior years 2017-12-31 0
iDiscounted employer contributions allocated toward unpaid minimum required contributions from prior years 2017-12-31 0
Remaining amount of unpaid minimum required contributions 2017-12-31 0
Minimum required contributions for current year target normal cost 2017-12-31 0
Net shortfall amortization installment of oustanding balance 2017-12-31 0
Waiver amortization installment 2017-12-31 0
Total funding amount beforereflecting carryover/prefunding balances 2017-12-31 0
Carryover balance elected to use to offset funding requirement 2017-12-31 0
Prefunding balance elected to use to offset funding requirement 2017-12-31 0
Additional cash requirement 2017-12-31 0
Contributions allocatedtoward minimum required contributions for current year 2017-12-31 0
Unpaid minimum required contributions for current year 2017-12-31 0
Unpaid minimum required contributions for all years 2017-12-31 0
2016: MCCARTHY & ASSOCIATES, LLC DEFINED BENEFIT PLAN 2016 401k membership
Market value of plan assets 2016-12-31 1,692,121
Acturial value of plan assets 2016-12-31 1,692,121
Funding target for retired participants and beneficiaries receiving payment 2016-12-31 0
Number of terminated vested participants 2016-12-31 0
Fundng target for terminated vested participants 2016-12-31 0
Active participant vested funding target 2016-12-31 1,468,404
Number of active participants 2016-12-31 5
Total funding liabilities for active participants 2016-12-31 1,608,509
Total participant count 2016-12-31 5
Total funding target for all participants 2016-12-31 1,608,509
Balance at beginning of prior year after applicable adjustments 2016-12-31 0
Prefunding balance at beginning of prior year after applicable adjustments 2016-12-31 0
Carryover balanced portion elected for use to offset prior years funding requirement 2016-12-31 0
Prefunding balanced used to offset prior years funding requirement 2016-12-31 0
Amount remaining of carryover balance 2016-12-31 0
Amount remaining of prefunding balance 2016-12-31 0
Present value of excess contributions 2016-12-31 13,382
Total available prior years excess cotributions available at beginning of current plan year to add to prefunding balance 2016-12-31 14,133
Total available prior years excess cotributions added at beginning of current plan year to add to prefunding balance 2016-12-31 0
Reductions in caryover balances due to elections or deemed elections 2016-12-31 0
Reductions in prefunding balances due to elections or deemed elections 2016-12-31 0
Balance of carryovers at beginning of current year 2016-12-31 0
Balance of prefunding at beginning of current year 2016-12-31 0
Total employer contributions 2016-12-31 425,000
Total employee contributions 2016-12-31 0
Contributions allocated toward unpaid minimum require contributions from prior years 2016-12-31 0
Contributions made to avoid restrictions adjusted to valuation date 2016-12-31 0
Contributions allocated toward minimum required contributions for current year adjusted to valuation date 2016-12-31 393,598
Unpaid minimum required contributions for all prior years 2016-12-31 0
iDiscounted employer contributions allocated toward unpaid minimum required contributions from prior years 2016-12-31 0
Remaining amount of unpaid minimum required contributions 2016-12-31 0
Minimum required contributions for current year target normal cost 2016-12-31 470,997
Net shortfall amortization installment of oustanding balance 2016-12-31 0
Waiver amortization installment 2016-12-31 0
Waived amount of outstanding balance 2016-12-31 0
Total funding amount beforereflecting carryover/prefunding balances 2016-12-31 387,385
Carryover balance elected to use to offset funding requirement 2016-12-31 0
Prefunding balance elected to use to offset funding requirement 2016-12-31 0
Additional cash requirement 2016-12-31 387,385
Contributions allocatedtoward minimum required contributions for current year 2016-12-31 393,598
Unpaid minimum required contributions for current year 2016-12-31 0
Unpaid minimum required contributions for all years 2016-12-31 0

Measure	Date	Value
2018: MCCARTHY & ASSOCIATES, LLC DEFINED BENEFIT PLAN 2018 401k membership
Market value of plan assets	2018-11-01	2,319,749
Acturial value of plan assets	2018-11-01	2,319,749
Funding target for retired participants and beneficiaries receiving payment	2018-11-01	0
Number of terminated vested participants	2018-11-01	1
Fundng target for terminated vested participants	2018-11-01	2,374
Active participant vested funding target	2018-11-01	2,352,291
Number of active participants	2018-11-01	2
Total funding liabilities for active participants	2018-11-01	2,352,291
Total participant count	2018-11-01	3
Total funding target for all participants	2018-11-01	2,354,665
Balance at beginning of prior year after applicable adjustments	2018-11-01	0
Prefunding balance at beginning of prior year after applicable adjustments	2018-11-01	0
Carryover balanced portion elected for use to offset prior years funding requirement	2018-11-01	0
Prefunding balanced used to offset prior years funding requirement	2018-11-01	0
Amount remaining of carryover balance	2018-11-01	0
Amount remaining of prefunding balance	2018-11-01	0
Present value of excess contributions	2018-11-01	0
Total available prior years excess cotributions available at beginning of current plan year to add to prefunding balance	2018-11-01	0
Total available prior years excess cotributions added at beginning of current plan year to add to prefunding balance	2018-11-01	0
Reductions in caryover balances due to elections or deemed elections	2018-11-01	0
Reductions in prefunding balances due to elections or deemed elections	2018-11-01	0
Balance of carryovers at beginning of current year	2018-11-01	0
Balance of prefunding at beginning of current year	2018-11-01	0
Total employer contributions	2018-11-01	2,500
Total employee contributions	2018-11-01	0
Contributions allocated toward unpaid minimum require contributions from prior years	2018-11-01	0
Contributions made to avoid restrictions adjusted to valuation date	2018-11-01	0
Contributions allocated toward minimum required contributions for current year adjusted to valuation date	2018-11-01	2,395
Unpaid minimum required contributions for all prior years	2018-11-01	0
iDiscounted employer contributions allocated toward unpaid minimum required contributions from prior years	2018-11-01	0
Remaining amount of unpaid minimum required contributions	2018-11-01	0
Minimum required contributions for current year target normal cost	2018-11-01	0
Net shortfall amortization installment of oustanding balance	2018-11-01	34,916
Waiver amortization installment	2018-11-01	0
Total funding amount beforereflecting carryover/prefunding balances	2018-11-01	2,264
Additional cash requirement	2018-11-01	2,264
Contributions allocatedtoward minimum required contributions for current year	2018-11-01	2,395
Unpaid minimum required contributions for current year	2018-11-01	0
Unpaid minimum required contributions for all years	2018-11-01	0
2017: MCCARTHY & ASSOCIATES, LLC DEFINED BENEFIT PLAN 2017 401k membership
Market value of plan assets	2017-12-31	2,139,144
Acturial value of plan assets	2017-12-31	2,139,144
Funding target for retired participants and beneficiaries receiving payment	2017-12-31	0
Number of terminated vested participants	2017-12-31	0
Fundng target for terminated vested participants	2017-12-31	0
Active participant vested funding target	2017-12-31	2,115,369
Number of active participants	2017-12-31	3
Total funding liabilities for active participants	2017-12-31	2,115,794
Total participant count	2017-12-31	3
Total funding target for all participants	2017-12-31	2,115,794
Balance at beginning of prior year after applicable adjustments	2017-12-31	0
Prefunding balance at beginning of prior year after applicable adjustments	2017-12-31	0
Carryover balanced portion elected for use to offset prior years funding requirement	2017-12-31	0
Prefunding balanced used to offset prior years funding requirement	2017-12-31	0
Amount remaining of carryover balance	2017-12-31	0
Amount remaining of prefunding balance	2017-12-31	0
Present value of excess contributions	2017-12-31	6,213
Total available prior years excess cotributions available at beginning of current plan year to add to prefunding balance	2017-12-31	6,565
Total available prior years excess cotributions added at beginning of current plan year to add to prefunding balance	2017-12-31	0
Reductions in caryover balances due to elections or deemed elections	2017-12-31	0
Reductions in prefunding balances due to elections or deemed elections	2017-12-31	0
Balance of carryovers at beginning of current year	2017-12-31	0
Balance of prefunding at beginning of current year	2017-12-31	0
Total employer contributions	2017-12-31	0
Total employee contributions	2017-12-31	0
Contributions allocated toward unpaid minimum require contributions from prior years	2017-12-31	0
Contributions made to avoid restrictions adjusted to valuation date	2017-12-31	0
Contributions allocated toward minimum required contributions for current year adjusted to valuation date	2017-12-31	0
Unpaid minimum required contributions for all prior years	2017-12-31	0
iDiscounted employer contributions allocated toward unpaid minimum required contributions from prior years	2017-12-31	0
Remaining amount of unpaid minimum required contributions	2017-12-31	0
Minimum required contributions for current year target normal cost	2017-12-31	0
Net shortfall amortization installment of oustanding balance	2017-12-31	0
Waiver amortization installment	2017-12-31	0
Total funding amount beforereflecting carryover/prefunding balances	2017-12-31	0
Carryover balance elected to use to offset funding requirement	2017-12-31	0
Prefunding balance elected to use to offset funding requirement	2017-12-31	0
Additional cash requirement	2017-12-31	0
Contributions allocatedtoward minimum required contributions for current year	2017-12-31	0
Unpaid minimum required contributions for current year	2017-12-31	0
Unpaid minimum required contributions for all years	2017-12-31	0
2016: MCCARTHY & ASSOCIATES, LLC DEFINED BENEFIT PLAN 2016 401k membership
Market value of plan assets	2016-12-31	1,692,121
Acturial value of plan assets	2016-12-31	1,692,121
Funding target for retired participants and beneficiaries receiving payment	2016-12-31	0
Number of terminated vested participants	2016-12-31	0
Fundng target for terminated vested participants	2016-12-31	0
Active participant vested funding target	2016-12-31	1,468,404
Number of active participants	2016-12-31	5
Total funding liabilities for active participants	2016-12-31	1,608,509
Total participant count	2016-12-31	5
Total funding target for all participants	2016-12-31	1,608,509
Balance at beginning of prior year after applicable adjustments	2016-12-31	0
Prefunding balance at beginning of prior year after applicable adjustments	2016-12-31	0
Carryover balanced portion elected for use to offset prior years funding requirement	2016-12-31	0
Prefunding balanced used to offset prior years funding requirement	2016-12-31	0
Amount remaining of carryover balance	2016-12-31	0
Amount remaining of prefunding balance	2016-12-31	0
Present value of excess contributions	2016-12-31	13,382
Total available prior years excess cotributions available at beginning of current plan year to add to prefunding balance	2016-12-31	14,133
Total available prior years excess cotributions added at beginning of current plan year to add to prefunding balance	2016-12-31	0
Reductions in caryover balances due to elections or deemed elections	2016-12-31	0
Reductions in prefunding balances due to elections or deemed elections	2016-12-31	0
Balance of carryovers at beginning of current year	2016-12-31	0
Balance of prefunding at beginning of current year	2016-12-31	0
Total employer contributions	2016-12-31	425,000
Total employee contributions	2016-12-31	0
Contributions allocated toward unpaid minimum require contributions from prior years	2016-12-31	0
Contributions made to avoid restrictions adjusted to valuation date	2016-12-31	0
Contributions allocated toward minimum required contributions for current year adjusted to valuation date	2016-12-31	393,598
Unpaid minimum required contributions for all prior years	2016-12-31	0
iDiscounted employer contributions allocated toward unpaid minimum required contributions from prior years	2016-12-31	0
Remaining amount of unpaid minimum required contributions	2016-12-31	0
Minimum required contributions for current year target normal cost	2016-12-31	470,997
Net shortfall amortization installment of oustanding balance	2016-12-31	0
Waiver amortization installment	2016-12-31	0
Waived amount of outstanding balance	2016-12-31	0
Total funding amount beforereflecting carryover/prefunding balances	2016-12-31	387,385
Carryover balance elected to use to offset funding requirement	2016-12-31	0
Prefunding balance elected to use to offset funding requirement	2016-12-31	0
Additional cash requirement	2016-12-31	387,385
Contributions allocatedtoward minimum required contributions for current year	2016-12-31	393,598
Unpaid minimum required contributions for current year	2016-12-31	0
Unpaid minimum required contributions for all years	2016-12-31	0

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Company Name:	MCCARTHY & ASSOCIATES, LLC
Employer identification number (EIN):	204890170
NAIC Classification:	424300