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THE HOGAN-KNOTTS FINANCIAL GROUP, INC. RETIREMENT TRUST 401k Plan overview

Plan NameTHE HOGAN-KNOTTS FINANCIAL GROUP, INC. RETIREMENT TRUST
Plan identification number 001

THE HOGAN-KNOTTS FINANCIAL GROUP, INC. RETIREMENT TRUST Benefits

401k Plan TypeDefined Contribution Pension
Plan Features/Benefits
  • Age/Service Weighted or new comparability or similar plan - Age/Service Weighted Plan: Allocations are based on age, service, or age and service. New comparability or similar plan: Allocations are based on participant classifications and a classification(s) consists entirely or predominantly of highly compensated employees; or the plan provides an additional allocation rate on compensation above a specified threshold, and the theshold or additional rate exceeds the maximum threshold or rate allowed under the permitted disparity rules of section 401(l).
  • 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.
  • 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.
  • Prototype plan - A pension plan that is made available by a sponsor for adoption by employers; that is the subject of a favorable opinion or notification letter; and under which a seperate funding medium (for example, a seperate trust or custodial account) is established for the use of each adopting employer.

401k Sponsoring company profile

THE HOGAN-KNOTTS FINANCIAL GROUP, INC. has sponsored the creation of one or more 401k plans.

Company Name:THE HOGAN-KNOTTS FINANCIAL GROUP, INC.
Employer identification number (EIN):222579259
NAIC Classification:523120
NAIC Description:Securities Brokerage

Form 5500 Filing Information

Submission information for form 5500 for 401k plan THE HOGAN-KNOTTS FINANCIAL GROUP, INC. RETIREMENT TRUST

Plan id# Filing Submission Date Name of Administrator Date Administrator SignedName of Company SponsorDate Sponsor Signed
0012022-01-01
0012021-01-01
0012020-01-01
0012018-01-01
0012017-01-01
0012016-01-01
0012015-01-01
0012014-01-01
0012013-01-01ROBERT HOGAN ROBERT HOGAN2014-07-03
0012012-01-01ROBERT HOGAN ROBERT HOGAN2013-07-29
0012011-01-01ROBERT HOGAN
0012010-01-01ROBERT HOGAN
0012009-01-01 ROBERT HOGAN2010-07-30
0012009-01-01ROBERT HOGAN
0012009-01-01 ROBERT HOGAN2010-07-29

Plan Statistics for THE HOGAN-KNOTTS FINANCIAL GROUP, INC. RETIREMENT TRUST

401k plan membership statisitcs for THE HOGAN-KNOTTS FINANCIAL GROUP, INC. RETIREMENT TRUST

Measure Date Value
2013: THE HOGAN-KNOTTS FINANCIAL GROUP, INC. RETIREMENT TRUST 2013 401k membership
Total participants, beginning-of-year2013-01-014
Total number of active participants reported on line 7a of the Form 55002013-01-016
Number of retired or separated participants receiving benefits2013-01-010
Number of other retired or separated participants entitled to future benefits2013-01-010
Total of all active and inactive participants2013-01-016
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2013-01-010
Total participants2013-01-016
Number of participants with account balances2013-01-016
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2013-01-010
2012: THE HOGAN-KNOTTS FINANCIAL GROUP, INC. RETIREMENT TRUST 2012 401k membership
Total participants, beginning-of-year2012-01-015
Total number of active participants reported on line 7a of the Form 55002012-01-014
Number of retired or separated participants receiving benefits2012-01-011
Total of all active and inactive participants2012-01-015
Total participants2012-01-015
Number of participants with account balances2012-01-014
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2012-01-011
2011: THE HOGAN-KNOTTS FINANCIAL GROUP, INC. RETIREMENT TRUST 2011 401k membership
Total participants, beginning-of-year2011-01-015
Total number of active participants reported on line 7a of the Form 55002011-01-015
Number of retired or separated participants receiving benefits2011-01-011
Total of all active and inactive participants2011-01-016
Total participants2011-01-016
Number of participants with account balances2011-01-015
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2011-01-010
2010: THE HOGAN-KNOTTS FINANCIAL GROUP, INC. RETIREMENT TRUST 2010 401k membership
Total participants, beginning-of-year2010-01-015
Total number of active participants reported on line 7a of the Form 55002010-01-015
Number of retired or separated participants receiving benefits2010-01-010
Number of other retired or separated participants entitled to future benefits2010-01-010
Total of all active and inactive participants2010-01-015
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2010-01-010
Total participants2010-01-015
Number of participants with account balances2010-01-015
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2010-01-010
2009: THE HOGAN-KNOTTS FINANCIAL GROUP, INC. RETIREMENT TRUST 2009 401k membership
Total participants, beginning-of-year2009-01-015
Total number of active participants reported on line 7a of the Form 55002009-01-015
Number of retired or separated participants receiving benefits2009-01-010
Number of other retired or separated participants entitled to future benefits2009-01-010
Total of all active and inactive participants2009-01-015
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2009-01-010
Total participants2009-01-015
Number of participants with account balances2009-01-015
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2009-01-010

Financial Data on THE HOGAN-KNOTTS FINANCIAL GROUP, INC. RETIREMENT TRUST

Measure Date Value
2013 : THE HOGAN-KNOTTS FINANCIAL GROUP, INC. RETIREMENT TRUST 2013 401k financial data
Total income from all sources2013-12-31$590,126
Expenses. Total of all expenses incurred2013-12-31$12,000
Benefits paid (including direct rollovers)2013-12-31$12,000
Total plan assets at end of year2013-12-31$2,607,254
Total plan assets at beginning of year2013-12-31$2,029,128
Value of fidelity bond covering the plan2013-12-31$150,000
Total contributions received or receivable from participants2013-12-31$97,181
Other income received2013-12-31$407,336
Net income (gross income less expenses)2013-12-31$578,126
Net plan assets at end of year (total assets less liabilities)2013-12-31$2,607,254
Net plan assets at beginning of year (total assets less liabilities)2013-12-31$2,029,128
Total contributions received or receivable from employer(s)2013-12-31$85,609
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2013-12-31$0
2012 : THE HOGAN-KNOTTS FINANCIAL GROUP, INC. RETIREMENT TRUST 2012 401k financial data
Total income from all sources2012-12-31$388,740
Expenses. Total of all expenses incurred2012-12-31$4,554
Benefits paid (including direct rollovers)2012-12-31$4,554
Total plan assets at end of year2012-12-31$2,029,128
Total plan assets at beginning of year2012-12-31$1,644,942
Value of fidelity bond covering the plan2012-12-31$150,000
Total contributions received or receivable from participants2012-12-31$51,973
Other income received2012-12-31$279,087
Net income (gross income less expenses)2012-12-31$384,186
Net plan assets at end of year (total assets less liabilities)2012-12-31$2,029,128
Net plan assets at beginning of year (total assets less liabilities)2012-12-31$1,644,942
Total contributions received or receivable from employer(s)2012-12-31$57,680
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2012-12-31$0
2011 : THE HOGAN-KNOTTS FINANCIAL GROUP, INC. RETIREMENT TRUST 2011 401k financial data
Total income from all sources2011-12-31$-14,233
Expenses. Total of all expenses incurred2011-12-31$53,092
Benefits paid (including direct rollovers)2011-12-31$53,092
Total plan assets at end of year2011-12-31$1,644,942
Total plan assets at beginning of year2011-12-31$1,712,267
Value of fidelity bond covering the plan2011-12-31$150,000
Total contributions received or receivable from participants2011-12-31$50,186
Other income received2011-12-31$-120,497
Net income (gross income less expenses)2011-12-31$-67,325
Net plan assets at end of year (total assets less liabilities)2011-12-31$1,644,942
Net plan assets at beginning of year (total assets less liabilities)2011-12-31$1,712,267
Total contributions received or receivable from employer(s)2011-12-31$56,078
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2011-12-31$0
2010 : THE HOGAN-KNOTTS FINANCIAL GROUP, INC. RETIREMENT TRUST 2010 401k financial data
Total income from all sources2010-12-31$368,957
Expenses. Total of all expenses incurred2010-12-31$5,000
Benefits paid (including direct rollovers)2010-12-31$5,000
Total plan assets at end of year2010-12-31$1,712,267
Total plan assets at beginning of year2010-12-31$1,348,310
Value of fidelity bond covering the plan2010-12-31$150,000
Total contributions received or receivable from participants2010-12-31$48,535
Other income received2010-12-31$269,211
Net income (gross income less expenses)2010-12-31$363,957
Net plan assets at end of year (total assets less liabilities)2010-12-31$1,712,267
Net plan assets at beginning of year (total assets less liabilities)2010-12-31$1,348,310
Total contributions received or receivable from employer(s)2010-12-31$51,211
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2010-12-31$0
2009 : THE HOGAN-KNOTTS FINANCIAL GROUP, INC. RETIREMENT TRUST 2009 401k financial data
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2009-12-31$0

Form 5500 Responses for THE HOGAN-KNOTTS FINANCIAL GROUP, INC. RETIREMENT TRUST

2013: THE HOGAN-KNOTTS FINANCIAL GROUP, INC. RETIREMENT TRUST 2013 form 5500 responses
2013-01-01Type of plan entitySingle employer plan
2013-01-01This submission is the final filingNo
2013-01-01This return/report is a short plan year return/report (less than 12 months)No
2013-01-01Plan is a collectively bargained planNo
2013-01-01Plan funding arrangement – TrustYes
2013-01-01Plan benefit arrangement - TrustYes
2012: THE HOGAN-KNOTTS FINANCIAL GROUP, INC. RETIREMENT TRUST 2012 form 5500 responses
2012-01-01Type of plan entitySingle employer plan
2012-01-01Submission has been amendedYes
2012-01-01This submission is the final filingNo
2012-01-01This return/report is a short plan year return/report (less than 12 months)No
2012-01-01Plan is a collectively bargained planNo
2012-01-01Plan funding arrangement – TrustYes
2012-01-01Plan benefit arrangement - TrustYes
2011: THE HOGAN-KNOTTS FINANCIAL GROUP, INC. RETIREMENT TRUST 2011 form 5500 responses
2011-01-01Type of plan entitySingle employer plan
2011-01-01Submission has been amendedYes
2011-01-01This submission is the final filingNo
2011-01-01This return/report is a short plan year return/report (less than 12 months)No
2011-01-01Plan is a collectively bargained planNo
2011-01-01Plan funding arrangement – TrustYes
2011-01-01Plan benefit arrangement - TrustYes
2010: THE HOGAN-KNOTTS FINANCIAL GROUP, INC. RETIREMENT TRUST 2010 form 5500 responses
2010-01-01Type of plan entitySingle employer plan
2010-01-01Submission has been amendedYes
2010-01-01This submission is the final filingNo
2010-01-01This return/report is a short plan year return/report (less than 12 months)No
2010-01-01Plan is a collectively bargained planNo
2010-01-01Plan funding arrangement – TrustYes
2010-01-01Plan benefit arrangement - TrustYes
2009: THE HOGAN-KNOTTS FINANCIAL GROUP, INC. RETIREMENT TRUST 2009 form 5500 responses
2009-01-01Type of plan entitySingle employer plan
2009-01-01Submission has been amendedYes
2009-01-01This submission is the final filingNo
2009-01-01This return/report is a short plan year return/report (less than 12 months)No
2009-01-01Plan is a collectively bargained planNo
2009-01-01Plan funding arrangement – TrustYes
2009-01-01Plan benefit arrangement - TrustYes

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