401k Plan data: EP WEALTH ADVISORS, INC.. 401(K) PLAN plan

EP WEALTH ADVISORS, INC.. 401(K) PLAN 401k Plan overview

Plan Name	EP WEALTH ADVISORS, INC.. 401(K) PLAN
Plan identification number	001

EP WEALTH ADVISORS, INC.. 401(K) PLAN Benefits

401k Plan Type

Defined 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.
Participant-directed brokerage accounts provided as an investment option under the plan.
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

EP WEALTH ADVISORS, LLC has sponsored the creation of one or more 401k plans.

Company Name: EP WEALTH ADVISORS, LLC

Employer identification number (EIN): 330152539

NAIC Classification: 523900

Form 5500 Filing Information

Submission information for form 5500 for 401k plan EP WEALTH ADVISORS, INC.. 401(K) PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2018-01-01
001 2017-01-01 CHAD SINCLAIR
001 2016-01-01 PATRICK GOSHTIGIAN
001 2015-01-01
001 2014-01-01
001 2013-01-01
001 2012-01-01 ZENY DEL MUNDO 2013-08-09 ZENY DEL MUNDO 2013-08-09
001 2011-01-01 BRIAN PARKER 2012-10-12
001 2010-01-01 BRIAN PARKER 2011-06-03

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed	Name of Company Sponsor	Date Sponsor Signed
001	2018-01-01
001	2017-01-01	CHAD SINCLAIR
001	2016-01-01	PATRICK GOSHTIGIAN
001	2015-01-01
001	2014-01-01
001	2013-01-01
001	2012-01-01	ZENY DEL MUNDO	2013-08-09	ZENY DEL MUNDO	2013-08-09
001	2011-01-01	BRIAN PARKER	2012-10-12
001	2010-01-01	BRIAN PARKER	2011-06-03

Plan Statistics for EP WEALTH ADVISORS, INC.. 401(K) PLAN

401k plan membership statisitcs for EP WEALTH ADVISORS, INC.. 401(K) PLAN

Measure Date Value
2018: EP WEALTH ADVISORS, INC.. 401(K) PLAN 2018 401k membership
Total participants, beginning-of-year 2018-01-01 66
Total number of active participants reported on line 7a of the Form 5500 2018-01-01 76
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 5
Total of all active and inactive participants 2018-01-01 81
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2018-01-01 0
Total participants 2018-01-01 81
Number of participants with account balances 2018-01-01 81
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2018-01-01 0
2017: EP WEALTH ADVISORS, INC.. 401(K) PLAN 2017 401k membership
Total participants, beginning-of-year 2017-01-01 55
Total number of active participants reported on line 7a of the Form 5500 2017-01-01 61
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 5
Total of all active and inactive participants 2017-01-01 66
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2017-01-01 0
Total participants 2017-01-01 66
Number of participants with account balances 2017-01-01 65
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2017-01-01 0
2016: EP WEALTH ADVISORS, INC.. 401(K) PLAN 2016 401k membership
Total participants, beginning-of-year 2016-01-01 39
Total number of active participants reported on line 7a of the Form 5500 2016-01-01 53
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 2
Total of all active and inactive participants 2016-01-01 55
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2016-01-01 0
Total participants 2016-01-01 55
Number of participants with account balances 2016-01-01 55
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2016-01-01 0

Measure	Date	Value
2018: EP WEALTH ADVISORS, INC.. 401(K) PLAN 2018 401k membership
Total participants, beginning-of-year	2018-01-01	66
Total number of active participants reported on line 7a of the Form 5500	2018-01-01	76
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	5
Total of all active and inactive participants	2018-01-01	81
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2018-01-01	0
Total participants	2018-01-01	81
Number of participants with account balances	2018-01-01	81
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2018-01-01	0
2017: EP WEALTH ADVISORS, INC.. 401(K) PLAN 2017 401k membership
Total participants, beginning-of-year	2017-01-01	55
Total number of active participants reported on line 7a of the Form 5500	2017-01-01	61
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	5
Total of all active and inactive participants	2017-01-01	66
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2017-01-01	0
Total participants	2017-01-01	66
Number of participants with account balances	2017-01-01	65
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2017-01-01	0
2016: EP WEALTH ADVISORS, INC.. 401(K) PLAN 2016 401k membership
Total participants, beginning-of-year	2016-01-01	39
Total number of active participants reported on line 7a of the Form 5500	2016-01-01	53
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	2
Total of all active and inactive participants	2016-01-01	55
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2016-01-01	0
Total participants	2016-01-01	55
Number of participants with account balances	2016-01-01	55
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2016-01-01	0

Financial Data on EP WEALTH ADVISORS, INC.. 401(K) PLAN

Measure	Date	Value
2018 : EP WEALTH ADVISORS, INC.. 401(K) PLAN 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	$4,297,126
Expenses. Total of all expenses incurred	2018-12-31	$101,163
Benefits paid (including direct rollovers)	2018-12-31	$98,476
Total plan assets at end of year	2018-12-31	$9,849,970
Total plan assets at beginning of year	2018-12-31	$5,654,007
Value of fidelity bond covering the plan	2018-12-31	$500,000
Total contributions received or receivable from participants	2018-12-31	$694,429
Expenses. Other expenses not covered elsewhere	2018-12-31	$37
Contributions received from other sources (not participants or employers)	2018-12-31	$3,912,240
Other income received	2018-12-31	$-585,932
Noncash contributions received	2018-12-31	$0
Net income (gross income less expenses)	2018-12-31	$4,195,963
Net plan assets at end of year (total assets less liabilities)	2018-12-31	$9,849,970
Net plan assets at beginning of year (total assets less liabilities)	2018-12-31	$5,654,007
Assets. Value of participant loans	2018-12-31	$28,546
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	2018-12-31	$0
Total contributions received or receivable from employer(s)	2018-12-31	$276,389
Value of certain deemed distributions of participant loans	2018-12-31	$0
Value of corrective distributions	2018-12-31	$1,999
Expenses. Administrative service providers (salaries,fees and commissions)	2018-12-31	$651
2017 : EP WEALTH ADVISORS, INC.. 401(K) PLAN 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	$1,853,817
Expenses. Total of all expenses incurred	2017-12-31	$79,559
Benefits paid (including direct rollovers)	2017-12-31	$79,070
Total plan assets at end of year	2017-12-31	$5,654,007
Total plan assets at beginning of year	2017-12-31	$3,879,749
Value of fidelity bond covering the plan	2017-12-31	$420,000
Total contributions received or receivable from participants	2017-12-31	$557,272
Expenses. Other expenses not covered elsewhere	2017-12-31	$0
Contributions received from other sources (not participants or employers)	2017-12-31	$153,447
Other income received	2017-12-31	$906,901
Noncash contributions received	2017-12-31	$0
Net income (gross income less expenses)	2017-12-31	$1,774,258
Net plan assets at end of year (total assets less liabilities)	2017-12-31	$5,654,007
Net plan assets at beginning of year (total assets less liabilities)	2017-12-31	$3,879,749
Assets. Value of participant loans	2017-12-31	$6,161
Total contributions received or receivable from employer(s)	2017-12-31	$236,197
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	$489
2016 : EP WEALTH ADVISORS, INC.. 401(K) PLAN 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	$1,105,169
Expenses. Total of all expenses incurred	2016-12-31	$282,393
Benefits paid (including direct rollovers)	2016-12-31	$282,131
Total plan assets at end of year	2016-12-31	$3,879,749
Total plan assets at beginning of year	2016-12-31	$3,056,973
Value of fidelity bond covering the plan	2016-12-31	$420,000
Total contributions received or receivable from participants	2016-12-31	$487,303
Expenses. Other expenses not covered elsewhere	2016-12-31	$0
Contributions received from other sources (not participants or employers)	2016-12-31	$143,219
Other income received	2016-12-31	$210,722
Noncash contributions received	2016-12-31	$0
Net income (gross income less expenses)	2016-12-31	$822,776
Net plan assets at end of year (total assets less liabilities)	2016-12-31	$3,879,749
Net plan assets at beginning of year (total assets less liabilities)	2016-12-31	$3,056,973
Assets. Value of participant loans	2016-12-31	$6,412
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	2016-12-31	$4,568
Total contributions received or receivable from employer(s)	2016-12-31	$263,925
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	$262

Form 5500 Responses for EP WEALTH ADVISORS, INC.. 401(K) PLAN

2018: EP WEALTH ADVISORS, INC.. 401(K) PLAN 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: EP WEALTH ADVISORS, INC.. 401(K) 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 – Trust	Yes
2017-01-01	Plan benefit arrangement - Trust	Yes
2016: EP WEALTH ADVISORS, INC.. 401(K) 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 – Trust	Yes
2016-01-01	Plan benefit arrangement - Trust	Yes

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Company Name:	EP WEALTH ADVISORS, LLC
Employer identification number (EIN):	330152539
NAIC Classification:	523900