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CAPSTONE FINANCIAL ADVISORS 401(K) PLAN 401k Plan overview

Plan NameCAPSTONE FINANCIAL ADVISORS 401(K) PLAN
Plan identification number 001

CAPSTONE FINANCIAL ADVISORS 401(K) PLAN Benefits

401k Plan TypeDefined 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.
  • 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

CAPSTONE FINANCIAL ADVISORS, INC. has sponsored the creation of one or more 401k plans.

Company Name:CAPSTONE FINANCIAL ADVISORS, INC.
Employer identification number (EIN):364296290
NAIC Classification:523900

Form 5500 Filing Information

Submission information for form 5500 for 401k plan CAPSTONE FINANCIAL ADVISORS 401(K) PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator SignedName of Company SponsorDate Sponsor Signed
0012023-01-01RICHARD G. MARKS2024-07-03 RICHARD G. MARKS2024-07-03
0012022-01-01RICHARD G. MARKS2023-08-30
0012021-01-01RICHARD G.MARKS2022-06-29 RICHARD G.MARKS2022-06-29
0012020-01-01RICHARD G. MARKS2021-05-26 RICHARD G. MARKS2021-05-26
0012019-01-01RICHARD G. MARKS2020-05-27 RICHARD G. MARKS2020-05-27
0012018-01-01RICHARD G. MARKS2019-05-12 RICHARD G. MARKS2019-05-12
0012017-01-01RICHARD G MARKS2018-06-19 RICHARD G. MARKS2018-06-19
0012016-01-01RICHARD MARKS RICHARD MARKS2017-05-23
0012015-01-01RICHARD MARKS RICHARD MARKS2016-09-27
0012014-01-01RICHARD MARKS RICHARD MARKS2015-10-05
0012013-01-01RICHARD MARKS RICHARD MARKS2014-10-06
0012012-01-01RICHARD MARKS RICHARD MARKS2013-10-07
0012011-01-01RICHARD MARKS
0012010-01-01RICHARD MARKS2011-09-20

Financial Data on CAPSTONE FINANCIAL ADVISORS 401(K) PLAN

Measure Date Value
2025 : CAPSTONE FINANCIAL ADVISORS 401(K) PLAN 2025 401k financial data
Total liabilities as of the beginning of the plan year2025-07-150
Total expenses incurred by plan in this plan year2025-07-15193010
Net assets as of the end of the plan year2025-07-157609984
Total assets as of the beginning of the plan year2025-07-156358815
Value of plan covered by a fidelity bond2025-07-15500000
Participant contributions to plan in this plan year2025-07-15452891
Other contributions to plan in this plan year2025-07-154127
Other income to plan in this plan year2025-07-15823346
Plan net income in this plan year2025-07-151251169
Net assets as of the end of the plan year2025-07-157609984
Net assets as of the beginning of the plan year2025-07-156358815
Employer contributions to plan in this plan year2025-07-15163815
Expensese paid to adminstrative service provicers from plan in this plan year2025-07-151960
2024 : CAPSTONE FINANCIAL ADVISORS 401(K) PLAN 2024 401k financial data
Total liabilities as of the beginning of the plan year2024-07-030
Total expenses incurred by plan in this plan year2024-07-030
Net assets as of the end of the plan year2024-07-036358815
Total assets as of the beginning of the plan year2024-07-034923674
Value of plan covered by a fidelity bond2024-07-03500000
Participant contributions to plan in this plan year2024-07-03404377
Other contributions to plan in this plan year2024-07-032322
Other income to plan in this plan year2024-07-03891250
Plan net income in this plan year2024-07-031435141
Net assets as of the end of the plan year2024-07-036358815
Net assets as of the beginning of the plan year2024-07-034923674
Employer contributions to plan in this plan year2024-07-03137192
Expensese paid to adminstrative service provicers from plan in this plan year2024-07-030
2016 : CAPSTONE FINANCIAL ADVISORS 401(K) PLAN 2016 401k financial data
Total plan liabilities at end of year2016-12-31$1,407
Total plan liabilities at beginning of year2016-12-31$0
Total income from all sources2016-12-31$556,968
Expenses. Total of all expenses incurred2016-12-31$358,184
Benefits paid (including direct rollovers)2016-12-31$358,180
Total plan assets at end of year2016-12-31$1,943,582
Total plan assets at beginning of year2016-12-31$1,743,391
Value of fidelity bond covering the plan2016-12-31$200,000
Total contributions received or receivable from participants2016-12-31$254,868
Expenses. Other expenses not covered elsewhere2016-12-31$4
Contributions received from other sources (not participants or employers)2016-12-31$0
Other income received2016-12-31$205,401
Noncash contributions received2016-12-31$0
Net income (gross income less expenses)2016-12-31$198,784
Net plan assets at end of year (total assets less liabilities)2016-12-31$1,942,175
Net plan assets at beginning of year (total assets less liabilities)2016-12-31$1,743,391
Total contributions received or receivable from employer(s)2016-12-31$96,699
Value of certain deemed distributions of participant loans2016-12-31$0
Value of corrective distributions2016-12-31$0
Expenses. Administrative service providers (salaries,fees and commissions)2016-12-31$0
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2016-12-31$0
2015 : CAPSTONE FINANCIAL ADVISORS 401(K) PLAN 2015 401k financial data
Total plan liabilities at end of year2015-12-31$0
Total plan liabilities at beginning of year2015-12-31$0
Total income from all sources2015-12-31$205,603
Expenses. Total of all expenses incurred2015-12-31$2,052
Benefits paid (including direct rollovers)2015-12-31$2,052
Total plan assets at end of year2015-12-31$1,743,391
Total plan assets at beginning of year2015-12-31$1,539,840
Value of fidelity bond covering the plan2015-12-31$200,000
Total contributions received or receivable from participants2015-12-31$227,443
Expenses. Other expenses not covered elsewhere2015-12-31$0
Contributions received from other sources (not participants or employers)2015-12-31$5
Other income received2015-12-31$-110,509
Noncash contributions received2015-12-31$0
Net income (gross income less expenses)2015-12-31$203,551
Net plan assets at end of year (total assets less liabilities)2015-12-31$1,743,391
Net plan assets at beginning of year (total assets less liabilities)2015-12-31$1,539,840
Total contributions received or receivable from employer(s)2015-12-31$88,664
Value of certain deemed distributions of participant loans2015-12-31$0
Value of corrective distributions2015-12-31$0
Expenses. Administrative service providers (salaries,fees and commissions)2015-12-31$0
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2015-12-31$0
2014 : CAPSTONE FINANCIAL ADVISORS 401(K) PLAN 2014 401k financial data
Total plan liabilities at end of year2014-12-31$0
Total plan liabilities at beginning of year2014-12-31$0
Total income from all sources2014-12-31$476,964
Expenses. Total of all expenses incurred2014-12-31$39,289
Benefits paid (including direct rollovers)2014-12-31$39,279
Total plan assets at end of year2014-12-31$1,539,840
Total plan assets at beginning of year2014-12-31$1,102,165
Value of fidelity bond covering the plan2014-12-31$200,000
Total contributions received or receivable from participants2014-12-31$177,332
Expenses. Other expenses not covered elsewhere2014-12-31$0
Contributions received from other sources (not participants or employers)2014-12-31$144,319
Other income received2014-12-31$80,456
Noncash contributions received2014-12-31$0
Net income (gross income less expenses)2014-12-31$437,675
Net plan assets at end of year (total assets less liabilities)2014-12-31$1,539,840
Net plan assets at beginning of year (total assets less liabilities)2014-12-31$1,102,165
Total contributions received or receivable from employer(s)2014-12-31$74,857
Value of certain deemed distributions of participant loans2014-12-31$0
Value of corrective distributions2014-12-31$0
Expenses. Administrative service providers (salaries,fees and commissions)2014-12-31$10
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2014-12-31$0
2013 : CAPSTONE FINANCIAL ADVISORS 401(K) PLAN 2013 401k financial data
Total plan liabilities at end of year2013-12-31$0
Total plan liabilities at beginning of year2013-12-31$0
Total income from all sources2013-12-31$267,548
Expenses. Total of all expenses incurred2013-12-31$1,031
Benefits paid (including direct rollovers)2013-12-31$1,017
Total plan assets at end of year2013-12-31$1,102,165
Total plan assets at beginning of year2013-12-31$835,648
Value of fidelity bond covering the plan2013-12-31$200,000
Total contributions received or receivable from participants2013-12-31$120,986
Expenses. Other expenses not covered elsewhere2013-12-31$0
Contributions received from other sources (not participants or employers)2013-12-31$0
Other income received2013-12-31$80,723
Noncash contributions received2013-12-31$0
Net income (gross income less expenses)2013-12-31$266,517
Net plan assets at end of year (total assets less liabilities)2013-12-31$1,102,165
Net plan assets at beginning of year (total assets less liabilities)2013-12-31$835,648
Total contributions received or receivable from employer(s)2013-12-31$65,839
Value of certain deemed distributions of participant loans2013-12-31$0
Value of corrective distributions2013-12-31$0
Expenses. Administrative service providers (salaries,fees and commissions)2013-12-31$14
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2013-12-31$0
2012 : CAPSTONE FINANCIAL ADVISORS 401(K) PLAN 2012 401k financial data
Total plan liabilities at end of year2012-12-31$0
Total plan liabilities at beginning of year2012-12-31$0
Total income from all sources2012-12-31$200,313
Expenses. Total of all expenses incurred2012-12-31$3,035
Benefits paid (including direct rollovers)2012-12-31$3,017
Total plan assets at end of year2012-12-31$835,648
Total plan assets at beginning of year2012-12-31$638,370
Value of fidelity bond covering the plan2012-12-31$200,000
Total contributions received or receivable from participants2012-12-31$101,576
Other income received2012-12-31$43,971
Net income (gross income less expenses)2012-12-31$197,278
Net plan assets at end of year (total assets less liabilities)2012-12-31$835,648
Net plan assets at beginning of year (total assets less liabilities)2012-12-31$638,370
Total contributions received or receivable from employer(s)2012-12-31$54,766
Expenses. Administrative service providers (salaries,fees and commissions)2012-12-31$18
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2012-12-31$0
2011 : CAPSTONE FINANCIAL ADVISORS 401(K) PLAN 2011 401k financial data
Total plan liabilities at end of year2011-12-31$0
Total plan liabilities at beginning of year2011-12-31$0
Total income from all sources2011-12-31$119,442
Expenses. Total of all expenses incurred2011-12-31$38
Total plan assets at end of year2011-12-31$638,370
Total plan assets at beginning of year2011-12-31$518,966
Value of fidelity bond covering the plan2011-12-31$200,000
Total contributions received or receivable from participants2011-12-31$105,211
Expenses. Other expenses not covered elsewhere2011-12-31$14
Other income received2011-12-31$-36,760
Net income (gross income less expenses)2011-12-31$119,404
Net plan assets at end of year (total assets less liabilities)2011-12-31$638,370
Net plan assets at beginning of year (total assets less liabilities)2011-12-31$518,966
Total contributions received or receivable from employer(s)2011-12-31$50,991
Expenses. Administrative service providers (salaries,fees and commissions)2011-12-31$24

Form 5500 Responses for CAPSTONE FINANCIAL ADVISORS 401(K) PLAN

2016: CAPSTONE FINANCIAL ADVISORS 401(K) PLAN 2016 form 5500 responses
2016-01-01Type of plan entitySingle employer plan
2016-01-01Submission has been amendedNo
2016-01-01This submission is the final filingNo
2016-01-01This return/report is a short plan year return/report (less than 12 months)No
2016-01-01Plan is a collectively bargained planNo
2016-01-01Plan funding arrangement – TrustYes
2016-01-01Plan benefit arrangement - TrustYes
2015: CAPSTONE FINANCIAL ADVISORS 401(K) PLAN 2015 form 5500 responses
2015-01-01Type of plan entitySingle employer plan
2015-01-01Submission has been amendedNo
2015-01-01This submission is the final filingNo
2015-01-01This return/report is a short plan year return/report (less than 12 months)No
2015-01-01Plan is a collectively bargained planNo
2015-01-01Plan funding arrangement – TrustYes
2015-01-01Plan benefit arrangement - TrustYes
2014: CAPSTONE FINANCIAL ADVISORS 401(K) PLAN 2014 form 5500 responses
2014-01-01Type of plan entitySingle employer plan
2014-01-01Submission has been amendedNo
2014-01-01This submission is the final filingNo
2014-01-01This return/report is a short plan year return/report (less than 12 months)No
2014-01-01Plan is a collectively bargained planNo
2014-01-01Plan funding arrangement – TrustYes
2014-01-01Plan benefit arrangement - TrustYes
2013: CAPSTONE FINANCIAL ADVISORS 401(K) PLAN 2013 form 5500 responses
2013-01-01Type of plan entitySingle employer plan
2013-01-01Submission has been amendedNo
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: CAPSTONE FINANCIAL ADVISORS 401(K) PLAN 2012 form 5500 responses
2012-01-01Type of plan entitySingle employer plan
2012-01-01Submission has been amendedNo
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: CAPSTONE FINANCIAL ADVISORS 401(K) PLAN 2011 form 5500 responses
2011-01-01Type of plan entitySingle employer plan
2011-01-01Submission has been amendedNo
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

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