401k Plan data: BAY HARBOR WEALTH MANAGEMENT 401 (K) PLAN plan

BAY HARBOR WEALTH MANAGEMENT 401 (K) PLAN 401k Plan overview

Plan Name	BAY HARBOR WEALTH MANAGEMENT 401 (K) PLAN
Plan identification number	001

BAY HARBOR WEALTH MANAGEMENT 401 (K) 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.
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.
Plan sponsor(s) is (are) a member(s) of a controlled group (Code sections 414(b), (c), or (m)).

401k Sponsoring company profile

BAY HARBOR WEALTH MANAGEMENT has sponsored the creation of one or more 401k plans.

Company Name: BAY HARBOR WEALTH MANAGEMENT

Employer identification number (EIN): 451032121

NAIC Classification: 523900

Form 5500 Filing Information

Submission information for form 5500 for 401k plan BAY HARBOR WEALTH MANAGEMENT 401 (K) PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2022-01-01 LANCE SCOTT 2023-03-07
001 2021-01-01 LANCE SCOTT 2022-03-18
001 2020-01-01
001 2019-01-01
001 2018-01-01 LANCE SCOTT
001 2017-01-01 LANCE SCOTT
001 2016-01-01 LANCE SCOTT
001 2015-01-01 LANCE SCOTT
001 2014-01-01 LES REVZON 2015-05-07
001 2013-01-01 LES REVZON 2014-05-29 LES REVZON 2014-05-29
001 2012-01-01 LES REVZON 2013-07-25 LES REVZON 2013-07-25

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed	Name of Company Sponsor	Date Sponsor Signed
001	2022-01-01	LANCE SCOTT	2023-03-07
001	2021-01-01	LANCE SCOTT	2022-03-18
001	2020-01-01
001	2019-01-01
001	2018-01-01	LANCE SCOTT
001	2017-01-01	LANCE SCOTT
001	2016-01-01	LANCE SCOTT
001	2015-01-01	LANCE SCOTT
001	2014-01-01	LES REVZON	2015-05-07
001	2013-01-01	LES REVZON	2014-05-29	LES REVZON	2014-05-29
001	2012-01-01	LES REVZON	2013-07-25	LES REVZON	2013-07-25

Plan Statistics for BAY HARBOR WEALTH MANAGEMENT 401 (K) PLAN

401k plan membership statisitcs for BAY HARBOR WEALTH MANAGEMENT 401 (K) PLAN

Measure Date Value
2020: BAY HARBOR WEALTH MANAGEMENT 401 (K) PLAN 2020 401k membership
Total participants, beginning-of-year 2020-01-01 4
Total number of active participants reported on line 7a of the Form 5500 2020-01-01 4
Number of retired or separated participants receiving benefits 2020-01-01 0
Number of other retired or separated participants entitled to future benefits 2020-01-01 0
Total of all active and inactive participants 2020-01-01 4
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2020-01-01 0
Total participants 2020-01-01 4
Number of participants with account balances 2020-01-01 4
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2020-01-01 0
2019: BAY HARBOR WEALTH MANAGEMENT 401 (K) PLAN 2019 401k membership
Total participants, beginning-of-year 2019-01-01 5
Total number of active participants reported on line 7a of the Form 5500 2019-01-01 4
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 0
Total of all active and inactive participants 2019-01-01 4
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2019-01-01 0
Total participants 2019-01-01 4
Number of participants with account balances 2019-01-01 3
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2019-01-01 0
2018: BAY HARBOR WEALTH MANAGEMENT 401 (K) PLAN 2018 401k membership
Total participants, beginning-of-year 2018-01-01 4
Total number of active participants reported on line 7a of the Form 5500 2018-01-01 2
Number of retired or separated participants receiving benefits 2018-01-01 1
Number of other retired or separated participants entitled to future benefits 2018-01-01 0
Total of all active and inactive participants 2018-01-01 3
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2018-01-01 0
Total participants 2018-01-01 3
Number of participants with account balances 2018-01-01 3
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2018-01-01 0
2017: BAY HARBOR WEALTH MANAGEMENT 401 (K) PLAN 2017 401k membership
Total participants, beginning-of-year 2017-01-01 4
Total number of active participants reported on line 7a of the Form 5500 2017-01-01 2
Number of retired or separated participants receiving benefits 2017-01-01 2
Number of other retired or separated participants entitled to future benefits 2017-01-01 0
Total of all active and inactive participants 2017-01-01 4
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2017-01-01 0
Total participants 2017-01-01 4
Number of participants with account balances 2017-01-01 4
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2017-01-01 0
2016: BAY HARBOR WEALTH MANAGEMENT 401 (K) PLAN 2016 401k membership
Total participants, beginning-of-year 2016-01-01 3
Total number of active participants reported on line 7a of the Form 5500 2016-01-01 3
Number of retired or separated participants receiving benefits 2016-01-01 1
Number of other retired or separated participants entitled to future benefits 2016-01-01 0
Total of all active and inactive participants 2016-01-01 4
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2016-01-01 0
Total participants 2016-01-01 4
Number of participants with account balances 2016-01-01 3
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2016-01-01 0
2015: BAY HARBOR WEALTH MANAGEMENT 401 (K) PLAN 2015 401k membership
Total participants, beginning-of-year 2015-01-01 2
Total number of active participants reported on line 7a of the Form 5500 2015-01-01 1
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 1
Total of all active and inactive participants 2015-01-01 2
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2015-01-01 0
Total participants 2015-01-01 2
Number of participants with account balances 2015-01-01 2
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2015-01-01 0

Measure	Date	Value
2020: BAY HARBOR WEALTH MANAGEMENT 401 (K) PLAN 2020 401k membership
Total participants, beginning-of-year	2020-01-01	4
Total number of active participants reported on line 7a of the Form 5500	2020-01-01	4
Number of retired or separated participants receiving benefits	2020-01-01	0
Number of other retired or separated participants entitled to future benefits	2020-01-01	0
Total of all active and inactive participants	2020-01-01	4
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2020-01-01	0
Total participants	2020-01-01	4
Number of participants with account balances	2020-01-01	4
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2020-01-01	0
2019: BAY HARBOR WEALTH MANAGEMENT 401 (K) PLAN 2019 401k membership
Total participants, beginning-of-year	2019-01-01	5
Total number of active participants reported on line 7a of the Form 5500	2019-01-01	4
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	0
Total of all active and inactive participants	2019-01-01	4
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2019-01-01	0
Total participants	2019-01-01	4
Number of participants with account balances	2019-01-01	3
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2019-01-01	0
2018: BAY HARBOR WEALTH MANAGEMENT 401 (K) PLAN 2018 401k membership
Total participants, beginning-of-year	2018-01-01	4
Total number of active participants reported on line 7a of the Form 5500	2018-01-01	2
Number of retired or separated participants receiving benefits	2018-01-01	1
Number of other retired or separated participants entitled to future benefits	2018-01-01	0
Total of all active and inactive participants	2018-01-01	3
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2018-01-01	0
Total participants	2018-01-01	3
Number of participants with account balances	2018-01-01	3
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2018-01-01	0
2017: BAY HARBOR WEALTH MANAGEMENT 401 (K) PLAN 2017 401k membership
Total participants, beginning-of-year	2017-01-01	4
Total number of active participants reported on line 7a of the Form 5500	2017-01-01	2
Number of retired or separated participants receiving benefits	2017-01-01	2
Number of other retired or separated participants entitled to future benefits	2017-01-01	0
Total of all active and inactive participants	2017-01-01	4
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2017-01-01	0
Total participants	2017-01-01	4
Number of participants with account balances	2017-01-01	4
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2017-01-01	0
2016: BAY HARBOR WEALTH MANAGEMENT 401 (K) PLAN 2016 401k membership
Total participants, beginning-of-year	2016-01-01	3
Total number of active participants reported on line 7a of the Form 5500	2016-01-01	3
Number of retired or separated participants receiving benefits	2016-01-01	1
Number of other retired or separated participants entitled to future benefits	2016-01-01	0
Total of all active and inactive participants	2016-01-01	4
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2016-01-01	0
Total participants	2016-01-01	4
Number of participants with account balances	2016-01-01	3
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2016-01-01	0
2015: BAY HARBOR WEALTH MANAGEMENT 401 (K) PLAN 2015 401k membership
Total participants, beginning-of-year	2015-01-01	2
Total number of active participants reported on line 7a of the Form 5500	2015-01-01	1
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	1
Total of all active and inactive participants	2015-01-01	2
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2015-01-01	0
Total participants	2015-01-01	2
Number of participants with account balances	2015-01-01	2
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2015-01-01	0

Financial Data on BAY HARBOR WEALTH MANAGEMENT 401 (K) PLAN

Measure	Date	Value
2020 : BAY HARBOR WEALTH MANAGEMENT 401 (K) PLAN 2020 401k financial data
Total income from all sources	2020-12-31	$105,938
Expenses. Total of all expenses incurred	2020-12-31	$2,577
Total plan assets at end of year	2020-12-31	$444,472
Total plan assets at beginning of year	2020-12-31	$341,111
Value of fidelity bond covering the plan	2020-12-31	$30,000
Total contributions received or receivable from participants	2020-12-31	$36,175
Other income received	2020-12-31	$58,508
Net income (gross income less expenses)	2020-12-31	$103,361
Net plan assets at end of year (total assets less liabilities)	2020-12-31	$444,472
Net plan assets at beginning of year (total assets less liabilities)	2020-12-31	$341,111
Total contributions received or receivable from employer(s)	2020-12-31	$11,255
Expenses. Administrative service providers (salaries,fees and commissions)	2020-12-31	$2,577
2019 : BAY HARBOR WEALTH MANAGEMENT 401 (K) PLAN 2019 401k financial data
Total income from all sources	2019-12-31	$92,779
Expenses. Total of all expenses incurred	2019-12-31	$3,959
Benefits paid (including direct rollovers)	2019-12-31	$1,025
Total plan assets at end of year	2019-12-31	$341,111
Total plan assets at beginning of year	2019-12-31	$252,291
Value of fidelity bond covering the plan	2019-12-31	$35,000
Total contributions received or receivable from participants	2019-12-31	$28,121
Other income received	2019-12-31	$57,548
Net income (gross income less expenses)	2019-12-31	$88,820
Net plan assets at end of year (total assets less liabilities)	2019-12-31	$341,111
Net plan assets at beginning of year (total assets less liabilities)	2019-12-31	$252,291
Total contributions received or receivable from employer(s)	2019-12-31	$7,110
Expenses. Administrative service providers (salaries,fees and commissions)	2019-12-31	$2,934
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2019-12-31	$0
2018 : BAY HARBOR WEALTH MANAGEMENT 401 (K) PLAN 2018 401k financial data
Total income from all sources	2018-12-31	$16,920
Expenses. Total of all expenses incurred	2018-12-31	$31,812
Benefits paid (including direct rollovers)	2018-12-31	$27,866
Total plan assets at end of year	2018-12-31	$252,291
Total plan assets at beginning of year	2018-12-31	$267,183
Value of fidelity bond covering the plan	2018-12-31	$30,000
Total contributions received or receivable from participants	2018-12-31	$24,743
Other income received	2018-12-31	$-15,686
Net income (gross income less expenses)	2018-12-31	$-14,892
Net plan assets at end of year (total assets less liabilities)	2018-12-31	$252,291
Net plan assets at beginning of year (total assets less liabilities)	2018-12-31	$267,183
Total contributions received or receivable from employer(s)	2018-12-31	$7,863
Expenses. Administrative service providers (salaries,fees and commissions)	2018-12-31	$3,946
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2018-12-31	$0
2017 : BAY HARBOR WEALTH MANAGEMENT 401 (K) PLAN 2017 401k financial data
Total income from all sources	2017-12-31	$76,415
Expenses. Total of all expenses incurred	2017-12-31	$4,189
Benefits paid (including direct rollovers)	2017-12-31	$600
Total plan assets at end of year	2017-12-31	$267,183
Total plan assets at beginning of year	2017-12-31	$194,957
Value of fidelity bond covering the plan	2017-12-31	$30,000
Total contributions received or receivable from participants	2017-12-31	$24,002
Other income received	2017-12-31	$45,635
Net income (gross income less expenses)	2017-12-31	$72,226
Net plan assets at end of year (total assets less liabilities)	2017-12-31	$267,183
Net plan assets at beginning of year (total assets less liabilities)	2017-12-31	$194,957
Total contributions received or receivable from employer(s)	2017-12-31	$6,778
Expenses. Administrative service providers (salaries,fees and commissions)	2017-12-31	$3,589
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2017-12-31	$0
2016 : BAY HARBOR WEALTH MANAGEMENT 401 (K) PLAN 2016 401k financial data
Total income from all sources	2016-12-31	$79,914
Expenses. Total of all expenses incurred	2016-12-31	$3,134
Benefits paid (including direct rollovers)	2016-12-31	$0
Total plan assets at end of year	2016-12-31	$194,957
Total plan assets at beginning of year	2016-12-31	$118,177
Value of fidelity bond covering the plan	2016-12-31	$30,000
Total contributions received or receivable from participants	2016-12-31	$23,509
Other income received	2016-12-31	$21,627
Net income (gross income less expenses)	2016-12-31	$76,780
Net plan assets at end of year (total assets less liabilities)	2016-12-31	$194,957
Net plan assets at beginning of year (total assets less liabilities)	2016-12-31	$118,177
Total contributions received or receivable from employer(s)	2016-12-31	$34,778
Expenses. Administrative service providers (salaries,fees and commissions)	2016-12-31	$3,134
2015 : BAY HARBOR WEALTH MANAGEMENT 401 (K) PLAN 2015 401k financial data
Total income from all sources	2015-12-31	$21,968
Expenses. Total of all expenses incurred	2015-12-31	$2,593
Total plan assets at end of year	2015-12-31	$118,177
Total plan assets at beginning of year	2015-12-31	$98,802
Total contributions received or receivable from participants	2015-12-31	$18,000
Other income received	2015-12-31	$-1,944
Net income (gross income less expenses)	2015-12-31	$19,375
Net plan assets at end of year (total assets less liabilities)	2015-12-31	$118,177
Net plan assets at beginning of year (total assets less liabilities)	2015-12-31	$98,802
Total contributions received or receivable from employer(s)	2015-12-31	$5,912
Expenses. Administrative service providers (salaries,fees and commissions)	2015-12-31	$2,593

Form 5500 Responses for BAY HARBOR WEALTH MANAGEMENT 401 (K) PLAN

2020: BAY HARBOR WEALTH MANAGEMENT 401 (K) PLAN 2020 form 5500 responses
2020-01-01	Type of plan entity	Single employer plan
2020-01-01	Submission has been amended	No
2020-01-01	This submission is the final filing	No
2020-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2020-01-01	Plan is a collectively bargained plan	No
2020-01-01	Plan funding arrangement – Trust	Yes
2020-01-01	Plan benefit arrangement - Trust	Yes
2019: BAY HARBOR WEALTH MANAGEMENT 401 (K) 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 – Trust	Yes
2019-01-01	Plan benefit arrangement - Trust	Yes
2018: BAY HARBOR WEALTH MANAGEMENT 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: BAY HARBOR WEALTH MANAGEMENT 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: BAY HARBOR WEALTH MANAGEMENT 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
2015: BAY HARBOR WEALTH MANAGEMENT 401 (K) 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 – Trust	Yes
2015-01-01	Plan benefit arrangement - Trust	Yes

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Company Name:	BAY HARBOR WEALTH MANAGEMENT
Employer identification number (EIN):	451032121
NAIC Classification:	523900