JAMES TODD SMITH has sponsored the creation of one or more 401k plans.
Submission information for form 5500 for 401k plan PHILLIPS AND COMPANY ADVISORS LLC 401K PLAN
| Measure | Date | Value |
|---|
| 2022: PHILLIPS AND COMPANY ADVISORS LLC 401K PLAN 2022 401k membership |
|---|
| Total participants, beginning-of-year | 2022-01-01 | 21 |
| Total number of active participants reported on line 7a of the Form 5500 | 2022-01-01 | 21 |
| Number of retired or separated participants receiving benefits | 2022-01-01 | 0 |
| Number of other retired or separated participants entitled to future benefits | 2022-01-01 | 2 |
| Total of all active and inactive participants | 2022-01-01 | 23 |
| Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits | 2022-01-01 | 0 |
| Total participants | 2022-01-01 | 23 |
| Number of participants with account balances | 2022-01-01 | 20 |
| Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested | 2022-01-01 | 0 |
| 2021: PHILLIPS AND COMPANY ADVISORS LLC 401K PLAN 2021 401k membership |
|---|
| Total participants, beginning-of-year | 2021-01-01 | 21 |
| Total number of active participants reported on line 7a of the Form 5500 | 2021-01-01 | 19 |
| Number of retired or separated participants receiving benefits | 2021-01-01 | 0 |
| Number of other retired or separated participants entitled to future benefits | 2021-01-01 | 2 |
| Total of all active and inactive participants | 2021-01-01 | 21 |
| Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits | 2021-01-01 | 0 |
| Total participants | 2021-01-01 | 21 |
| Number of participants with account balances | 2021-01-01 | 18 |
| Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested | 2021-01-01 | 0 |
| 2020: PHILLIPS AND COMPANY ADVISORS LLC 401K PLAN 2020 401k membership |
|---|
| Total participants, beginning-of-year | 2020-01-01 | 20 |
| Total number of active participants reported on line 7a of the Form 5500 | 2020-01-01 | 18 |
| 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 | 3 |
| Total of all active and inactive participants | 2020-01-01 | 21 |
| Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits | 2020-01-01 | 0 |
| Total participants | 2020-01-01 | 21 |
| Number of participants with account balances | 2020-01-01 | 20 |
| Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested | 2020-01-01 | 0 |
| 2019: PHILLIPS AND COMPANY ADVISORS LLC 401K PLAN 2019 401k membership |
|---|
| Total participants, beginning-of-year | 2019-01-01 | 41 |
| Total number of active participants reported on line 7a of the Form 5500 | 2019-01-01 | 17 |
| 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 | 3 |
| Total of all active and inactive participants | 2019-01-01 | 20 |
| Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits | 2019-01-01 | 0 |
| Total participants | 2019-01-01 | 20 |
| Number of participants with account balances | 2019-01-01 | 19 |
| Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested | 2019-01-01 | 0 |
| Measure | Date | Value |
|---|
| 2022 : PHILLIPS AND COMPANY ADVISORS LLC 401K PLAN 2022 401k financial data |
|---|
| Transfers to/from the plan | 2022-12-31 | $0 |
| Total plan liabilities at end of year | 2022-12-31 | $0 |
| Total plan liabilities at beginning of year | 2022-12-31 | $0 |
| Total income from all sources | 2022-12-31 | $-1,489,757 |
| Expenses. Total of all expenses incurred | 2022-12-31 | $24,640 |
| Benefits paid (including direct rollovers) | 2022-12-31 | $24,465 |
| Total plan assets at end of year | 2022-12-31 | $8,341,936 |
| Total plan assets at beginning of year | 2022-12-31 | $9,856,333 |
| Value of fidelity bond covering the plan | 2022-12-31 | $500,000 |
| Total contributions received or receivable from participants | 2022-12-31 | $216,218 |
| Expenses. Other expenses not covered elsewhere | 2022-12-31 | $0 |
| Contributions received from other sources (not participants or employers) | 2022-12-31 | $0 |
| Other income received | 2022-12-31 | $-1,766,226 |
| Noncash contributions received | 2022-12-31 | $0 |
| Net income (gross income less expenses) | 2022-12-31 | $-1,514,397 |
| Net plan assets at end of year (total assets less liabilities) | 2022-12-31 | $8,341,936 |
| Net plan assets at beginning of year (total assets less liabilities) | 2022-12-31 | $9,856,333 |
| Assets. Value of participant loans | 2022-12-31 | $21,574 |
| Total contributions received or receivable from employer(s) | 2022-12-31 | $60,251 |
| Value of certain deemed distributions of participant loans | 2022-12-31 | $0 |
| Value of corrective distributions | 2022-12-31 | $0 |
| Expenses. Administrative service providers (salaries,fees and commissions) | 2022-12-31 | $175 |
| 2021 : PHILLIPS AND COMPANY ADVISORS LLC 401K PLAN 2021 401k financial data |
|---|
| Transfers to/from the plan | 2021-12-31 | $0 |
| Total plan liabilities at end of year | 2021-12-31 | $0 |
| Total plan liabilities at beginning of year | 2021-12-31 | $0 |
| Total income from all sources | 2021-12-31 | $1,461,893 |
| Expenses. Total of all expenses incurred | 2021-12-31 | $103,785 |
| Benefits paid (including direct rollovers) | 2021-12-31 | $103,560 |
| Total plan assets at end of year | 2021-12-31 | $9,856,333 |
| Total plan assets at beginning of year | 2021-12-31 | $8,498,225 |
| Value of fidelity bond covering the plan | 2021-12-31 | $500,000 |
| Total contributions received or receivable from participants | 2021-12-31 | $216,973 |
| Expenses. Other expenses not covered elsewhere | 2021-12-31 | $0 |
| Contributions received from other sources (not participants or employers) | 2021-12-31 | $0 |
| Other income received | 2021-12-31 | $1,181,826 |
| Noncash contributions received | 2021-12-31 | $0 |
| Net income (gross income less expenses) | 2021-12-31 | $1,358,108 |
| Net plan assets at end of year (total assets less liabilities) | 2021-12-31 | $9,856,333 |
| Net plan assets at beginning of year (total assets less liabilities) | 2021-12-31 | $8,498,225 |
| Assets. Value of participant loans | 2021-12-31 | $31,468 |
| Total contributions received or receivable from employer(s) | 2021-12-31 | $63,094 |
| Value of certain deemed distributions of participant loans | 2021-12-31 | $0 |
| Value of corrective distributions | 2021-12-31 | $0 |
| Expenses. Administrative service providers (salaries,fees and commissions) | 2021-12-31 | $225 |
| 2020 : PHILLIPS AND COMPANY ADVISORS LLC 401K PLAN 2020 401k financial data |
|---|
| Transfers to/from the plan | 2020-12-31 | $0 |
| Total plan liabilities at end of year | 2020-12-31 | $0 |
| Total plan liabilities at beginning of year | 2020-12-31 | $0 |
| Total income from all sources | 2020-12-31 | $1,689,361 |
| Expenses. Total of all expenses incurred | 2020-12-31 | $45,968 |
| Benefits paid (including direct rollovers) | 2020-12-31 | $45,805 |
| Total plan assets at end of year | 2020-12-31 | $8,498,225 |
| Total plan assets at beginning of year | 2020-12-31 | $6,854,832 |
| Value of fidelity bond covering the plan | 2020-12-31 | $500,000 |
| Assets. Value of tangible personal property | 2020-12-31 | $0 |
| Total contributions received or receivable from participants | 2020-12-31 | $200,192 |
| Assets. Value of loans (other than to participants) | 2020-12-31 | $0 |
| Expenses. Other expenses not covered elsewhere | 2020-12-31 | $0 |
| Contributions received from other sources (not participants or employers) | 2020-12-31 | $30,000 |
| Other income received | 2020-12-31 | $1,396,288 |
| Noncash contributions received | 2020-12-31 | $0 |
| Net income (gross income less expenses) | 2020-12-31 | $1,643,393 |
| Net plan assets at end of year (total assets less liabilities) | 2020-12-31 | $8,498,225 |
| Net plan assets at beginning of year (total assets less liabilities) | 2020-12-31 | $6,854,832 |
| Assets. Value of participant loans | 2020-12-31 | $27,249 |
| Assets. Value of assets in partnership/joint-venture interests | 2020-12-31 | $0 |
| Assets. Value of real-estate (other than employer real property) | 2020-12-31 | $0 |
| 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 | 2020-12-31 | $0 |
| Assets. Value of employer securities | 2020-12-31 | $0 |
| Assets. Value of employer real property | 2020-12-31 | $0 |
| Total contributions received or receivable from employer(s) | 2020-12-31 | $62,881 |
| Value of certain deemed distributions of participant loans | 2020-12-31 | $0 |
| Value of corrective distributions | 2020-12-31 | $0 |
| Expenses. Administrative service providers (salaries,fees and commissions) | 2020-12-31 | $163 |
| 2019 : PHILLIPS AND COMPANY ADVISORS LLC 401K PLAN 2019 401k financial data |
|---|
| Transfers to/from the plan | 2019-12-31 | $0 |
| Total plan liabilities at end of year | 2019-12-31 | $0 |
| Total plan liabilities at beginning of year | 2019-12-31 | $0 |
| Total income from all sources | 2019-12-31 | $1,677,507 |
| Expenses. Total of all expenses incurred | 2019-12-31 | $164,344 |
| Benefits paid (including direct rollovers) | 2019-12-31 | $163,134 |
| Total plan assets at end of year | 2019-12-31 | $6,854,832 |
| Total plan assets at beginning of year | 2019-12-31 | $5,341,669 |
| Value of fidelity bond covering the plan | 2019-12-31 | $500,000 |
| Total contributions received or receivable from participants | 2019-12-31 | $197,884 |
| Expenses. Other expenses not covered elsewhere | 2019-12-31 | $0 |
| Contributions received from other sources (not participants or employers) | 2019-12-31 | $0 |
| Other income received | 2019-12-31 | $1,413,769 |
| Noncash contributions received | 2019-12-31 | $0 |
| Net income (gross income less expenses) | 2019-12-31 | $1,513,163 |
| Net plan assets at end of year (total assets less liabilities) | 2019-12-31 | $6,854,832 |
| Net plan assets at beginning of year (total assets less liabilities) | 2019-12-31 | $5,341,669 |
| Assets. Value of participant loans | 2019-12-31 | $51,091 |
| 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 | 2019-12-31 | $0 |
| Total contributions received or receivable from employer(s) | 2019-12-31 | $65,854 |
| Value of certain deemed distributions of participant loans | 2019-12-31 | $0 |
| Value of corrective distributions | 2019-12-31 | $0 |
| Expenses. Administrative service providers (salaries,fees and commissions) | 2019-12-31 | $1,210 |
| 2022: PHILLIPS AND COMPANY ADVISORS LLC 401K PLAN 2022 form 5500 responses |
|---|
| 2022-01-01 | Type of plan entity | Single employer plan |
| 2022-01-01 | Submission has been amended | No |
| 2022-01-01 | This submission is the final filing | No |
| 2022-01-01 | This return/report is a short plan year return/report (less than 12 months) | No |
| 2022-01-01 | Plan is a collectively bargained plan | No |
| 2022-01-01 | Plan funding arrangement – Trust | Yes |
| 2022-01-01 | Plan benefit arrangement - Trust | Yes |
| 2021: PHILLIPS AND COMPANY ADVISORS LLC 401K PLAN 2021 form 5500 responses |
|---|
| 2021-01-01 | Type of plan entity | Single employer plan |
| 2021-01-01 | Submission has been amended | No |
| 2021-01-01 | This submission is the final filing | No |
| 2021-01-01 | This return/report is a short plan year return/report (less than 12 months) | No |
| 2021-01-01 | Plan is a collectively bargained plan | No |
| 2021-01-01 | Plan funding arrangement – Trust | Yes |
| 2021-01-01 | Plan benefit arrangement - Trust | Yes |
| 2020: PHILLIPS AND COMPANY ADVISORS LLC 401K 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: PHILLIPS AND COMPANY ADVISORS LLC 401K 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 |
