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DOUGHERTY & ASSOCIATES 401(K) PROFIT SHARING PLAN 401k Plan overview

Plan NameDOUGHERTY & ASSOCIATES 401(K) PROFIT SHARING PLAN
Plan identification number 001

DOUGHERTY & ASSOCIATES 401(K) PROFIT SHARING 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.
  • 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

DOUGHERTY & ASSOCIATES FINANCIAL ADVISORS INC has sponsored the creation of one or more 401k plans.

Company Name:DOUGHERTY & ASSOCIATES FINANCIAL ADVISORS INC
Employer identification number (EIN):455506530
NAIC Classification:523900

Form 5500 Filing Information

Submission information for form 5500 for 401k plan DOUGHERTY & ASSOCIATES 401(K) PROFIT SHARING PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator SignedName of Company SponsorDate Sponsor Signed
0012023-01-01DANNY DOUGHERTY2024-09-18 DANNY DOUGHERTY2024-09-18
0012022-01-01DANNY DOUGHERTY2023-02-13 DANNY DOUGHERTY2023-02-13
0012021-01-01DANNY DOUGHERTY2022-10-13 DANNY DOUGHERTY2022-10-13
0012020-01-01DILLON DOUGHERTY2021-08-09
0012019-01-01COREEN DOUGHERTY2020-07-16
0012018-01-01MICHEAL DOUGHERTY2019-06-25
0012017-01-01MICHEAL DOUGHERTY2018-07-26
0012016-01-01MICHEAL DOUGHERTY2017-07-19
0012015-01-01MICHEAL DOUGHERTY2016-07-20
0012014-01-01MICHAEL DOUGHERTY2015-06-17 MICHAEL DOUGHERTY2015-06-17
0012013-01-01COREEN DOUGHERTY2014-09-10 COREEN DOUGHERTY2014-09-10
0012012-01-01MICHAEL DOUGHERTY2013-05-28 MICHAEL DOUGHERTY2013-05-28
0012011-01-01MICHAEL DOUGHERTY2012-07-11 MICHAEL DOUGHERTY2012-07-12

Financial Data on DOUGHERTY & ASSOCIATES 401(K) PROFIT SHARING PLAN

Measure Date Value
2025 : DOUGHERTY & ASSOCIATES 401(K) PROFIT SHARING PLAN 2025 401k financial data
Total liabilities as of the end of the plan year2025-07-22101
Total expenses incurred by plan in this plan year2025-07-220
Net assets as of the end of the plan year2025-07-222124304
Total assets as of the beginning of the plan year2025-07-221519098
Value of plan covered by a fidelity bond2025-07-22125000
Participant contributions to plan in this plan year2025-07-2298782
Other expenses paid from plan in this plan year2025-07-220
Other income to plan in this plan year2025-07-22471629
Plan net income in this plan year2025-07-22605105
Net assets as of the end of the plan year2025-07-222124203
Net assets as of the beginning of the plan year2025-07-221519098
Employer contributions to plan in this plan year2025-07-2234694
Expensese paid to adminstrative service provicers from plan in this plan year2025-07-220
2024 : DOUGHERTY & ASSOCIATES 401(K) PROFIT SHARING PLAN 2024 401k financial data
Total liabilities as of the beginning of the plan year2024-09-180
Total expenses incurred by plan in this plan year2024-09-187584
Net assets as of the end of the plan year2024-09-181519098
Total assets as of the beginning of the plan year2024-09-181091211
Value of plan covered by a fidelity bond2024-09-18125000
Participant contributions to plan in this plan year2024-09-1894042
Other expenses paid from plan in this plan year2024-09-180
Other income to plan in this plan year2024-09-18305412
Plan net income in this plan year2024-09-18427887
Net assets as of the end of the plan year2024-09-181519098
Net assets as of the beginning of the plan year2024-09-181091211
Employer contributions to plan in this plan year2024-09-1836017
Expensese paid to adminstrative service provicers from plan in this plan year2024-09-180

Potentially related plans

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