CALDWELL AND PARTNERS INC has sponsored the creation of one or more 401k plans.
Submission information for form 5500 for 401k plan CALDWELL AND PARTNERS INC 401K PLAN
| Measure | Date | Value |
|---|
| 2017 : CALDWELL AND PARTNERS INC 401K PLAN 2017 401k financial data |
|---|
| Total unrealized appreciation/depreciation of assets | 2017-12-31 | $0 |
| Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2017-12-31 | $0 |
| Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2017-12-31 | $13,472 |
| Total income from all sources (including contributions) | 2017-12-31 | $-6,366,999 |
| Total loss/gain on sale of assets | 2017-12-31 | $0 |
| Total of all expenses incurred | 2017-12-31 | $1,280,382 |
| Benefit payments and payments to participlants,beneficiaries,insurance carriers and others | 2017-12-31 | $1,224,690 |
| Value of total corrective distributions | 2017-12-31 | $13,172 |
| Total contributions o plan (from employers,participants, others, non cash contrinutions) | 2017-12-31 | $543,095 |
| Value of total assets at end of year | 2017-12-31 | $2,757,960 |
| Value of total assets at beginning of year | 2017-12-31 | $10,418,813 |
| Total of administrative expenses incurred including professional, contract, advisory and management fees | 2017-12-31 | $42,520 |
| Total interest from all sources | 2017-12-31 | $10,606 |
| Total dividends received (eg from common stock, registered investment company shares) | 2017-12-31 | $89,127 |
| Has a resolution to terminate the plan been adopted during the plan year or any prior plan year | 2017-12-31 | No |
| Total dividends received from registered investment company shares (eg mutual funds) | 2017-12-31 | $89,127 |
| Administrative expenses professional fees incurred | 2017-12-31 | $42,520 |
| Was this plan covered by a fidelity bond | 2017-12-31 | Yes |
| Value of fidelity bond cover | 2017-12-31 | $500,000 |
| If this is an individual account plan, was there a blackout period | 2017-12-31 | Yes |
| Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities | 2017-12-31 | $0 |
| Were there any nonexempt tranactions with any party-in-interest | 2017-12-31 | No |
| Contributions received from participants | 2017-12-31 | $306,862 |
| Participant contributions at end of year | 2017-12-31 | $244,895 |
| Participant contributions at beginning of year | 2017-12-31 | $225,001 |
| Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year | 2017-12-31 | $0 |
| Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year | 2017-12-31 | $13,472 |
| Other income not declared elsewhere | 2017-12-31 | $-8,038,619 |
| Total non interest bearing cash at end of year | 2017-12-31 | $24,988 |
| Total non interest bearing cash at beginning of year | 2017-12-31 | $0 |
| Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser | 2017-12-31 | No |
| Value of net income/loss | 2017-12-31 | $-7,647,381 |
| Value of net assets at end of year (total assets less liabilities) | 2017-12-31 | $2,757,960 |
| Value of net assets at beginning of year (total assets less liabilities) | 2017-12-31 | $10,405,341 |
| Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond) | 2017-12-31 | Yes |
| Were any loans by the plan or fixed income obligations due to the plan in default | 2017-12-31 | No |
| Were any leases to which the plan was party in default or uncollectible | 2017-12-31 | No |
| Value of interest in registered invesment companies (eg mutual funds) at end of year | 2017-12-31 | $2,461,904 |
| Value of interest in registered invesment companies (eg mutual funds) at beginning of year | 2017-12-31 | $10,193,812 |
| Interest on participant loans | 2017-12-31 | $10,606 |
| Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year | 2017-12-31 | $26,173 |
| Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year | 2017-12-31 | $0 |
| Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year | 2017-12-31 | $0 |
| Net investment gain/loss from registered investment companies (e.g. mutual funds) | 2017-12-31 | $1,028,792 |
| Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets | 2017-12-31 | No |
| Was there a failure to transmit to the plan any participant contributions | 2017-12-31 | No |
| Has the plan failed to provide any benefit when due under the plan | 2017-12-31 | Yes |
| Contributions received in cash from employer | 2017-12-31 | $236,233 |
| Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers | 2017-12-31 | $1,224,690 |
| Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-3 | 2017-12-31 | Yes |
| Did the plan have assets held for investment | 2017-12-31 | Yes |
| Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser | 2017-12-31 | No |
| Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC | 2017-12-31 | No |
| Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d) | 2017-12-31 | Yes |
| Opinion of an independent qualified public accountant for this plan | 2017-12-31 | Disclaimer |
| Accountancy firm name | 2017-12-31 | HOGANTAYLOR LLP |
| Accountancy firm EIN | 2017-12-31 | 731413977 |
| 2016 : CALDWELL AND PARTNERS INC 401K PLAN 2016 401k financial data |
|---|
| Total unrealized appreciation/depreciation of assets | 2016-12-31 | $0 |
| Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2016-12-31 | $13,472 |
| Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2016-12-31 | $0 |
| Total income from all sources (including contributions) | 2016-12-31 | $1,184,618 |
| Total loss/gain on sale of assets | 2016-12-31 | $0 |
| Total of all expenses incurred | 2016-12-31 | $1,364,014 |
| Benefit payments and payments to participlants,beneficiaries,insurance carriers and others | 2016-12-31 | $1,332,614 |
| Total contributions o plan (from employers,participants, others, non cash contrinutions) | 2016-12-31 | $741,371 |
| Value of total assets at end of year | 2016-12-31 | $10,418,813 |
| Value of total assets at beginning of year | 2016-12-31 | $10,584,737 |
| Total of administrative expenses incurred including professional, contract, advisory and management fees | 2016-12-31 | $31,400 |
| Total interest from all sources | 2016-12-31 | $10,880 |
| Total dividends received (eg from common stock, registered investment company shares) | 2016-12-31 | $126,701 |
| Has a resolution to terminate the plan been adopted during the plan year or any prior plan year | 2016-12-31 | No |
| Total dividends received from registered investment company shares (eg mutual funds) | 2016-12-31 | $126,701 |
| Administrative expenses professional fees incurred | 2016-12-31 | $31,400 |
| Was this plan covered by a fidelity bond | 2016-12-31 | Yes |
| Value of fidelity bond cover | 2016-12-31 | $1,000,000 |
| If this is an individual account plan, was there a blackout period | 2016-12-31 | No |
| Were there any nonexempt tranactions with any party-in-interest | 2016-12-31 | No |
| Contributions received from participants | 2016-12-31 | $413,731 |
| Participant contributions at end of year | 2016-12-31 | $225,001 |
| Participant contributions at beginning of year | 2016-12-31 | $255,290 |
| Income. Received or receivable in cash from other sources (including rollovers) | 2016-12-31 | $7,412 |
| Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year | 2016-12-31 | $13,472 |
| Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser | 2016-12-31 | No |
| Value of net income/loss | 2016-12-31 | $-179,396 |
| Value of net assets at end of year (total assets less liabilities) | 2016-12-31 | $10,405,341 |
| Value of net assets at beginning of year (total assets less liabilities) | 2016-12-31 | $10,584,737 |
| Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond) | 2016-12-31 | No |
| Were any loans by the plan or fixed income obligations due to the plan in default | 2016-12-31 | No |
| Were any leases to which the plan was party in default or uncollectible | 2016-12-31 | No |
| Value of interest in registered invesment companies (eg mutual funds) at end of year | 2016-12-31 | $10,193,812 |
| Value of interest in registered invesment companies (eg mutual funds) at beginning of year | 2016-12-31 | $10,329,447 |
| Interest on participant loans | 2016-12-31 | $10,880 |
| Net investment gain/loss from registered investment companies (e.g. mutual funds) | 2016-12-31 | $305,666 |
| Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets | 2016-12-31 | No |
| Was there a failure to transmit to the plan any participant contributions | 2016-12-31 | No |
| Has the plan failed to provide any benefit when due under the plan | 2016-12-31 | No |
| Contributions received in cash from employer | 2016-12-31 | $320,228 |
| Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers | 2016-12-31 | $1,332,614 |
| Did the plan have assets held for investment | 2016-12-31 | Yes |
| Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser | 2016-12-31 | No |
| Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC | 2016-12-31 | No |
| Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d) | 2016-12-31 | Yes |
| Opinion of an independent qualified public accountant for this plan | 2016-12-31 | Disclaimer |
| Accountancy firm name | 2016-12-31 | RSM US LLP |
| Accountancy firm EIN | 2016-12-31 | 420714325 |
| 2015 : CALDWELL AND PARTNERS INC 401K PLAN 2015 401k financial data |
|---|
| Total unrealized appreciation/depreciation of assets | 2015-12-31 | $0 |
| Total transfer of assets to this plan | 2015-12-31 | $0 |
| Total transfer of assets from this plan | 2015-12-31 | $0 |
| Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2015-12-31 | $0 |
| Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2015-12-31 | $0 |
| Total income from all sources (including contributions) | 2015-12-31 | $664,942 |
| Total loss/gain on sale of assets | 2015-12-31 | $0 |
| Total of all expenses incurred | 2015-12-31 | $649,070 |
| Benefit payments and payments to participlants,beneficiaries,insurance carriers and others | 2015-12-31 | $614,842 |
| Total contributions o plan (from employers,participants, others, non cash contrinutions) | 2015-12-31 | $931,439 |
| Value of total assets at end of year | 2015-12-31 | $10,584,737 |
| Value of total assets at beginning of year | 2015-12-31 | $10,568,865 |
| Total of administrative expenses incurred including professional, contract, advisory and management fees | 2015-12-31 | $34,228 |
| Total interest from all sources | 2015-12-31 | $11,881 |
| Total dividends received (eg from common stock, registered investment company shares) | 2015-12-31 | $232,545 |
| Has a resolution to terminate the plan been adopted during the plan year or any prior plan year | 2015-12-31 | No |
| Total dividends received from registered investment company shares (eg mutual funds) | 2015-12-31 | $232,545 |
| Administrative expenses professional fees incurred | 2015-12-31 | $34,228 |
| Was this plan covered by a fidelity bond | 2015-12-31 | Yes |
| Value of fidelity bond cover | 2015-12-31 | $1,000,000 |
| If this is an individual account plan, was there a blackout period | 2015-12-31 | No |
| Were there any nonexempt tranactions with any party-in-interest | 2015-12-31 | No |
| Contributions received from participants | 2015-12-31 | $513,917 |
| Participant contributions at end of year | 2015-12-31 | $255,290 |
| Participant contributions at beginning of year | 2015-12-31 | $201,883 |
| Income. Received or receivable in cash from other sources (including rollovers) | 2015-12-31 | $33,865 |
| Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser | 2015-12-31 | No |
| Value of net income/loss | 2015-12-31 | $15,872 |
| Value of net assets at end of year (total assets less liabilities) | 2015-12-31 | $10,584,737 |
| Value of net assets at beginning of year (total assets less liabilities) | 2015-12-31 | $10,568,865 |
| Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond) | 2015-12-31 | No |
| Were any loans by the plan or fixed income obligations due to the plan in default | 2015-12-31 | No |
| Were any leases to which the plan was party in default or uncollectible | 2015-12-31 | No |
| Value of interest in registered invesment companies (eg mutual funds) at end of year | 2015-12-31 | $10,329,447 |
| Value of interest in registered invesment companies (eg mutual funds) at beginning of year | 2015-12-31 | $10,366,982 |
| Interest on participant loans | 2015-12-31 | $11,881 |
| Net investment gain/loss from registered investment companies (e.g. mutual funds) | 2015-12-31 | $-510,923 |
| Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets | 2015-12-31 | No |
| Was there a failure to transmit to the plan any participant contributions | 2015-12-31 | No |
| Has the plan failed to provide any benefit when due under the plan | 2015-12-31 | No |
| Contributions received in cash from employer | 2015-12-31 | $383,657 |
| Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers | 2015-12-31 | $614,842 |
| Did the plan have assets held for investment | 2015-12-31 | Yes |
| Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser | 2015-12-31 | No |
| Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC | 2015-12-31 | No |
| Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d) | 2015-12-31 | Yes |
| Opinion of an independent qualified public accountant for this plan | 2015-12-31 | Disclaimer |
| Accountancy firm name | 2015-12-31 | RSM US LLP |
| Accountancy firm EIN | 2015-12-31 | 420714325 |
| 2014 : CALDWELL AND PARTNERS INC 401K PLAN 2014 401k financial data |
|---|
| Total unrealized appreciation/depreciation of assets | 2014-12-31 | $0 |
| Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2014-12-31 | $0 |
| Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2014-12-31 | $0 |
| Total income from all sources (including contributions) | 2014-12-31 | $1,426,241 |
| Total loss/gain on sale of assets | 2014-12-31 | $19,685 |
| Total of all expenses incurred | 2014-12-31 | $1,259,134 |
| Benefit payments and payments to participlants,beneficiaries,insurance carriers and others | 2014-12-31 | $1,213,504 |
| Total contributions o plan (from employers,participants, others, non cash contrinutions) | 2014-12-31 | $1,023,479 |
| Value of total assets at end of year | 2014-12-31 | $10,568,864 |
| Value of total assets at beginning of year | 2014-12-31 | $10,401,757 |
| Total of administrative expenses incurred including professional, contract, advisory and management fees | 2014-12-31 | $45,630 |
| Total interest from all sources | 2014-12-31 | $5,478 |
| Total dividends received (eg from common stock, registered investment company shares) | 2014-12-31 | $259,723 |
| Total dividends received from registered investment company shares (eg mutual funds) | 2014-12-31 | $259,723 |
| Administrative expenses professional fees incurred | 2014-12-31 | $44,620 |
| Was this plan covered by a fidelity bond | 2014-12-31 | Yes |
| Value of fidelity bond cover | 2014-12-31 | $1,000,000 |
| If this is an individual account plan, was there a blackout period | 2014-12-31 | No |
| Were there any nonexempt tranactions with any party-in-interest | 2014-12-31 | No |
| Contributions received from participants | 2014-12-31 | $547,663 |
| Participant contributions at end of year | 2014-12-31 | $201,883 |
| Participant contributions at beginning of year | 2014-12-31 | $148,446 |
| Income. Received or receivable in cash from other sources (including rollovers) | 2014-12-31 | $79,398 |
| Other income not declared elsewhere | 2014-12-31 | $749 |
| Administrative expenses (other) incurred | 2014-12-31 | $1,010 |
| Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser | 2014-12-31 | No |
| Value of net income/loss | 2014-12-31 | $167,107 |
| Value of net assets at end of year (total assets less liabilities) | 2014-12-31 | $10,568,864 |
| Value of net assets at beginning of year (total assets less liabilities) | 2014-12-31 | $10,401,757 |
| Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond) | 2014-12-31 | No |
| Were any loans by the plan or fixed income obligations due to the plan in default | 2014-12-31 | No |
| Were any leases to which the plan was party in default or uncollectible | 2014-12-31 | No |
| Value of interest in registered invesment companies (eg mutual funds) at end of year | 2014-12-31 | $10,366,981 |
| Value of interest in registered invesment companies (eg mutual funds) at beginning of year | 2014-12-31 | $10,253,311 |
| Interest on participant loans | 2014-12-31 | $5,478 |
| Net investment gain/loss from registered investment companies (e.g. mutual funds) | 2014-12-31 | $117,127 |
| Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets | 2014-12-31 | No |
| Was there a failure to transmit to the plan any participant contributions | 2014-12-31 | No |
| Has the plan failed to provide any benefit when due under the plan | 2014-12-31 | No |
| Contributions received in cash from employer | 2014-12-31 | $396,418 |
| Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers | 2014-12-31 | $1,213,504 |
| Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-3 | 2014-12-31 | No |
| Did the plan have assets held for investment | 2014-12-31 | Yes |
| Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser | 2014-12-31 | No |
| Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC | 2014-12-31 | No |
| Aggregate proceeds on sale of assets | 2014-12-31 | $3,621,163 |
| Aggregate carrying amount (costs) on sale of assets | 2014-12-31 | $3,601,478 |
| Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d) | 2014-12-31 | Yes |
| Opinion of an independent qualified public accountant for this plan | 2014-12-31 | Disclaimer |
| Accountancy firm name | 2014-12-31 | MCGLADREY LLP |
| Accountancy firm EIN | 2014-12-31 | 420714325 |
| 2013 : CALDWELL AND PARTNERS INC 401K PLAN 2013 401k financial data |
|---|
| Total unrealized appreciation/depreciation of assets | 2013-12-31 | $0 |
| Total transfer of assets to this plan | 2013-12-31 | $9,225,995 |
| Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2013-12-31 | $0 |
| Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2013-12-31 | $0 |
| Total income from all sources (including contributions) | 2013-12-31 | $2,060,051 |
| Total loss/gain on sale of assets | 2013-12-31 | $134,621 |
| Total of all expenses incurred | 2013-12-31 | $884,289 |
| Benefit payments and payments to participlants,beneficiaries,insurance carriers and others | 2013-12-31 | $849,382 |
| Total contributions o plan (from employers,participants, others, non cash contrinutions) | 2013-12-31 | $960,725 |
| Value of total assets at end of year | 2013-12-31 | $10,401,757 |
| Value of total assets at beginning of year | 2013-12-31 | $0 |
| Total of administrative expenses incurred including professional, contract, advisory and management fees | 2013-12-31 | $34,907 |
| Total interest from all sources | 2013-12-31 | $0 |
| Total dividends received (eg from common stock, registered investment company shares) | 2013-12-31 | $170,050 |
| Has a resolution to terminate the plan been adopted during the plan year or any prior plan year | 2013-12-31 | No |
| Total dividends received from registered investment company shares (eg mutual funds) | 2013-12-31 | $170,050 |
| Administrative expenses professional fees incurred | 2013-12-31 | $34,907 |
| Was this plan covered by a fidelity bond | 2013-12-31 | Yes |
| Value of fidelity bond cover | 2013-12-31 | $1,000,000 |
| If this is an individual account plan, was there a blackout period | 2013-12-31 | No |
| Were there any nonexempt tranactions with any party-in-interest | 2013-12-31 | No |
| Contributions received from participants | 2013-12-31 | $539,202 |
| Participant contributions at end of year | 2013-12-31 | $148,446 |
| Participant contributions at beginning of year | 2013-12-31 | $0 |
| Income. Received or receivable in cash from other sources (including rollovers) | 2013-12-31 | $39,618 |
| Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser | 2013-12-31 | No |
| Value of net income/loss | 2013-12-31 | $1,175,762 |
| Value of net assets at end of year (total assets less liabilities) | 2013-12-31 | $10,401,757 |
| Value of net assets at beginning of year (total assets less liabilities) | 2013-12-31 | $0 |
| Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond) | 2013-12-31 | No |
| Were any loans by the plan or fixed income obligations due to the plan in default | 2013-12-31 | No |
| Were any leases to which the plan was party in default or uncollectible | 2013-12-31 | No |
| Value of interest in registered invesment companies (eg mutual funds) at end of year | 2013-12-31 | $10,253,311 |
| Value of interest in registered invesment companies (eg mutual funds) at beginning of year | 2013-12-31 | $0 |
| Net investment gain/loss from registered investment companies (e.g. mutual funds) | 2013-12-31 | $794,655 |
| Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets | 2013-12-31 | No |
| Was there a failure to transmit to the plan any participant contributions | 2013-12-31 | No |
| Has the plan failed to provide any benefit when due under the plan | 2013-12-31 | No |
| Contributions received in cash from employer | 2013-12-31 | $381,905 |
| Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers | 2013-12-31 | $849,382 |
| Did the plan have assets held for investment | 2013-12-31 | Yes |
| Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser | 2013-12-31 | No |
| Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC | 2013-12-31 | No |
| Aggregate proceeds on sale of assets | 2013-12-31 | $3,080,270 |
| Aggregate carrying amount (costs) on sale of assets | 2013-12-31 | $2,945,649 |
| Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d) | 2013-12-31 | Yes |
| Opinion of an independent qualified public accountant for this plan | 2013-12-31 | Disclaimer |
| Accountancy firm name | 2013-12-31 | COLE AND REED PC |
| Accountancy firm EIN | 2013-12-31 | 731312422 |
