401k Plan data: CARDINAL POINTE FINANCIAL GROUP 401(K) PLAN plan

CARDINAL POINTE FINANCIAL GROUP 401(K) PLAN 401k Plan overview

Plan Name	CARDINAL POINTE FINANCIAL GROUP 401(K) PLAN
Plan identification number	001

CARDINAL POINTE FINANCIAL GROUP 401(K) PLAN Benefits

401k Plan Type

Defined Contribution Pension

Plan Features/Benefits

Age/Service Weighted or new comparability or similar plan - Age/Service Weighted Plan: Allocations are based on age, service, or age and service. New comparability or similar plan: Allocations are based on participant classifications and a classification(s) consists entirely or predominantly of highly compensated employees; or the plan provides an additional allocation rate on compensation above a specified threshold, and the theshold or additional rate exceeds the maximum threshold or rate allowed under the permitted disparity rules of section 401(l).
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.
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

HEICK, HESTER, SMITH AND ASSOCIATES has sponsored the creation of one or more 401k plans.

Company Name: HEICK, HESTER, SMITH AND ASSOCIATES

Employer identification number (EIN): 611275187

NAIC Classification: 523900

Form 5500 Filing Information

Submission information for form 5500 for 401k plan CARDINAL POINTE FINANCIAL GROUP 401(K) PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2023-01-01
001 2022-01-01
001 2021-01-01
001 2020-01-01
001 2019-01-01
001 2018-01-01
001 2017-01-01
001 2016-01-01 JOHN W. SMITH 2017-02-13 JOHN W. SMITH 2017-02-13
001 2015-01-01 JOHN W. SMITH 2016-07-06 JOHN W. SMITH 2016-07-06
001 2014-01-01 JOHN W. SMITH 2015-08-07 JOHN W. SMITH 2015-08-07
001 2013-01-01 JOHN W. SMITH 2014-05-07 JOHN W SMITH 2014-05-07
001 2012-01-01 JOHN W. SMITH 2013-08-01
001 2011-01-01 JOHN W. SMITH 2012-08-07 JOHN W. SMITH 2012-08-07
001 2010-01-01 JOHN W. SMITH 2011-07-27

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed	Name of Company Sponsor	Date Sponsor Signed
001	2023-01-01
001	2022-01-01
001	2021-01-01
001	2020-01-01
001	2019-01-01
001	2018-01-01
001	2017-01-01
001	2016-01-01	JOHN W. SMITH	2017-02-13	JOHN W. SMITH	2017-02-13
001	2015-01-01	JOHN W. SMITH	2016-07-06	JOHN W. SMITH	2016-07-06
001	2014-01-01	JOHN W. SMITH	2015-08-07	JOHN W. SMITH	2015-08-07
001	2013-01-01	JOHN W. SMITH	2014-05-07	JOHN W SMITH	2014-05-07
001	2012-01-01	JOHN W. SMITH	2013-08-01
001	2011-01-01	JOHN W. SMITH	2012-08-07	JOHN W. SMITH	2012-08-07
001	2010-01-01	JOHN W. SMITH	2011-07-27

Plan Statistics for CARDINAL POINTE FINANCIAL GROUP 401(K) PLAN

401k plan membership statisitcs for CARDINAL POINTE FINANCIAL GROUP 401(K) PLAN

Measure Date Value
2025: CARDINAL POINTE FINANCIAL GROUP 401(K) PLAN 2025 401k membership
Total number of particpants at beginning of year 2025-07-24 47
Total number of particpants at end of year 2025-07-24 46
Number of Participants With Account Balances 2025-07-24 38
2024: CARDINAL POINTE FINANCIAL GROUP 401(K) PLAN 2024 401k membership
Total number of particpants at beginning of year 2024-07-17 46
Total number of particpants at end of year 2024-07-17 46
Number of Participants With Account Balances 2024-07-17 37
2022: CARDINAL POINTE FINANCIAL GROUP 401(K) PLAN 2022 401k membership
Total number of particpants at beginning of year 2022-07-04 38
Total number of particpants at end of year 2022-07-04 38
Number of Participants With Account Balances 2022-07-04 35

Measure	Date	Value
2025: CARDINAL POINTE FINANCIAL GROUP 401(K) PLAN 2025 401k membership
Total number of particpants at beginning of year	2025-07-24	47
Total number of particpants at end of year	2025-07-24	46
Number of Participants With Account Balances	2025-07-24	38
2024: CARDINAL POINTE FINANCIAL GROUP 401(K) PLAN 2024 401k membership
Total number of particpants at beginning of year	2024-07-17	46
Total number of particpants at end of year	2024-07-17	46
Number of Participants With Account Balances	2024-07-17	37
2022: CARDINAL POINTE FINANCIAL GROUP 401(K) PLAN 2022 401k membership
Total number of particpants at beginning of year	2022-07-04	38
Total number of particpants at end of year	2022-07-04	38
Number of Participants With Account Balances	2022-07-04	35

Financial Data on CARDINAL POINTE FINANCIAL GROUP 401(K) PLAN

Measure	Date	Value
2025 : CARDINAL POINTE FINANCIAL GROUP 401(K) PLAN 2025 401k financial data
Total expenses incurred by plan in this plan year	2025-07-24	413085
Net assets as of the end of the plan year	2025-07-24	7068319
Total assets as of the beginning of the plan year	2025-07-24	5829350
Value of plan covered by a fidelity bond	2025-07-24	500000
Participant contributions to plan in this plan year	2025-07-24	351967
Value of participant loans at end of plan year	2025-07-24	60781
Other contributions to plan in this plan year	2025-07-24	168805
Other income to plan in this plan year	2025-07-24	976166
Plan net income in this plan year	2025-07-24	1238969
Net assets as of the end of the plan year	2025-07-24	7068319
Net assets as of the beginning of the plan year	2025-07-24	5829350
Employer contributions to plan in this plan year	2025-07-24	155116
Fees paid to broker by Benefit Provider	2025-07-24	3621
Expensese paid to adminstrative service provicers from plan in this plan year	2025-07-24	890
2024 : CARDINAL POINTE FINANCIAL GROUP 401(K) PLAN 2024 401k financial data
Total expenses incurred by plan in this plan year	2024-07-17	588458
Net assets as of the end of the plan year	2024-07-17	5829350
Total assets as of the beginning of the plan year	2024-07-17	4894924
Value of plan covered by a fidelity bond	2024-07-17	500000
Participant contributions to plan in this plan year	2024-07-17	364102
Value of participant loans at end of plan year	2024-07-17	92170
Other income to plan in this plan year	2024-07-17	993872
Plan net income in this plan year	2024-07-17	934426
Net assets as of the end of the plan year	2024-07-17	5829350
Net assets as of the beginning of the plan year	2024-07-17	4894924
Employer contributions to plan in this plan year	2024-07-17	164910
Fees paid to broker by Benefit Provider	2024-07-17	3458
Expensese paid to adminstrative service provicers from plan in this plan year	2024-07-17	1274
2022 : CARDINAL POINTE FINANCIAL GROUP 401(K) PLAN 2022 401k financial data
Total expenses incurred by plan in this plan year	2022-07-04	52639
Net assets as of the end of the plan year	2022-07-04	5508869
Total assets as of the beginning of the plan year	2022-07-04	4410187
Value of plan covered by a fidelity bond	2022-07-04	500000
Participant contributions to plan in this plan year	2022-07-04	286679
Value of participant loans at end of plan year	2022-07-04	49897
Other income to plan in this plan year	2022-07-04	733113
Plan net income in this plan year	2022-07-04	1098682
Net assets as of the end of the plan year	2022-07-04	5508869
Net assets as of the beginning of the plan year	2022-07-04	4410187
Employer contributions to plan in this plan year	2022-07-04	131529
Fees paid to broker by Benefit Provider	2022-07-04	1772
Expensese paid to adminstrative service provicers from plan in this plan year	2022-07-04	186

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Company Name:	HEICK, HESTER, SMITH AND ASSOCIATES
Employer identification number (EIN):	611275187
NAIC Classification:	523900