401k Plan data: FIRST SOUTHWEST COMPANY EMPLOYEES' RETIREMENT PLAN plan

FIRST SOUTHWEST COMPANY EMPLOYEES' RETIREMENT PLAN 401k Plan overview

Plan Name	FIRST SOUTHWEST COMPANY EMPLOYEES' RETIREMENT PLAN
Plan identification number	001

FIRST SOUTHWEST COMPANY EMPLOYEES' RETIREMENT 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.
Plan provides for automatic enrollment in plan that has employee contributions deducted from payroll.
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

FIRST SOUTHWEST COMPANY, LLC has sponsored the creation of one or more 401k plans.

Company Name: FIRST SOUTHWEST COMPANY, LLC

Employer identification number (EIN): 750708002

NAIC Classification: 523110
NAIC Description: Investment Banking and Securities Dealing

Additional information about FIRST SOUTHWEST COMPANY, LLC

Jurisdiction of Incorporation: State of Delaware Division of Corporations

Incorporation Date:

Company Identification Number: 3715039

More information about FIRST SOUTHWEST COMPANY, LLC

Form 5500 Filing Information

Submission information for form 5500 for 401k plan FIRST SOUTHWEST COMPANY EMPLOYEES' RETIREMENT PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2015-01-01 K. JILL PEARSON HILL A FEINBERG 2016-10-10
001 2014-01-01 CRYSTAL GRAY-MORRIS
001 2013-01-01 DEBORAH CODDINGTON
001 2012-01-01 CRYSTAL FOSTER CRYSTAL FOSTER 2013-10-02
001 2011-01-01 CRYSTAL FOSTER
001 2009-01-01 CRYSTAL GRAY

Plan id#	Filing Submission Date	Name of Administrator	Name of Company Sponsor	Date Sponsor Signed
001	2015-01-01	K. JILL PEARSON	HILL A FEINBERG	2016-10-10
001	2014-01-01	CRYSTAL GRAY-MORRIS
001	2013-01-01	DEBORAH CODDINGTON
001	2012-01-01	CRYSTAL FOSTER	CRYSTAL FOSTER	2013-10-02
001	2011-01-01	CRYSTAL FOSTER
001	2009-01-01	CRYSTAL GRAY

Plan Statistics for FIRST SOUTHWEST COMPANY EMPLOYEES' RETIREMENT PLAN

401k plan membership statisitcs for FIRST SOUTHWEST COMPANY EMPLOYEES' RETIREMENT PLAN

Measure Date Value
2015: FIRST SOUTHWEST COMPANY EMPLOYEES' RETIREMENT PLAN 2015 401k membership
Total participants, beginning-of-year 2015-01-01 491
Total number of active participants reported on line 7a of the Form 5500 2015-01-01 0
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 0
Total of all active and inactive participants 2015-01-01 0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2015-01-01 0
Total participants 2015-01-01 0
Number of participants with account balances 2015-01-01 0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2015-01-01 0
2014: FIRST SOUTHWEST COMPANY EMPLOYEES' RETIREMENT PLAN 2014 401k membership
Total participants, beginning-of-year 2014-01-01 443
Total number of active participants reported on line 7a of the Form 5500 2014-01-01 401
Number of retired or separated participants receiving benefits 2014-01-01 1
Number of other retired or separated participants entitled to future benefits 2014-01-01 89
Total of all active and inactive participants 2014-01-01 491
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2014-01-01 0
Total participants 2014-01-01 491
Number of participants with account balances 2014-01-01 422
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2014-01-01 16
2013: FIRST SOUTHWEST COMPANY EMPLOYEES' RETIREMENT PLAN 2013 401k membership
Total participants, beginning-of-year 2013-01-01 459
Total number of active participants reported on line 7a of the Form 5500 2013-01-01 364
Number of retired or separated participants receiving benefits 2013-01-01 0
Number of other retired or separated participants entitled to future benefits 2013-01-01 79
Total of all active and inactive participants 2013-01-01 443
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2013-01-01 0
Total participants 2013-01-01 443
Number of participants with account balances 2013-01-01 381
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2013-01-01 16
2012: FIRST SOUTHWEST COMPANY EMPLOYEES' RETIREMENT PLAN 2012 401k membership
Total participants, beginning-of-year 2012-01-01 430
Total number of active participants reported on line 7a of the Form 5500 2012-01-01 375
Number of retired or separated participants receiving benefits 2012-01-01 0
Number of other retired or separated participants entitled to future benefits 2012-01-01 84
Total of all active and inactive participants 2012-01-01 459
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2012-01-01 0
Total participants 2012-01-01 459
Number of participants with account balances 2012-01-01 384
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2012-01-01 14
2011: FIRST SOUTHWEST COMPANY EMPLOYEES' RETIREMENT PLAN 2011 401k membership
Total participants, beginning-of-year 2011-01-01 423
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 347
Number of retired or separated participants receiving benefits 2011-01-01 0
Number of other retired or separated participants entitled to future benefits 2011-01-01 83
Total of all active and inactive participants 2011-01-01 430
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-01-01 0
Total participants 2011-01-01 430
Number of participants with account balances 2011-01-01 366
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-01-01 14
2009: FIRST SOUTHWEST COMPANY EMPLOYEES' RETIREMENT PLAN 2009 401k membership
Total participants, beginning-of-year 2009-01-01 405
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 330
Number of retired or separated participants receiving benefits 2009-01-01 0
Number of other retired or separated participants entitled to future benefits 2009-01-01 71
Total of all active and inactive participants 2009-01-01 401
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-01-01 1
Total participants 2009-01-01 402
Number of participants with account balances 2009-01-01 350
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-01-01 14

Measure	Date	Value
2015: FIRST SOUTHWEST COMPANY EMPLOYEES' RETIREMENT PLAN 2015 401k membership
Total participants, beginning-of-year	2015-01-01	491
Total number of active participants reported on line 7a of the Form 5500	2015-01-01	0
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	0
Total of all active and inactive participants	2015-01-01	0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2015-01-01	0
Total participants	2015-01-01	0
Number of participants with account balances	2015-01-01	0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2015-01-01	0
2014: FIRST SOUTHWEST COMPANY EMPLOYEES' RETIREMENT PLAN 2014 401k membership
Total participants, beginning-of-year	2014-01-01	443
Total number of active participants reported on line 7a of the Form 5500	2014-01-01	401
Number of retired or separated participants receiving benefits	2014-01-01	1
Number of other retired or separated participants entitled to future benefits	2014-01-01	89
Total of all active and inactive participants	2014-01-01	491
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2014-01-01	0
Total participants	2014-01-01	491
Number of participants with account balances	2014-01-01	422
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2014-01-01	16
2013: FIRST SOUTHWEST COMPANY EMPLOYEES' RETIREMENT PLAN 2013 401k membership
Total participants, beginning-of-year	2013-01-01	459
Total number of active participants reported on line 7a of the Form 5500	2013-01-01	364
Number of retired or separated participants receiving benefits	2013-01-01	0
Number of other retired or separated participants entitled to future benefits	2013-01-01	79
Total of all active and inactive participants	2013-01-01	443
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2013-01-01	0
Total participants	2013-01-01	443
Number of participants with account balances	2013-01-01	381
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2013-01-01	16
2012: FIRST SOUTHWEST COMPANY EMPLOYEES' RETIREMENT PLAN 2012 401k membership
Total participants, beginning-of-year	2012-01-01	430
Total number of active participants reported on line 7a of the Form 5500	2012-01-01	375
Number of retired or separated participants receiving benefits	2012-01-01	0
Number of other retired or separated participants entitled to future benefits	2012-01-01	84
Total of all active and inactive participants	2012-01-01	459
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2012-01-01	0
Total participants	2012-01-01	459
Number of participants with account balances	2012-01-01	384
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2012-01-01	14
2011: FIRST SOUTHWEST COMPANY EMPLOYEES' RETIREMENT PLAN 2011 401k membership
Total participants, beginning-of-year	2011-01-01	423
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	347
Number of retired or separated participants receiving benefits	2011-01-01	0
Number of other retired or separated participants entitled to future benefits	2011-01-01	83
Total of all active and inactive participants	2011-01-01	430
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-01-01	0
Total participants	2011-01-01	430
Number of participants with account balances	2011-01-01	366
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-01-01	14
2009: FIRST SOUTHWEST COMPANY EMPLOYEES' RETIREMENT PLAN 2009 401k membership
Total participants, beginning-of-year	2009-01-01	405
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	330
Number of retired or separated participants receiving benefits	2009-01-01	0
Number of other retired or separated participants entitled to future benefits	2009-01-01	71
Total of all active and inactive participants	2009-01-01	401
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-01-01	1
Total participants	2009-01-01	402
Number of participants with account balances	2009-01-01	350
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-01-01	14

Financial Data on FIRST SOUTHWEST COMPANY EMPLOYEES' RETIREMENT PLAN

Measure	Date	Value
2015 : FIRST SOUTHWEST COMPANY EMPLOYEES' RETIREMENT PLAN 2015 401k financial data
Unrealized appreciation/depreciation of real estate assets	2015-12-31	$0
Unrealized appreciation/depreciation of other (non real estate) assets	2015-12-31	$-551,785
Total unrealized appreciation/depreciation of assets	2015-12-31	$-551,785
Total transfer of assets to this plan	2015-12-31	$0
Total transfer of assets from this plan	2015-12-31	$65,801,373
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
Expenses. Interest paid	2015-12-31	$0
Amount of participant contributions which was failed to transmit to the plan within the time period described in 29 CFR 251.3-102	2015-12-31	$0
Total income from all sources (including contributions)	2015-12-31	$3,959,281
Total loss/gain on sale of assets	2015-12-31	$-13,094
Total of all expenses incurred	2015-12-31	$3,305,773
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2015-12-31	$3,319,385
Expenses. Certain deemed distributions of participant loans	2015-12-31	$730
Value of total corrective distributions	2015-12-31	$0
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2015-12-31	$5,110,546
Value of total assets at end of year	2015-12-31	$0
Value of total assets at beginning of year	2015-12-31	$65,147,865
Total of administrative expenses incurred including professional, contract, advisory and management fees	2015-12-31	$-14,342
Total income from rents	2015-12-31	$0
Total interest from all sources	2015-12-31	$27,395
Total dividends received (eg from common stock, registered investment company shares)	2015-12-31	$2,298,966
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	$2,191,559
Assets. Real estate other than employer real property at end of year	2015-12-31	$0
Assets. Real estate other than employer real property at beginning of year	2015-12-31	$0
Administrative expenses professional fees incurred	2015-12-31	$0
Assets. Corporate prefeered stocks other than exployer securities at end of year	2015-12-31	$0
Assets. Corporate prefeered stocks other than exployer securities at beginning of year	2015-12-31	$0
Was this plan covered by a fidelity bond	2015-12-31	Yes
Value of fidelity bond cover	2015-12-31	$5,000,000
If this is an individual account plan, was there a blackout period	2015-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2015-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2015-12-31	No
Contributions received from participants	2015-12-31	$3,645,232
Participant contributions at end of year	2015-12-31	$0
Participant contributions at beginning of year	2015-12-31	$622,260
Participant contributions at end of year	2015-12-31	$0
Participant contributions at beginning of year	2015-12-31	$63,765
Assets. Other investments not covered elsewhere at end of year	2015-12-31	$0
Assets. Other investments not covered elsewhere at beginning of year	2015-12-31	$5,244
Income. Received or receivable in cash from other sources (including rollovers)	2015-12-31	$40,369
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)	2015-12-31	$0
Value of other receiveables (less allowance for doubtful accounts) at end of year	2015-12-31	$0
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2015-12-31	$0
Assets. Loans (other than to participants) at end of year	2015-12-31	$0
Assets. Loans (other than to participants) at beginning of year	2015-12-31	$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2015-12-31	$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2015-12-31	$0
Other income not declared elsewhere	2015-12-31	$48,968
Administrative expenses (other) incurred	2015-12-31	$-14,342
Liabilities. Value of operating payables at end of year	2015-12-31	$0
Liabilities. Value of operating payables at beginning of year	2015-12-31	$0
Total non interest bearing cash at end of year	2015-12-31	$0
Total non interest bearing cash at beginning of year	2015-12-31	$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	2015-12-31	No
Income. Non cash contributions	2015-12-31	$0
Value of net income/loss	2015-12-31	$653,508
Value of net assets at end of year (total assets less liabilities)	2015-12-31	$0
Value of net assets at beginning of year (total assets less liabilities)	2015-12-31	$65,147,865
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
Assets. partnership/joint venture interests at end of year	2015-12-31	$0
Assets. partnership/joint venture interests at beginning of year	2015-12-31	$0
Investment advisory and management fees	2015-12-31	$0
Value of interest in registered invesment companies (eg mutual funds) at end of year	2015-12-31	$0
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2015-12-31	$48,207,151
Value of interest in pooled separate accounts at end of year	2015-12-31	$0
Value of interest in pooled separate accounts at beginning of year	2015-12-31	$0
Interest on participant loans	2015-12-31	$26,367
Income. Interest from loans (other than to participants)	2015-12-31	$0
Interest earned on other investments	2015-12-31	$0
Income. Interest from US Government securities	2015-12-31	$0
Income. Interest from corporate debt instruments	2015-12-31	$0
Value of interest in master investment trust accounts at end of year	2015-12-31	$0
Value of interest in master investment trust accounts at beginning of year	2015-12-31	$0
Value of interest in common/collective trusts at end of year	2015-12-31	$0
Value of interest in common/collective trusts at beginning of year	2015-12-31	$0
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2015-12-31	$0
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2015-12-31	$10,048,529
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2015-12-31	$10,048,529
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2015-12-31	$1,028
Assets. Value of investments in 103.12 investment entities at end of year	2015-12-31	$0
Assets. Value of investments in 103.12 investment entities at beginning of year	2015-12-31	$0
Expenses. Payments to insurance carriers foe the provision of benefits	2015-12-31	$0
Asset value of US Government securities at end of year	2015-12-31	$0
Asset value of US Government securities at beginning of year	2015-12-31	$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2015-12-31	$-2,961,715
Net investment gain/loss from pooled separate accounts	2015-12-31	$0
Net investment gain or loss from common/collective trusts	2015-12-31	$0
Net gain/loss from 103.12 investment entities	2015-12-31	$0
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
Assets. Invements in employer securities at end of year	2015-12-31	$0
Assets. Invements in employer securities at beginning of year	2015-12-31	$0
Assets. Value of employer real property at end of year	2015-12-31	$0
Assets. Value of employer real property at beginning of year	2015-12-31	$0
Contributions received in cash from employer	2015-12-31	$1,424,945
Employer contributions (assets) at end of year	2015-12-31	$0
Employer contributions (assets) at beginning of year	2015-12-31	$204,411
Income. Dividends from preferred stock	2015-12-31	$0
Income. Dividends from common stock	2015-12-31	$107,407
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2015-12-31	$3,319,385
Asset. Corporate debt instrument preferred debt at end of year	2015-12-31	$0
Asset. Corporate debt instrument preferred debt at beginning of year	2015-12-31	$0
Asset. Corporate debt instrument debt (other) at end of year	2015-12-31	$0
Asset. Corporate debt instrument debt (other) at beginning of year	2015-12-31	$0
Contract administrator fees	2015-12-31	$0
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	2015-12-31	No
Assets. Corporate common stocks other than exployer securities at end of year	2015-12-31	$0
Assets. Corporate common stocks other than exployer securities at beginning of year	2015-12-31	$5,996,505
Liabilities. Value of benefit claims payable at end of year	2015-12-31	$0
Liabilities. Value of benefit claims payable at beginning of year	2015-12-31	$0
Assets. Value of buildings and other operty used in plan operation at end of year	2015-12-31	$0
Assets. Value of buildings and other operty used in plan operation at beginning of year	2015-12-31	$0
Did the plan have assets held for investment	2015-12-31	No
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
Aggregate proceeds on sale of assets	2015-12-31	$2,898,360
Aggregate carrying amount (costs) on sale of assets	2015-12-31	$2,911,454
Liabilities. Value of acquisition indebtedness at end of year	2015-12-31	$0
Liabilities. Value of acquisition indebtedness at beginning of year	2015-12-31	$0
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	LANE GORMAN TRUBITT PLLP
Accountancy firm EIN	2015-12-31	751044330
2014 : FIRST SOUTHWEST COMPANY EMPLOYEES' RETIREMENT PLAN 2014 401k financial data
Unrealized appreciation/depreciation of real estate assets	2014-12-31	$0
Unrealized appreciation/depreciation of other (non real estate) assets	2014-12-31	$98,694
Total unrealized appreciation/depreciation of assets	2014-12-31	$98,694
Total transfer of assets to this plan	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
Expenses. Interest paid	2014-12-31	$0
Amount of participant contributions which was failed to transmit to the plan within the time period described in 29 CFR 251.3-102	2014-12-31	$0
Total income from all sources (including contributions)	2014-12-31	$8,264,730
Total loss/gain on sale of assets	2014-12-31	$-125,191
Total of all expenses incurred	2014-12-31	$1,018,014
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2014-12-31	$1,014,682
Expenses. Certain deemed distributions of participant loans	2014-12-31	$0
Value of total corrective distributions	2014-12-31	$0
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2014-12-31	$5,156,195
Value of total assets at end of year	2014-12-31	$65,147,865
Value of total assets at beginning of year	2014-12-31	$57,901,149
Total of administrative expenses incurred including professional, contract, advisory and management fees	2014-12-31	$3,332
Total income from rents	2014-12-31	$0
Total interest from all sources	2014-12-31	$28,338
Total dividends received (eg from common stock, registered investment company shares)	2014-12-31	$2,679,027
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2014-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2014-12-31	$2,599,278
Assets. Real estate other than employer real property at end of year	2014-12-31	$0
Assets. Real estate other than employer real property at beginning of year	2014-12-31	$0
Administrative expenses professional fees incurred	2014-12-31	$0
Assets. Corporate prefeered stocks other than exployer securities at end of year	2014-12-31	$0
Assets. Corporate prefeered stocks other than exployer securities at beginning of year	2014-12-31	$0
Was this plan covered by a fidelity bond	2014-12-31	Yes
Value of fidelity bond cover	2014-12-31	$5,000,000
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	$3,405,271
Participant contributions at end of year	2014-12-31	$622,260
Participant contributions at beginning of year	2014-12-31	$668,735
Participant contributions at end of year	2014-12-31	$63,765
Participant contributions at beginning of year	2014-12-31	$48,667
Assets. Other investments not covered elsewhere at end of year	2014-12-31	$5,244
Assets. Other investments not covered elsewhere at beginning of year	2014-12-31	$4,314
Income. Received or receivable in cash from other sources (including rollovers)	2014-12-31	$247,676
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)	2014-12-31	$0
Value of other receiveables (less allowance for doubtful accounts) at end of year	2014-12-31	$0
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2014-12-31	$0
Assets. Loans (other than to participants) at end of year	2014-12-31	$0
Assets. Loans (other than to participants) at beginning of year	2014-12-31	$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2014-12-31	$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2014-12-31	$0
Other income not declared elsewhere	2014-12-31	$0
Administrative expenses (other) incurred	2014-12-31	$3,332
Liabilities. Value of operating payables at end of year	2014-12-31	$0
Liabilities. Value of operating payables at beginning of year	2014-12-31	$0
Total non interest bearing cash at end of year	2014-12-31	$0
Total non interest bearing cash at beginning of year	2014-12-31	$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	2014-12-31	No
Income. Non cash contributions	2014-12-31	$0
Value of net income/loss	2014-12-31	$7,246,716
Value of net assets at end of year (total assets less liabilities)	2014-12-31	$65,147,865
Value of net assets at beginning of year (total assets less liabilities)	2014-12-31	$57,901,149
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
Assets. partnership/joint venture interests at end of year	2014-12-31	$0
Assets. partnership/joint venture interests at beginning of year	2014-12-31	$0
Investment advisory and management fees	2014-12-31	$0
Value of interest in registered invesment companies (eg mutual funds) at end of year	2014-12-31	$48,207,151
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2014-12-31	$42,516,981
Value of interest in pooled separate accounts at end of year	2014-12-31	$0
Value of interest in pooled separate accounts at beginning of year	2014-12-31	$0
Interest on participant loans	2014-12-31	$27,360
Income. Interest from loans (other than to participants)	2014-12-31	$0
Interest earned on other investments	2014-12-31	$0
Income. Interest from US Government securities	2014-12-31	$0
Income. Interest from corporate debt instruments	2014-12-31	$0
Value of interest in master investment trust accounts at end of year	2014-12-31	$0
Value of interest in master investment trust accounts at beginning of year	2014-12-31	$0
Value of interest in common/collective trusts at end of year	2014-12-31	$0
Value of interest in common/collective trusts at beginning of year	2014-12-31	$0
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2014-12-31	$10,048,529
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2014-12-31	$9,084,661
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2014-12-31	$9,084,661
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2014-12-31	$978
Assets. Value of investments in 103.12 investment entities at end of year	2014-12-31	$0
Assets. Value of investments in 103.12 investment entities at beginning of year	2014-12-31	$0
Expenses. Payments to insurance carriers foe the provision of benefits	2014-12-31	$0
Asset value of US Government securities at end of year	2014-12-31	$0
Asset value of US Government securities at beginning of year	2014-12-31	$34,905
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2014-12-31	$427,667
Net investment gain/loss from pooled separate accounts	2014-12-31	$0
Net investment gain or loss from common/collective trusts	2014-12-31	$0
Net gain/loss from 103.12 investment entities	2014-12-31	$0
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
Assets. Invements in employer securities at end of year	2014-12-31	$0
Assets. Invements in employer securities at beginning of year	2014-12-31	$0
Assets. Value of employer real property at end of year	2014-12-31	$0
Assets. Value of employer real property at beginning of year	2014-12-31	$0
Contributions received in cash from employer	2014-12-31	$1,503,248
Employer contributions (assets) at end of year	2014-12-31	$204,411
Employer contributions (assets) at beginning of year	2014-12-31	$132,870
Income. Dividends from preferred stock	2014-12-31	$0
Income. Dividends from common stock	2014-12-31	$79,749
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2014-12-31	$1,014,682
Asset. Corporate debt instrument preferred debt at end of year	2014-12-31	$0
Asset. Corporate debt instrument preferred debt at beginning of year	2014-12-31	$0
Asset. Corporate debt instrument debt (other) at end of year	2014-12-31	$0
Asset. Corporate debt instrument debt (other) at beginning of year	2014-12-31	$0
Contract administrator fees	2014-12-31	$0
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
Assets. Corporate common stocks other than exployer securities at end of year	2014-12-31	$5,996,505
Assets. Corporate common stocks other than exployer securities at beginning of year	2014-12-31	$5,410,016
Liabilities. Value of benefit claims payable at end of year	2014-12-31	$0
Liabilities. Value of benefit claims payable at beginning of year	2014-12-31	$0
Assets. Value of buildings and other operty used in plan operation at end of year	2014-12-31	$0
Assets. Value of buildings and other operty used in plan operation at beginning of year	2014-12-31	$0
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	$3,275,699
Aggregate carrying amount (costs) on sale of assets	2014-12-31	$3,400,890
Liabilities. Value of acquisition indebtedness at end of year	2014-12-31	$0
Liabilities. Value of acquisition indebtedness at beginning of year	2014-12-31	$0
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	LANE GORMAN TRUBITT PLLP
Accountancy firm EIN	2014-12-31	751044330
2013 : FIRST SOUTHWEST COMPANY EMPLOYEES' RETIREMENT PLAN 2013 401k financial data
Unrealized appreciation/depreciation of real estate assets	2013-12-31	$0
Unrealized appreciation/depreciation of other (non real estate) assets	2013-12-31	$970,711
Total unrealized appreciation/depreciation of assets	2013-12-31	$970,711
Total transfer of assets to this plan	2013-12-31	$0
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
Expenses. Interest paid	2013-12-31	$0
Amount of participant contributions which was failed to transmit to the plan within the time period described in 29 CFR 251.3-102	2013-12-31	$0
Total income from all sources (including contributions)	2013-12-31	$14,238,161
Total loss/gain on sale of assets	2013-12-31	$329,786
Total of all expenses incurred	2013-12-31	$2,475,802
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2013-12-31	$2,470,868
Expenses. Certain deemed distributions of participant loans	2013-12-31	$0
Value of total corrective distributions	2013-12-31	$1,450
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2013-12-31	$4,836,040
Value of total assets at end of year	2013-12-31	$57,901,149
Value of total assets at beginning of year	2013-12-31	$46,138,790
Total of administrative expenses incurred including professional, contract, advisory and management fees	2013-12-31	$3,484
Total income from rents	2013-12-31	$0
Total interest from all sources	2013-12-31	$28,707
Total dividends received (eg from common stock, registered investment company shares)	2013-12-31	$2,079,083
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	$2,010,433
Assets. Real estate other than employer real property at end of year	2013-12-31	$0
Assets. Real estate other than employer real property at beginning of year	2013-12-31	$0
Administrative expenses professional fees incurred	2013-12-31	$0
Assets. Corporate prefeered stocks other than exployer securities at end of year	2013-12-31	$0
Assets. Corporate prefeered stocks other than exployer securities at beginning of year	2013-12-31	$20,034
Was this plan covered by a fidelity bond	2013-12-31	Yes
Value of fidelity bond cover	2013-12-31	$5,000,000
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	$3,235,377
Participant contributions at end of year	2013-12-31	$668,735
Participant contributions at beginning of year	2013-12-31	$672,838
Participant contributions at end of year	2013-12-31	$48,667
Participant contributions at beginning of year	2013-12-31	$49,056
Assets. Other investments not covered elsewhere at end of year	2013-12-31	$4,314
Assets. Other investments not covered elsewhere at beginning of year	2013-12-31	$179
Income. Received or receivable in cash from other sources (including rollovers)	2013-12-31	$203,154
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)	2013-12-31	$0
Value of other receiveables (less allowance for doubtful accounts) at end of year	2013-12-31	$0
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2013-12-31	$0
Assets. Loans (other than to participants) at end of year	2013-12-31	$0
Assets. Loans (other than to participants) at beginning of year	2013-12-31	$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2013-12-31	$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2013-12-31	$0
Other income not declared elsewhere	2013-12-31	$0
Administrative expenses (other) incurred	2013-12-31	$3,484
Liabilities. Value of operating payables at end of year	2013-12-31	$0
Liabilities. Value of operating payables at beginning of year	2013-12-31	$0
Total non interest bearing cash at end of year	2013-12-31	$0
Total non interest bearing cash at beginning of year	2013-12-31	$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	2013-12-31	No
Income. Non cash contributions	2013-12-31	$0
Value of net income/loss	2013-12-31	$11,762,359
Value of net assets at end of year (total assets less liabilities)	2013-12-31	$57,901,149
Value of net assets at beginning of year (total assets less liabilities)	2013-12-31	$46,138,790
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
Assets. partnership/joint venture interests at end of year	2013-12-31	$0
Assets. partnership/joint venture interests at beginning of year	2013-12-31	$0
Investment advisory and management fees	2013-12-31	$0
Value of interest in registered invesment companies (eg mutual funds) at end of year	2013-12-31	$42,516,981
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2013-12-31	$32,324,498
Value of interest in pooled separate accounts at end of year	2013-12-31	$0
Value of interest in pooled separate accounts at beginning of year	2013-12-31	$0
Interest on participant loans	2013-12-31	$27,789
Income. Interest from loans (other than to participants)	2013-12-31	$0
Interest earned on other investments	2013-12-31	$0
Income. Interest from US Government securities	2013-12-31	$0
Income. Interest from corporate debt instruments	2013-12-31	$0
Value of interest in master investment trust accounts at end of year	2013-12-31	$0
Value of interest in master investment trust accounts at beginning of year	2013-12-31	$0
Value of interest in common/collective trusts at end of year	2013-12-31	$0
Value of interest in common/collective trusts at beginning of year	2013-12-31	$0
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2013-12-31	$9,084,661
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2013-12-31	$9,601,789
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2013-12-31	$9,601,789
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2013-12-31	$918
Assets. Value of investments in 103.12 investment entities at end of year	2013-12-31	$0
Assets. Value of investments in 103.12 investment entities at beginning of year	2013-12-31	$0
Expenses. Payments to insurance carriers foe the provision of benefits	2013-12-31	$0
Asset value of US Government securities at end of year	2013-12-31	$34,905
Asset value of US Government securities at beginning of year	2013-12-31	$34,704
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2013-12-31	$5,993,834
Net investment gain/loss from pooled separate accounts	2013-12-31	$0
Net investment gain or loss from common/collective trusts	2013-12-31	$0
Net gain/loss from 103.12 investment entities	2013-12-31	$0
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
Assets. Invements in employer securities at end of year	2013-12-31	$0
Assets. Invements in employer securities at beginning of year	2013-12-31	$0
Assets. Value of employer real property at end of year	2013-12-31	$0
Assets. Value of employer real property at beginning of year	2013-12-31	$0
Contributions received in cash from employer	2013-12-31	$1,397,509
Employer contributions (assets) at end of year	2013-12-31	$132,870
Employer contributions (assets) at beginning of year	2013-12-31	$164,824
Income. Dividends from preferred stock	2013-12-31	$794
Income. Dividends from common stock	2013-12-31	$67,856
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2013-12-31	$2,470,868
Asset. Corporate debt instrument preferred debt at end of year	2013-12-31	$0
Asset. Corporate debt instrument preferred debt at beginning of year	2013-12-31	$0
Asset. Corporate debt instrument debt (other) at end of year	2013-12-31	$0
Asset. Corporate debt instrument debt (other) at beginning of year	2013-12-31	$0
Contract administrator fees	2013-12-31	$0
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	2013-12-31	No
Assets. Corporate common stocks other than exployer securities at end of year	2013-12-31	$5,410,016
Assets. Corporate common stocks other than exployer securities at beginning of year	2013-12-31	$3,270,868
Liabilities. Value of benefit claims payable at end of year	2013-12-31	$0
Liabilities. Value of benefit claims payable at beginning of year	2013-12-31	$0
Assets. Value of buildings and other operty used in plan operation at end of year	2013-12-31	$0
Assets. Value of buildings and other operty used in plan operation at beginning of year	2013-12-31	$0
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	$2,660,014
Aggregate carrying amount (costs) on sale of assets	2013-12-31	$2,330,228
Liabilities. Value of acquisition indebtedness at end of year	2013-12-31	$0
Liabilities. Value of acquisition indebtedness at beginning of year	2013-12-31	$0
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	LANE GORMAN TRUBITT PLLP
Accountancy firm EIN	2013-12-31	751044330
2012 : FIRST SOUTHWEST COMPANY EMPLOYEES' RETIREMENT PLAN 2012 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets	2012-12-31	$325,399
Total unrealized appreciation/depreciation of assets	2012-12-31	$325,399
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2012-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2012-12-31	$0
Total income from all sources (including contributions)	2012-12-31	$9,056,447
Total loss/gain on sale of assets	2012-12-31	$90,871
Total of all expenses incurred	2012-12-31	$957,552
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2012-12-31	$952,399
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2012-12-31	$4,671,343
Value of total assets at end of year	2012-12-31	$46,138,790
Value of total assets at beginning of year	2012-12-31	$38,039,895
Total of administrative expenses incurred including professional, contract, advisory and management fees	2012-12-31	$5,153
Total interest from all sources	2012-12-31	$26,982
Total dividends received (eg from common stock, registered investment company shares)	2012-12-31	$878,044
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2012-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2012-12-31	$828,009
Assets. Corporate prefeered stocks other than exployer securities at end of year	2012-12-31	$20,034
Assets. Corporate prefeered stocks other than exployer securities at beginning of year	2012-12-31	$20,258
Was this plan covered by a fidelity bond	2012-12-31	Yes
Value of fidelity bond cover	2012-12-31	$5,000,000
If this is an individual account plan, was there a blackout period	2012-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2012-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2012-12-31	No
Contributions received from participants	2012-12-31	$2,984,430
Participant contributions at end of year	2012-12-31	$672,838
Participant contributions at beginning of year	2012-12-31	$565,476
Participant contributions at end of year	2012-12-31	$49,056
Participant contributions at beginning of year	2012-12-31	$41,791
Assets. Other investments not covered elsewhere at end of year	2012-12-31	$179
Assets. Other investments not covered elsewhere at beginning of year	2012-12-31	$72
Income. Received or receivable in cash from other sources (including rollovers)	2012-12-31	$340,731
Administrative expenses (other) incurred	2012-12-31	$5,153
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2012-12-31	No
Value of net income/loss	2012-12-31	$8,098,895
Value of net assets at end of year (total assets less liabilities)	2012-12-31	$46,138,790
Value of net assets at beginning of year (total assets less liabilities)	2012-12-31	$38,039,895
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2012-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2012-12-31	No
Were any leases to which the plan was party in default or uncollectible	2012-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2012-12-31	$32,324,498
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2012-12-31	$26,984,476
Interest on participant loans	2012-12-31	$25,884
Income. Interest from corporate debt instruments	2012-12-31	$190
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2012-12-31	$9,601,789
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2012-12-31	$8,107,132
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2012-12-31	$8,107,132
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2012-12-31	$908
Asset value of US Government securities at end of year	2012-12-31	$34,704
Asset value of US Government securities at beginning of year	2012-12-31	$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2012-12-31	$3,063,808
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2012-12-31	No
Was there a failure to transmit to the plan any participant contributions	2012-12-31	No
Has the plan failed to provide any benefit when due under the plan	2012-12-31	No
Contributions received in cash from employer	2012-12-31	$1,346,182
Employer contributions (assets) at end of year	2012-12-31	$164,824
Employer contributions (assets) at beginning of year	2012-12-31	$55,199
Income. Dividends from preferred stock	2012-12-31	$1,764
Income. Dividends from common stock	2012-12-31	$48,271
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2012-12-31	$952,399
Asset. Corporate debt instrument debt (other) at end of year	2012-12-31	$0
Asset. Corporate debt instrument debt (other) at beginning of year	2012-12-31	$35,251
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	2012-12-31	No
Assets. Corporate common stocks other than exployer securities at end of year	2012-12-31	$3,270,868
Assets. Corporate common stocks other than exployer securities at beginning of year	2012-12-31	$2,230,240
Did the plan have assets held for investment	2012-12-31	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	2012-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2012-12-31	No
Aggregate proceeds on sale of assets	2012-12-31	$1,130,990
Aggregate carrying amount (costs) on sale of assets	2012-12-31	$1,040,119
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2012-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2012-12-31	Disclaimer
Accountancy firm name	2012-12-31	LANE GORMAN TRUBITT PLLP
Accountancy firm EIN	2012-12-31	751044330
2011 : FIRST SOUTHWEST COMPANY EMPLOYEES' RETIREMENT PLAN 2011 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets	2011-12-31	$-378,582
Total unrealized appreciation/depreciation of assets	2011-12-31	$-378,582
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2011-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2011-12-31	$0
Total income from all sources (including contributions)	2011-12-31	$2,482,296
Total loss/gain on sale of assets	2011-12-31	$-38,540
Total of all expenses incurred	2011-12-31	$1,915,668
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2011-12-31	$1,911,592
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2011-12-31	$3,963,751
Value of total assets at end of year	2011-12-31	$38,039,895
Value of total assets at beginning of year	2011-12-31	$37,473,267
Total of administrative expenses incurred including professional, contract, advisory and management fees	2011-12-31	$4,076
Total interest from all sources	2011-12-31	$27,350
Total dividends received (eg from common stock, registered investment company shares)	2011-12-31	$952,235
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2011-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2011-12-31	$912,222
Assets. Corporate prefeered stocks other than exployer securities at end of year	2011-12-31	$20,258
Assets. Corporate prefeered stocks other than exployer securities at beginning of year	2011-12-31	$19,726
Was this plan covered by a fidelity bond	2011-12-31	Yes
Value of fidelity bond cover	2011-12-31	$5,000,000
If this is an individual account plan, was there a blackout period	2011-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2011-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2011-12-31	No
Contributions received from participants	2011-12-31	$2,764,531
Participant contributions at end of year	2011-12-31	$565,476
Participant contributions at beginning of year	2011-12-31	$540,868
Participant contributions at end of year	2011-12-31	$41,791
Participant contributions at beginning of year	2011-12-31	$37,735
Assets. Other investments not covered elsewhere at end of year	2011-12-31	$72
Assets. Other investments not covered elsewhere at beginning of year	2011-12-31	$0
Income. Received or receivable in cash from other sources (including rollovers)	2011-12-31	$77,300
Administrative expenses (other) incurred	2011-12-31	$4,076
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2011-12-31	No
Value of net income/loss	2011-12-31	$566,628
Value of net assets at end of year (total assets less liabilities)	2011-12-31	$38,039,895
Value of net assets at beginning of year (total assets less liabilities)	2011-12-31	$37,473,267
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2011-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2011-12-31	No
Were any leases to which the plan was party in default or uncollectible	2011-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2011-12-31	$26,984,476
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2011-12-31	$27,523,474
Interest on participant loans	2011-12-31	$24,204
Income. Interest from corporate debt instruments	2011-12-31	$2,380
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2011-12-31	$8,107,132
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2011-12-31	$6,966,465
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2011-12-31	$6,966,465
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2011-12-31	$766
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2011-12-31	$-2,043,918
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2011-12-31	No
Was there a failure to transmit to the plan any participant contributions	2011-12-31	No
Has the plan failed to provide any benefit when due under the plan	2011-12-31	No
Contributions received in cash from employer	2011-12-31	$1,121,920
Employer contributions (assets) at end of year	2011-12-31	$55,199
Employer contributions (assets) at beginning of year	2011-12-31	$139,253
Income. Dividends from preferred stock	2011-12-31	$1,764
Income. Dividends from common stock	2011-12-31	$38,249
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2011-12-31	$1,911,592
Asset. Corporate debt instrument debt (other) at end of year	2011-12-31	$35,251
Asset. Corporate debt instrument debt (other) at beginning of year	2011-12-31	$122,887
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	2011-12-31	No
Assets. Corporate common stocks other than exployer securities at end of year	2011-12-31	$2,230,240
Assets. Corporate common stocks other than exployer securities at beginning of year	2011-12-31	$2,122,859
Did the plan have assets held for investment	2011-12-31	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	2011-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2011-12-31	No
Aggregate proceeds on sale of assets	2011-12-31	$1,184,525
Aggregate carrying amount (costs) on sale of assets	2011-12-31	$1,223,065
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2011-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2011-12-31	Disclaimer
Accountancy firm name	2011-12-31	LANE GORMAN TRUBITT PLLP
Accountancy firm EIN	2011-12-31	751044330
2010 : FIRST SOUTHWEST COMPANY EMPLOYEES' RETIREMENT PLAN 2010 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets	2010-12-31	$189,154
Total unrealized appreciation/depreciation of assets	2010-12-31	$189,154
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2010-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2010-12-31	$0
Total income from all sources (including contributions)	2010-12-31	$7,902,351
Total loss/gain on sale of assets	2010-12-31	$12,864
Total of all expenses incurred	2010-12-31	$1,431,370
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2010-12-31	$1,428,559
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2010-12-31	$4,041,611
Value of total assets at end of year	2010-12-31	$37,473,267
Value of total assets at beginning of year	2010-12-31	$31,002,286
Total of administrative expenses incurred including professional, contract, advisory and management fees	2010-12-31	$2,811
Total interest from all sources	2010-12-31	$27,381
Total dividends received (eg from common stock, registered investment company shares)	2010-12-31	$505,097
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2010-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2010-12-31	$476,822
Assets. Corporate prefeered stocks other than exployer securities at end of year	2010-12-31	$19,726
Assets. Corporate prefeered stocks other than exployer securities at beginning of year	2010-12-31	$19,740
Was this plan covered by a fidelity bond	2010-12-31	Yes
Value of fidelity bond cover	2010-12-31	$10,000,000
If this is an individual account plan, was there a blackout period	2010-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2010-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2010-12-31	No
Contributions received from participants	2010-12-31	$2,718,135
Participant contributions at end of year	2010-12-31	$540,868
Participant contributions at beginning of year	2010-12-31	$439,805
Participant contributions at end of year	2010-12-31	$37,735
Participant contributions at beginning of year	2010-12-31	$46,770
Income. Received or receivable in cash from other sources (including rollovers)	2010-12-31	$90,075
Administrative expenses (other) incurred	2010-12-31	$2,811
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2010-12-31	No
Value of net income/loss	2010-12-31	$6,470,981
Value of net assets at end of year (total assets less liabilities)	2010-12-31	$37,473,267
Value of net assets at beginning of year (total assets less liabilities)	2010-12-31	$31,002,286
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2010-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2010-12-31	No
Were any leases to which the plan was party in default or uncollectible	2010-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2010-12-31	$27,523,474
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2010-12-31	$22,070,699
Interest on participant loans	2010-12-31	$21,536
Income. Interest from corporate debt instruments	2010-12-31	$4,669
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2010-12-31	$6,966,465
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2010-12-31	$6,361,344
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2010-12-31	$6,361,344
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2010-12-31	$1,176
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2010-12-31	$3,126,244
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2010-12-31	No
Was there a failure to transmit to the plan any participant contributions	2010-12-31	No
Has the plan failed to provide any benefit when due under the plan	2010-12-31	No
Contributions received in cash from employer	2010-12-31	$1,233,401
Employer contributions (assets) at end of year	2010-12-31	$139,253
Employer contributions (assets) at beginning of year	2010-12-31	$241,261
Income. Dividends from preferred stock	2010-12-31	$1,764
Income. Dividends from common stock	2010-12-31	$26,511
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2010-12-31	$1,428,559
Asset. Corporate debt instrument debt (other) at end of year	2010-12-31	$122,887
Asset. Corporate debt instrument debt (other) at beginning of year	2010-12-31	$125,637
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	2010-12-31	No
Assets. Corporate common stocks other than exployer securities at end of year	2010-12-31	$2,122,859
Assets. Corporate common stocks other than exployer securities at beginning of year	2010-12-31	$1,697,030
Did the plan have assets held for investment	2010-12-31	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	2010-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2010-12-31	No
Aggregate proceeds on sale of assets	2010-12-31	$898,165
Aggregate carrying amount (costs) on sale of assets	2010-12-31	$885,301
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2010-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2010-12-31	Disclaimer
Accountancy firm name	2010-12-31	LANE GORMAN TRUBITT PLLP
Accountancy firm EIN	2010-12-31	751044330
2009 : FIRST SOUTHWEST COMPANY EMPLOYEES' RETIREMENT PLAN 2009 401k financial data
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2009-12-31	$0

Form 5500 Responses for FIRST SOUTHWEST COMPANY EMPLOYEES' RETIREMENT PLAN

2015: FIRST SOUTHWEST COMPANY EMPLOYEES' RETIREMENT 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	Yes
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
2014: FIRST SOUTHWEST COMPANY EMPLOYEES' RETIREMENT PLAN 2014 form 5500 responses
2014-01-01	Type of plan entity	Single employer plan
2014-01-01	Submission has been amended	No
2014-01-01	This submission is the final filing	No
2014-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2014-01-01	Plan is a collectively bargained plan	No
2014-01-01	Plan funding arrangement – Trust	Yes
2014-01-01	Plan benefit arrangement - Trust	Yes
2013: FIRST SOUTHWEST COMPANY EMPLOYEES' RETIREMENT PLAN 2013 form 5500 responses
2013-01-01	Type of plan entity	Single employer plan
2013-01-01	Submission has been amended	No
2013-01-01	This submission is the final filing	No
2013-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2013-01-01	Plan is a collectively bargained plan	No
2013-01-01	Plan funding arrangement – Trust	Yes
2013-01-01	Plan benefit arrangement - Trust	Yes
2012: FIRST SOUTHWEST COMPANY EMPLOYEES' RETIREMENT PLAN 2012 form 5500 responses
2012-01-01	Type of plan entity	Single employer plan
2012-01-01	Submission has been amended	No
2012-01-01	This submission is the final filing	No
2012-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2012-01-01	Plan funding arrangement – Trust	Yes
2012-01-01	Plan benefit arrangement - Trust	Yes
2011: FIRST SOUTHWEST COMPANY EMPLOYEES' RETIREMENT PLAN 2011 form 5500 responses
2011-01-01	Type of plan entity	Single employer plan
2011-01-01	Submission has been amended	No
2011-01-01	This submission is the final filing	No
2011-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2011-01-01	Plan funding arrangement – Trust	Yes
2011-01-01	Plan benefit arrangement - Trust	Yes
2009: FIRST SOUTHWEST COMPANY EMPLOYEES' RETIREMENT PLAN 2009 form 5500 responses
2009-01-01	Type of plan entity	Single employer plan
2009-01-01	Submission has been amended	No
2009-01-01	This submission is the final filing	No
2009-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2009-01-01	Plan funding arrangement – Trust	Yes
2009-01-01	Plan benefit arrangement - Trust	Yes

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Company Name:	FIRST SOUTHWEST COMPANY, LLC
Employer identification number (EIN):	750708002
NAIC Classification:	523110
NAIC Description:	Investment Banking and Securities Dealing

Jurisdiction of Incorporation:	State of Delaware Division of Corporations
Incorporation Date:
Company Identification Number:	3715039