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CAPITAL FINANCIAL ADVISORS, LLC 401(K) PLAN 401k Plan overview

Plan NameCAPITAL FINANCIAL ADVISORS, LLC 401(K) PLAN
Plan identification number 001

CAPITAL FINANCIAL ADVISORS, LLC 401(K) PLAN Benefits

401k Plan TypeDefined Contribution Pension
Plan Features/Benefits
  • Profit-sharing
  • ERISA section 404(c) Plan - This plan, or any part of it is intended to meet the conditions of 29 CFR 2550.404c-1.
  • Total participant-directed account plan - Participants have the opportunity to direct the investment of all the assets allocated to their individual accounts, regardless of whether 29 CFR 2550.404c-1 is intended to be met.
  • Code section 401(k) feature - A cash or deferred arrangement described in Code section 401(k) that is part of a qualified defined contribution plan that provides for an election by employees to defer part of their compensation or receive these amounts in cash.
  • Code section 401(m) arrangement - Employee contributions are allocated to separate accounts under the plan or employer contributions are based, in whole or in part, on employee deferrals or contribtions to the plan. Not applicable if plan is 401(k) plan with only QNECs and/or QMACs. Also not applicable if Code section 403(b)(1), 403(b)(7) or 408 arrangements/accounts/annuities.
  • Participant-directed brokerage accounts provided as an investment option under the plan.
  • 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

CAPITAL FINANCIAL ADVISORS, LLC has sponsored the creation of one or more 401k plans.

Company Name:CAPITAL FINANCIAL ADVISORS, LLC
Employer identification number (EIN):800353229
NAIC Classification:523120
NAIC Description:Securities Brokerage

Form 5500 Filing Information

Submission information for form 5500 for 401k plan CAPITAL FINANCIAL ADVISORS, LLC 401(K) PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator SignedName of Company SponsorDate Sponsor Signed
0012023-01-01
0012022-01-01
0012021-01-01
0012019-01-01
0012018-01-01
0012017-01-01
0012016-01-01JAMES CLOUSE2017-06-09
0012015-01-01JAMES CLOUSE2016-07-26
0012014-01-01JAMES CLOUSE2015-07-16
0012013-01-01JAMES CLOUSE2014-07-24

Plan Statistics for CAPITAL FINANCIAL ADVISORS, LLC 401(K) PLAN

401k plan membership statisitcs for CAPITAL FINANCIAL ADVISORS, LLC 401(K) PLAN

Measure Date Value
2025: CAPITAL FINANCIAL ADVISORS, LLC 401(K) PLAN 2025 401k membership
Total number of particpants at beginning of year2025-05-167
Total number of particpants at end of year2025-05-168
Number of Participants With Account Balances2025-05-167
2024: CAPITAL FINANCIAL ADVISORS, LLC 401(K) PLAN 2024 401k membership
Total number of particpants at beginning of year2024-07-183
Total number of particpants at end of year2024-07-187
Number of Participants With Account Balances2024-07-187
2022: CAPITAL FINANCIAL ADVISORS, LLC 401(K) PLAN 2022 401k membership
Total number of particpants at beginning of year2022-05-243
Total number of particpants at end of year2022-05-242
Number of Participants With Account Balances2022-05-242

Financial Data on CAPITAL FINANCIAL ADVISORS, LLC 401(K) PLAN

Measure Date Value
2025 : CAPITAL FINANCIAL ADVISORS, LLC 401(K) PLAN 2025 401k financial data
Total expenses incurred by plan in this plan year2025-05-16442
Net assets as of the end of the plan year2025-05-16780803
Total assets as of the beginning of the plan year2025-05-16577667
Value of plan covered by a fidelity bond2025-05-1675000
Participant contributions to plan in this plan year2025-05-1665771
Other contributions to plan in this plan year2025-05-160
Other income to plan in this plan year2025-05-16117815
Plan net income in this plan year2025-05-16203136
Net assets as of the end of the plan year2025-05-16780803
Net assets as of the beginning of the plan year2025-05-16577667
Employer contributions to plan in this plan year2025-05-1619992
Expensese paid to adminstrative service provicers from plan in this plan year2025-05-16442
2024 : CAPITAL FINANCIAL ADVISORS, LLC 401(K) PLAN 2024 401k financial data
Total expenses incurred by plan in this plan year2024-07-18154
Net assets as of the end of the plan year2024-07-18577667
Total assets as of the beginning of the plan year2024-07-18237220
Value of plan covered by a fidelity bond2024-07-1830000
Participant contributions to plan in this plan year2024-07-1852072
Other contributions to plan in this plan year2024-07-18196928
Other income to plan in this plan year2024-07-1875596
Plan net income in this plan year2024-07-18340447
Net assets as of the end of the plan year2024-07-18577667
Net assets as of the beginning of the plan year2024-07-18237220
Employer contributions to plan in this plan year2024-07-1816005
Expensese paid to adminstrative service provicers from plan in this plan year2024-07-18154
2022 : CAPITAL FINANCIAL ADVISORS, LLC 401(K) PLAN 2022 401k financial data
Total expenses incurred by plan in this plan year2022-05-241901
Net assets as of the end of the plan year2022-05-24295867
Total assets as of the beginning of the plan year2022-05-24256777
Value of plan covered by a fidelity bond2022-05-2430000
Participant contributions to plan in this plan year2022-05-247559
Other income to plan in this plan year2022-05-2430064
Plan net income in this plan year2022-05-2439090
Net assets as of the end of the plan year2022-05-24295867
Net assets as of the beginning of the plan year2022-05-24256777
Employer contributions to plan in this plan year2022-05-243368
Expensese paid to adminstrative service provicers from plan in this plan year2022-05-24180

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