?>
Logo

BTIG, LLC 401-K PROFIT SHARING PLAN 401k Plan overview

Plan NameBTIG, LLC 401-K PROFIT SHARING PLAN
Plan identification number 001

BTIG, LLC 401-K PROFIT SHARING PLAN Benefits

401k Plan TypeDefined Contribution Pension
Plan Features/Benefits
  • Profit-sharing
  • ERISA section 404(c) Plan - This plan, or any part of it is intended to meet the conditions of 29 CFR 2550.404c-1.
  • Total participant-directed account plan - Participants have the opportunity to direct the investment of all the assets allocated to their individual accounts, regardless of whether 29 CFR 2550.404c-1 is intended to be met.
  • Code section 401(k) feature - A cash or deferred arrangement described in Code section 401(k) that is part of a qualified defined contribution plan that provides for an election by employees to defer part of their compensation or receive these amounts in cash.
  • Participant-directed brokerage accounts provided as an investment option under the plan.
  • Total or partial participant-directed account plan - plan uses default investment account for participants who fail to direct assets in their account.
  • Master plan - A pension plan that is made available by a sponsor for adoption by employers; that is the subject of a favorable opinion letter; and for which a single funding medium (for example, a trust or custodial account) is established for the joint use of all adopting employers.
  • Plan sponsor(s) is (are) a member(s) of a controlled group (Code sections 414(b), (c), or (m)).

401k Sponsoring company profile

BTIG, LLC has sponsored the creation of one or more 401k plans.

Company Name:BTIG, LLC
Employer identification number (EIN):043695739
NAIC Classification:541519
NAIC Description:Other Computer Related Services

Additional information about BTIG, LLC

Jurisdiction of Incorporation: California Department of State
Incorporation Date:
Company Identification Number: 200216110054

More information about BTIG, LLC

Form 5500 Filing Information

Submission information for form 5500 for 401k plan BTIG, LLC 401-K PROFIT SHARING PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator SignedName of Company SponsorDate Sponsor Signed
0012022-01-01
0012021-01-01
0012020-01-01
0012019-01-01
0012018-01-01
0012017-01-01BRIAN ENDRES
0012016-01-01BRIAN ENDRES
0012015-01-01BRIAN ENDRES
0012014-01-01BRIAN ENDRES
0012013-01-01BRIAN ENDRES
0012012-01-01BRIAN ENDRES
0012011-01-01BRIAN ENDRES
0012010-01-01BRIAN ENDRES
0012009-01-01BRIAN ENDRES

Plan Statistics for BTIG, LLC 401-K PROFIT SHARING PLAN

401k plan membership statisitcs for BTIG, LLC 401-K PROFIT SHARING PLAN

Measure Date Value
2022: BTIG, LLC 401-K PROFIT SHARING PLAN 2022 401k membership
Total participants, beginning-of-year2022-01-01692
Total number of active participants reported on line 7a of the Form 55002022-01-01627
Number of retired or separated participants receiving benefits2022-01-010
Number of other retired or separated participants entitled to future benefits2022-01-01122
Total of all active and inactive participants2022-01-01749
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2022-01-010
Total participants2022-01-01749
Number of participants with account balances2022-01-01657
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2022-01-010
2021: BTIG, LLC 401-K PROFIT SHARING PLAN 2021 401k membership
Total participants, beginning-of-year2021-01-01648
Total number of active participants reported on line 7a of the Form 55002021-01-01589
Number of retired or separated participants receiving benefits2021-01-010
Number of other retired or separated participants entitled to future benefits2021-01-0197
Total of all active and inactive participants2021-01-01686
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2021-01-010
Total participants2021-01-01686
Number of participants with account balances2021-01-01561
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2021-01-010
2020: BTIG, LLC 401-K PROFIT SHARING PLAN 2020 401k membership
Total participants, beginning-of-year2020-01-01623
Total number of active participants reported on line 7a of the Form 55002020-01-01552
Number of retired or separated participants receiving benefits2020-01-010
Number of other retired or separated participants entitled to future benefits2020-01-0188
Total of all active and inactive participants2020-01-01640
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2020-01-010
Total participants2020-01-01640
Number of participants with account balances2020-01-01526
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2020-01-010
2019: BTIG, LLC 401-K PROFIT SHARING PLAN 2019 401k membership
Total participants, beginning-of-year2019-01-01625
Total number of active participants reported on line 7a of the Form 55002019-01-01534
Number of retired or separated participants receiving benefits2019-01-010
Number of other retired or separated participants entitled to future benefits2019-01-0188
Total of all active and inactive participants2019-01-01622
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2019-01-011
Total participants2019-01-01623
Number of participants with account balances2019-01-01498
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2019-01-010
2018: BTIG, LLC 401-K PROFIT SHARING PLAN 2018 401k membership
Total participants, beginning-of-year2018-01-01569
Total number of active participants reported on line 7a of the Form 55002018-01-01542
Number of retired or separated participants receiving benefits2018-01-010
Number of other retired or separated participants entitled to future benefits2018-01-0176
Total of all active and inactive participants2018-01-01618
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2018-01-011
Total participants2018-01-01619
Number of participants with account balances2018-01-01458
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2018-01-010
2017: BTIG, LLC 401-K PROFIT SHARING PLAN 2017 401k membership
Total participants, beginning-of-year2017-01-01507
Total number of active participants reported on line 7a of the Form 55002017-01-01499
Number of retired or separated participants receiving benefits2017-01-010
Number of other retired or separated participants entitled to future benefits2017-01-0167
Total of all active and inactive participants2017-01-01566
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2017-01-011
Total participants2017-01-01567
Number of participants with account balances2017-01-01419
2016: BTIG, LLC 401-K PROFIT SHARING PLAN 2016 401k membership
Total participants, beginning-of-year2016-01-01497
Total number of active participants reported on line 7a of the Form 55002016-01-01442
Number of retired or separated participants receiving benefits2016-01-010
Number of other retired or separated participants entitled to future benefits2016-01-0161
Total of all active and inactive participants2016-01-01503
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2016-01-011
Total participants2016-01-01504
Number of participants with account balances2016-01-01392
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2016-01-010
2015: BTIG, LLC 401-K PROFIT SHARING PLAN 2015 401k membership
Total participants, beginning-of-year2015-01-01482
Total number of active participants reported on line 7a of the Form 55002015-01-01434
Number of retired or separated participants receiving benefits2015-01-010
Number of other retired or separated participants entitled to future benefits2015-01-0157
Total of all active and inactive participants2015-01-01491
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2015-01-010
Total participants2015-01-01491
Number of participants with account balances2015-01-01378
2014: BTIG, LLC 401-K PROFIT SHARING PLAN 2014 401k membership
Total participants, beginning-of-year2014-01-01329
Total number of active participants reported on line 7a of the Form 55002014-01-01414
Number of retired or separated participants receiving benefits2014-01-010
Number of other retired or separated participants entitled to future benefits2014-01-0168
Total of all active and inactive participants2014-01-01482
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2014-01-010
Total participants2014-01-01482
Number of participants with account balances2014-01-01376
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2014-01-010
2013: BTIG, LLC 401-K PROFIT SHARING PLAN 2013 401k membership
Total participants, beginning-of-year2013-01-01392
Total number of active participants reported on line 7a of the Form 55002013-01-01373
Number of other retired or separated participants entitled to future benefits2013-01-0167
Total of all active and inactive participants2013-01-01440
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2013-01-010
Total participants2013-01-01440
Number of participants with account balances2013-01-01329
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2013-01-010
2012: BTIG, LLC 401-K PROFIT SHARING PLAN 2012 401k membership
Total participants, beginning-of-year2012-01-01371
Total number of active participants reported on line 7a of the Form 55002012-01-01341
Number of retired or separated participants receiving benefits2012-01-012
Number of other retired or separated participants entitled to future benefits2012-01-0157
Total of all active and inactive participants2012-01-01400
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2012-01-010
Total participants2012-01-01400
Number of participants with account balances2012-01-01307
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2012-01-010
2011: BTIG, LLC 401-K PROFIT SHARING PLAN 2011 401k membership
Total participants, beginning-of-year2011-01-01392
Total number of active participants reported on line 7a of the Form 55002011-01-01310
Number of retired or separated participants receiving benefits2011-01-010
Number of other retired or separated participants entitled to future benefits2011-01-010
Total of all active and inactive participants2011-01-01310
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2011-01-010
Total participants2011-01-01310
Number of participants with account balances2011-01-01285
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2011-01-010
2010: BTIG, LLC 401-K PROFIT SHARING PLAN 2010 401k membership
Total participants, beginning-of-year2010-01-01380
Total number of active participants reported on line 7a of the Form 55002010-01-01335
Number of retired or separated participants receiving benefits2010-01-012
Number of other retired or separated participants entitled to future benefits2010-01-0155
Total of all active and inactive participants2010-01-01392
Total participants2010-01-01392
Number of participants with account balances2010-01-01290
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2010-01-010
2009: BTIG, LLC 401-K PROFIT SHARING PLAN 2009 401k membership
Total participants, beginning-of-year2009-01-01237
Total number of active participants reported on line 7a of the Form 55002009-01-01332
Number of retired or separated participants receiving benefits2009-01-011
Number of other retired or separated participants entitled to future benefits2009-01-0136
Total of all active and inactive participants2009-01-01369
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2009-01-010
Total participants2009-01-01369
Number of participants with account balances2009-01-01237
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2009-01-010

Financial Data on BTIG, LLC 401-K PROFIT SHARING PLAN

Measure Date Value
2022 : BTIG, LLC 401-K PROFIT SHARING PLAN 2022 401k financial data
Total unrealized appreciation/depreciation of assets2022-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2022-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2022-12-31$0
Total income from all sources (including contributions)2022-12-31$-1,821,240
Total loss/gain on sale of assets2022-12-31$0
Total of all expenses incurred2022-12-31$2,629,968
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2022-12-31$2,463,879
Total contributions o plan (from employers,participants, others, non cash contrinutions)2022-12-31$16,304,031
Value of total assets at end of year2022-12-31$92,352,226
Value of total assets at beginning of year2022-12-31$96,803,434
Total of administrative expenses incurred including professional, contract, advisory and management fees2022-12-31$166,089
Total interest from all sources2022-12-31$42,369
Total dividends received (eg from common stock, registered investment company shares)2022-12-31$1,265,764
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2022-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2022-12-31$1,265,764
Administrative expenses professional fees incurred2022-12-31$30,390
Was this plan covered by a fidelity bond2022-12-31Yes
Value of fidelity bond cover2022-12-31$10,000,000
If this is an individual account plan, was there a blackout period2022-12-31No
Were there any nonexempt tranactions with any party-in-interest2022-12-31No
Contributions received from participants2022-12-31$9,106,168
Participant contributions at end of year2022-12-31$768,149
Participant contributions at beginning of year2022-12-31$942,551
Participant contributions at end of year2022-12-31$185,192
Participant contributions at beginning of year2022-12-31$193,255
Assets. Other investments not covered elsewhere at end of year2022-12-31$1,200,280
Assets. Other investments not covered elsewhere at beginning of year2022-12-31$1,086,583
Income. Received or receivable in cash from other sources (including rollovers)2022-12-31$3,601,905
Other income not declared elsewhere2022-12-31$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2022-12-31No
Value of net income/loss2022-12-31$-4,451,208
Value of net assets at end of year (total assets less liabilities)2022-12-31$92,352,226
Value of net assets at beginning of year (total assets less liabilities)2022-12-31$96,803,434
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2022-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2022-12-31No
Were any leases to which the plan was party in default or uncollectible2022-12-31No
Investment advisory and management fees2022-12-31$40,309
Value of interest in registered invesment companies (eg mutual funds) at end of year2022-12-31$80,977,164
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2022-12-31$91,208,261
Interest on participant loans2022-12-31$42,369
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2022-12-31$5,625,483
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2022-12-31$3,372,784
Net investment gain/loss from registered investment companies (e.g. mutual funds)2022-12-31$-19,433,404
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2022-12-31No
Was there a failure to transmit to the plan any participant contributions2022-12-31No
Has the plan failed to provide any benefit when due under the plan2022-12-31No
Contributions received in cash from employer2022-12-31$3,595,958
Employer contributions (assets) at end of year2022-12-31$3,595,958
Employer contributions (assets) at beginning of year2022-12-31$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2022-12-31$2,463,879
Contract administrator fees2022-12-31$95,390
Did the plan have assets held for investment2022-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2022-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2022-12-31No
Opinion of an independent qualified public accountant for this plan2022-12-31Unqualified
Accountancy firm name2022-12-31EISNERAMPER LLP
Accountancy firm EIN2022-12-31871363769
2021 : BTIG, LLC 401-K PROFIT SHARING PLAN 2021 401k financial data
Total unrealized appreciation/depreciation of assets2021-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2021-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2021-12-31$0
Total income from all sources (including contributions)2021-12-31$24,022,514
Total loss/gain on sale of assets2021-12-31$0
Total of all expenses incurred2021-12-31$5,744,864
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2021-12-31$5,523,307
Total contributions o plan (from employers,participants, others, non cash contrinutions)2021-12-31$9,850,503
Value of total assets at end of year2021-12-31$96,803,434
Value of total assets at beginning of year2021-12-31$78,525,784
Total of administrative expenses incurred including professional, contract, advisory and management fees2021-12-31$221,557
Total interest from all sources2021-12-31$51,156
Total dividends received (eg from common stock, registered investment company shares)2021-12-31$1,026,497
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2021-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2021-12-31$1,026,497
Was this plan covered by a fidelity bond2021-12-31Yes
Value of fidelity bond cover2021-12-31$10,000,000
If this is an individual account plan, was there a blackout period2021-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2021-12-31$0
Were there any nonexempt tranactions with any party-in-interest2021-12-31No
Contributions received from participants2021-12-31$7,807,007
Participant contributions at end of year2021-12-31$942,551
Participant contributions at beginning of year2021-12-31$1,004,467
Participant contributions at end of year2021-12-31$193,255
Participant contributions at beginning of year2021-12-31$188,813
Assets. Other investments not covered elsewhere at end of year2021-12-31$1,086,583
Assets. Other investments not covered elsewhere at beginning of year2021-12-31$1,023,777
Income. Received or receivable in cash from other sources (including rollovers)2021-12-31$2,043,496
Other income not declared elsewhere2021-12-31$133,162
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2021-12-31No
Value of net income/loss2021-12-31$18,277,650
Value of net assets at end of year (total assets less liabilities)2021-12-31$96,803,434
Value of net assets at beginning of year (total assets less liabilities)2021-12-31$78,525,784
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2021-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2021-12-31No
Were any leases to which the plan was party in default or uncollectible2021-12-31No
Investment advisory and management fees2021-12-31$175,061
Value of interest in registered invesment companies (eg mutual funds) at end of year2021-12-31$91,208,261
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2021-12-31$71,037,247
Interest on participant loans2021-12-31$51,156
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2021-12-31$3,372,784
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2021-12-31$5,271,480
Net investment gain/loss from registered investment companies (e.g. mutual funds)2021-12-31$12,961,196
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2021-12-31No
Was there a failure to transmit to the plan any participant contributions2021-12-31No
Has the plan failed to provide any benefit when due under the plan2021-12-31No
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2021-12-31$5,523,307
Contract administrator fees2021-12-31$46,496
Did the plan have assets held for investment2021-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2021-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2021-12-31No
Opinion of an independent qualified public accountant for this plan2021-12-31Unqualified
Accountancy firm name2021-12-31EISNERAMPER LLP
Accountancy firm EIN2021-12-31871363769
2020 : BTIG, LLC 401-K PROFIT SHARING PLAN 2020 401k financial data
Total unrealized appreciation/depreciation of assets2020-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2020-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2020-12-31$0
Total income from all sources (including contributions)2020-12-31$21,015,944
Total loss/gain on sale of assets2020-12-31$0
Total of all expenses incurred2020-12-31$4,554,043
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2020-12-31$4,344,120
Value of total corrective distributions2020-12-31$8,495
Total contributions o plan (from employers,participants, others, non cash contrinutions)2020-12-31$9,066,610
Value of total assets at end of year2020-12-31$78,525,784
Value of total assets at beginning of year2020-12-31$62,063,883
Total of administrative expenses incurred including professional, contract, advisory and management fees2020-12-31$201,428
Total interest from all sources2020-12-31$46,493
Total dividends received (eg from common stock, registered investment company shares)2020-12-31$792,519
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2020-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2020-12-31$792,519
Administrative expenses professional fees incurred2020-12-31$47,303
Was this plan covered by a fidelity bond2020-12-31Yes
Value of fidelity bond cover2020-12-31$10,000,000
If this is an individual account plan, was there a blackout period2020-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2020-12-31$0
Were there any nonexempt tranactions with any party-in-interest2020-12-31No
Contributions received from participants2020-12-31$7,183,344
Participant contributions at end of year2020-12-31$1,004,467
Participant contributions at beginning of year2020-12-31$736,167
Participant contributions at end of year2020-12-31$188,813
Participant contributions at beginning of year2020-12-31$201,082
Assets. Other investments not covered elsewhere at end of year2020-12-31$1,023,777
Assets. Other investments not covered elsewhere at beginning of year2020-12-31$382,048
Income. Received or receivable in cash from other sources (including rollovers)2020-12-31$1,883,266
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2020-12-31No
Value of net income/loss2020-12-31$16,461,901
Value of net assets at end of year (total assets less liabilities)2020-12-31$78,525,784
Value of net assets at beginning of year (total assets less liabilities)2020-12-31$62,063,883
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2020-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2020-12-31No
Were any leases to which the plan was party in default or uncollectible2020-12-31No
Investment advisory and management fees2020-12-31$128,441
Value of interest in registered invesment companies (eg mutual funds) at end of year2020-12-31$71,037,247
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2020-12-31$56,858,068
Interest on participant loans2020-12-31$46,493
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2020-12-31$5,271,480
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2020-12-31$3,886,518
Net investment gain/loss from registered investment companies (e.g. mutual funds)2020-12-31$11,110,322
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2020-12-31No
Was there a failure to transmit to the plan any participant contributions2020-12-31No
Has the plan failed to provide any benefit when due under the plan2020-12-31No
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2020-12-31$4,344,120
Contract administrator fees2020-12-31$25,684
Did the plan have assets held for investment2020-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2020-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2020-12-31No
Opinion of an independent qualified public accountant for this plan2020-12-31Disclaimer
Accountancy firm name2020-12-31EISNERAMPER LLP
Accountancy firm EIN2020-12-31131639826
2019 : BTIG, LLC 401-K PROFIT SHARING PLAN 2019 401k financial data
Total unrealized appreciation/depreciation of assets2019-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2019-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2019-12-31$0
Total income from all sources (including contributions)2019-12-31$19,586,323
Total loss/gain on sale of assets2019-12-31$0
Total of all expenses incurred2019-12-31$3,970,843
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2019-12-31$3,814,373
Value of total corrective distributions2019-12-31$1,382
Total contributions o plan (from employers,participants, others, non cash contrinutions)2019-12-31$7,948,507
Value of total assets at end of year2019-12-31$62,063,883
Value of total assets at beginning of year2019-12-31$46,448,403
Total of administrative expenses incurred including professional, contract, advisory and management fees2019-12-31$155,088
Total interest from all sources2019-12-31$105,938
Total dividends received (eg from common stock, registered investment company shares)2019-12-31$867,603
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2019-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2019-12-31$867,603
Was this plan covered by a fidelity bond2019-12-31Yes
Value of fidelity bond cover2019-12-31$10,000,000
If this is an individual account plan, was there a blackout period2019-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2019-12-31$0
Were there any nonexempt tranactions with any party-in-interest2019-12-31No
Contributions received from participants2019-12-31$6,658,026
Participant contributions at end of year2019-12-31$736,167
Participant contributions at beginning of year2019-12-31$630,293
Participant contributions at end of year2019-12-31$201,082
Assets. Other investments not covered elsewhere at end of year2019-12-31$382,048
Assets. Other investments not covered elsewhere at beginning of year2019-12-31$339,871
Income. Received or receivable in cash from other sources (including rollovers)2019-12-31$1,286,052
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2019-12-31No
Value of net income/loss2019-12-31$15,615,480
Value of net assets at end of year (total assets less liabilities)2019-12-31$62,063,883
Value of net assets at beginning of year (total assets less liabilities)2019-12-31$46,448,403
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2019-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2019-12-31No
Were any leases to which the plan was party in default or uncollectible2019-12-31No
Investment advisory and management fees2019-12-31$110,481
Value of interest in registered invesment companies (eg mutual funds) at end of year2019-12-31$56,858,068
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2019-12-31$42,163,381
Interest on participant loans2019-12-31$35,355
Interest earned on other investments2019-12-31$70,583
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2019-12-31$3,886,518
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2019-12-31$3,314,858
Net investment gain/loss from registered investment companies (e.g. mutual funds)2019-12-31$10,664,275
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2019-12-31No
Was there a failure to transmit to the plan any participant contributions2019-12-31No
Has the plan failed to provide any benefit when due under the plan2019-12-31No
Contributions received in cash from employer2019-12-31$4,429
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2019-12-31$3,814,373
Contract administrator fees2019-12-31$44,607
Did the plan have assets held for investment2019-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2019-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2019-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2019-12-31Yes
Opinion of an independent qualified public accountant for this plan2019-12-31Disclaimer
Accountancy firm name2019-12-31EISNERAMPER LLP
Accountancy firm EIN2019-12-31131639826
2018 : BTIG, LLC 401-K PROFIT SHARING PLAN 2018 401k financial data
Total unrealized appreciation/depreciation of assets2018-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2018-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2018-12-31$0
Total income from all sources (including contributions)2018-12-31$3,705,315
Total loss/gain on sale of assets2018-12-31$0
Total of all expenses incurred2018-12-31$2,680,536
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2018-12-31$2,551,907
Total contributions o plan (from employers,participants, others, non cash contrinutions)2018-12-31$6,986,236
Value of total assets at end of year2018-12-31$46,448,403
Value of total assets at beginning of year2018-12-31$45,423,624
Total of administrative expenses incurred including professional, contract, advisory and management fees2018-12-31$128,629
Total interest from all sources2018-12-31$77,244
Total dividends received (eg from common stock, registered investment company shares)2018-12-31$666,008
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2018-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2018-12-31$666,008
Was this plan covered by a fidelity bond2018-12-31Yes
Value of fidelity bond cover2018-12-31$10,000,000
If this is an individual account plan, was there a blackout period2018-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2018-12-31$0
Were there any nonexempt tranactions with any party-in-interest2018-12-31No
Contributions received from participants2018-12-31$5,588,379
Participant contributions at end of year2018-12-31$630,293
Participant contributions at beginning of year2018-12-31$471,606
Participant contributions at end of year2018-12-31$0
Participant contributions at beginning of year2018-12-31$18,000
Assets. Other investments not covered elsewhere at end of year2018-12-31$339,871
Assets. Other investments not covered elsewhere at beginning of year2018-12-31$0
Income. Received or receivable in cash from other sources (including rollovers)2018-12-31$1,397,857
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2018-12-31No
Value of net income/loss2018-12-31$1,024,779
Value of net assets at end of year (total assets less liabilities)2018-12-31$46,448,403
Value of net assets at beginning of year (total assets less liabilities)2018-12-31$45,423,624
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2018-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2018-12-31No
Were any leases to which the plan was party in default or uncollectible2018-12-31No
Investment advisory and management fees2018-12-31$108,917
Value of interest in registered invesment companies (eg mutual funds) at end of year2018-12-31$42,163,381
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2018-12-31$41,659,143
Interest on participant loans2018-12-31$28,476
Interest earned on other investments2018-12-31$48,768
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2018-12-31$3,314,858
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2018-12-31$3,274,875
Net investment gain/loss from registered investment companies (e.g. mutual funds)2018-12-31$-4,024,173
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2018-12-31No
Was there a failure to transmit to the plan any participant contributions2018-12-31No
Has the plan failed to provide any benefit when due under the plan2018-12-31No
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2018-12-31$2,551,907
Contract administrator fees2018-12-31$19,712
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-32018-12-31No
Did the plan have assets held for investment2018-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2018-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2018-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2018-12-31Yes
Opinion of an independent qualified public accountant for this plan2018-12-31Disclaimer
Accountancy firm name2018-12-31EISNERAMPER LLP
Accountancy firm EIN2018-12-31131639826
2017 : BTIG, LLC 401-K PROFIT SHARING PLAN 2017 401k financial data
Total unrealized appreciation/depreciation of assets2017-12-31$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$0
Total income from all sources (including contributions)2017-12-31$12,273,128
Total loss/gain on sale of assets2017-12-31$0
Total of all expenses incurred2017-12-31$2,627,989
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2017-12-31$2,467,376
Total contributions o plan (from employers,participants, others, non cash contrinutions)2017-12-31$5,327,904
Value of total assets at end of year2017-12-31$45,423,624
Value of total assets at beginning of year2017-12-31$35,778,485
Total of administrative expenses incurred including professional, contract, advisory and management fees2017-12-31$160,613
Total interest from all sources2017-12-31$67,744
Total dividends received (eg from common stock, registered investment company shares)2017-12-31$422,502
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2017-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2017-12-31$422,502
Was this plan covered by a fidelity bond2017-12-31Yes
Value of fidelity bond cover2017-12-31$10,000,000
If this is an individual account plan, was there a blackout period2017-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2017-12-31$0
Were there any nonexempt tranactions with any party-in-interest2017-12-31No
Contributions received from participants2017-12-31$4,713,812
Participant contributions at end of year2017-12-31$471,606
Participant contributions at beginning of year2017-12-31$434,492
Participant contributions at end of year2017-12-31$18,000
Participant contributions at beginning of year2017-12-31$0
Income. Received or receivable in cash from other sources (including rollovers)2017-12-31$614,092
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2017-12-31No
Value of net income/loss2017-12-31$9,645,139
Value of net assets at end of year (total assets less liabilities)2017-12-31$45,423,624
Value of net assets at beginning of year (total assets less liabilities)2017-12-31$35,778,485
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2017-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2017-12-31No
Were any leases to which the plan was party in default or uncollectible2017-12-31No
Investment advisory and management fees2017-12-31$152,937
Value of interest in registered invesment companies (eg mutual funds) at end of year2017-12-31$41,659,143
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2017-12-31$33,085,358
Interest on participant loans2017-12-31$21,160
Interest earned on other investments2017-12-31$46,584
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2017-12-31$3,274,875
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2017-12-31$2,258,635
Net investment gain/loss from registered investment companies (e.g. mutual funds)2017-12-31$6,454,978
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2017-12-31No
Was there a failure to transmit to the plan any participant contributions2017-12-31No
Has the plan failed to provide any benefit when due under the plan2017-12-31No
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2017-12-31$2,467,376
Contract administrator fees2017-12-31$7,676
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-32017-12-31No
Did the plan have assets held for investment2017-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2017-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2017-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2017-12-31Yes
Opinion of an independent qualified public accountant for this plan2017-12-31Disclaimer
Accountancy firm name2017-12-31EISNERAMPER LLP
Accountancy firm EIN2017-12-31131639826
2016 : BTIG, LLC 401-K PROFIT SHARING PLAN 2016 401k financial data
Total unrealized appreciation/depreciation of assets2016-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2016-12-31$0
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$7,047,411
Total loss/gain on sale of assets2016-12-31$0
Total of all expenses incurred2016-12-31$3,069,828
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2016-12-31$2,923,461
Value of total corrective distributions2016-12-31$18,330
Total contributions o plan (from employers,participants, others, non cash contrinutions)2016-12-31$4,293,129
Value of total assets at end of year2016-12-31$35,778,485
Value of total assets at beginning of year2016-12-31$31,800,902
Total of administrative expenses incurred including professional, contract, advisory and management fees2016-12-31$128,037
Total interest from all sources2016-12-31$21,436
Total dividends received (eg from common stock, registered investment company shares)2016-12-31$350,560
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2016-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2016-12-31$350,560
Was this plan covered by a fidelity bond2016-12-31Yes
Value of fidelity bond cover2016-12-31$10,000,000
If this is an individual account plan, was there a blackout period2016-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2016-12-31$0
Were there any nonexempt tranactions with any party-in-interest2016-12-31No
Contributions received from participants2016-12-31$4,171,875
Participant contributions at end of year2016-12-31$434,492
Participant contributions at beginning of year2016-12-31$439,684
Participant contributions at end of year2016-12-31$0
Participant contributions at beginning of year2016-12-31$11,385
Income. Received or receivable in cash from other sources (including rollovers)2016-12-31$121,254
Other income not declared elsewhere2016-12-31$167,373
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2016-12-31No
Value of net income/loss2016-12-31$3,977,583
Value of net assets at end of year (total assets less liabilities)2016-12-31$35,778,485
Value of net assets at beginning of year (total assets less liabilities)2016-12-31$31,800,902
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2016-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2016-12-31No
Were any leases to which the plan was party in default or uncollectible2016-12-31No
Investment advisory and management fees2016-12-31$126,912
Value of interest in registered invesment companies (eg mutual funds) at end of year2016-12-31$33,085,358
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2016-12-31$29,145,376
Interest on participant loans2016-12-31$21,436
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2016-12-31$2,258,635
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2016-12-31$2,204,457
Net investment gain/loss from registered investment companies (e.g. mutual funds)2016-12-31$2,214,913
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2016-12-31No
Was there a failure to transmit to the plan any participant contributions2016-12-31Yes
Has the plan failed to provide any benefit when due under the plan2016-12-31No
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2016-12-31$2,923,461
Contract administrator fees2016-12-31$1,125
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-32016-12-31No
Did the plan have assets held for investment2016-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2016-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2016-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2016-12-31Yes
Opinion of an independent qualified public accountant for this plan2016-12-31Disclaimer
Accountancy firm name2016-12-31EISNERAMPER LLP
Accountancy firm EIN2016-12-31131639826
2015 : BTIG, LLC 401-K PROFIT SHARING PLAN 2015 401k financial data
Total unrealized appreciation/depreciation of assets2015-12-31$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$4,462,219
Total loss/gain on sale of assets2015-12-31$0
Total of all expenses incurred2015-12-31$1,013,217
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2015-12-31$893,901
Value of total corrective distributions2015-12-31$727
Total contributions o plan (from employers,participants, others, non cash contrinutions)2015-12-31$4,618,370
Value of total assets at end of year2015-12-31$31,800,902
Value of total assets at beginning of year2015-12-31$28,351,900
Total of administrative expenses incurred including professional, contract, advisory and management fees2015-12-31$118,589
Total interest from all sources2015-12-31$19,548
Total dividends received (eg from common stock, registered investment company shares)2015-12-31$270,214
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2015-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2015-12-31$270,214
Was this plan covered by a fidelity bond2015-12-31Yes
Value of fidelity bond cover2015-12-31$10,000,000
If this is an individual account plan, was there a blackout period2015-12-31Yes
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2015-12-31$0
Were there any nonexempt tranactions with any party-in-interest2015-12-31No
Contributions received from participants2015-12-31$4,055,089
Participant contributions at end of year2015-12-31$439,684
Participant contributions at beginning of year2015-12-31$348,161
Participant contributions at end of year2015-12-31$11,385
Participant contributions at beginning of year2015-12-31$7,250
Income. Received or receivable in cash from other sources (including rollovers)2015-12-31$563,281
Other income not declared elsewhere2015-12-31$34,117
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2015-12-31No
Value of net income/loss2015-12-31$3,449,002
Value of net assets at end of year (total assets less liabilities)2015-12-31$31,800,902
Value of net assets at beginning of year (total assets less liabilities)2015-12-31$28,351,900
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2015-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2015-12-31No
Were any leases to which the plan was party in default or uncollectible2015-12-31No
Investment advisory and management fees2015-12-31$116,314
Value of interest in registered invesment companies (eg mutual funds) at end of year2015-12-31$29,145,376
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2015-12-31$25,901,159
Interest on participant loans2015-12-31$19,548
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2015-12-31$0
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2015-12-31$2,095,330
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2015-12-31$2,095,330
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)2015-12-31$0
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2015-12-31$2,204,457
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2015-12-31$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)2015-12-31$-480,030
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2015-12-31No
Was there a failure to transmit to the plan any participant contributions2015-12-31No
Has the plan failed to provide any benefit when due under the plan2015-12-31No
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2015-12-31$893,901
Contract administrator fees2015-12-31$2,275
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-32015-12-31Yes
Did the plan have assets held for investment2015-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2015-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2015-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2015-12-31Yes
Opinion of an independent qualified public accountant for this plan2015-12-31Disclaimer
Accountancy firm name2015-12-31EISNERAMPER LLP
Accountancy firm EIN2015-12-31131639826
2014 : BTIG, LLC 401-K PROFIT SHARING PLAN 2014 401k financial data
Total unrealized appreciation/depreciation of assets2014-12-31$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$6,139,837
Total loss/gain on sale of assets2014-12-31$0
Total of all expenses incurred2014-12-31$765,099
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2014-12-31$745,186
Total contributions o plan (from employers,participants, others, non cash contrinutions)2014-12-31$4,365,382
Value of total assets at end of year2014-12-31$28,351,900
Value of total assets at beginning of year2014-12-31$22,977,162
Total of administrative expenses incurred including professional, contract, advisory and management fees2014-12-31$19,913
Total interest from all sources2014-12-31$19,121
Total dividends received (eg from common stock, registered investment company shares)2014-12-31$265,037
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2014-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2014-12-31$257,573
Was this plan covered by a fidelity bond2014-12-31Yes
Value of fidelity bond cover2014-12-31$10,000,000
If this is an individual account plan, was there a blackout period2014-12-31Yes
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2014-12-31$0
Were there any nonexempt tranactions with any party-in-interest2014-12-31No
Contributions received from participants2014-12-31$3,790,925
Participant contributions at end of year2014-12-31$348,161
Participant contributions at beginning of year2014-12-31$534,714
Participant contributions at end of year2014-12-31$7,250
Participant contributions at beginning of year2014-12-31$296,323
Income. Received or receivable in cash from other sources (including rollovers)2014-12-31$574,457
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2014-12-31No
Value of net income/loss2014-12-31$5,374,738
Value of net assets at end of year (total assets less liabilities)2014-12-31$28,351,900
Value of net assets at beginning of year (total assets less liabilities)2014-12-31$22,977,162
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2014-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2014-12-31No
Were any leases to which the plan was party in default or uncollectible2014-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2014-12-31$25,901,159
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2014-12-31$20,030,216
Interest on participant loans2014-12-31$19,121
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2014-12-31$2,095,330
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2014-12-31$1,735,000
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2014-12-31$1,735,000
Net investment gain/loss from registered investment companies (e.g. mutual funds)2014-12-31$1,490,297
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2014-12-31No
Was there a failure to transmit to the plan any participant contributions2014-12-31No
Has the plan failed to provide any benefit when due under the plan2014-12-31No
Income. Dividends from common stock2014-12-31$7,464
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2014-12-31$745,186
Contract administrator fees2014-12-31$19,913
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-32014-12-31Yes
Assets. Corporate common stocks other than exployer securities at end of year2014-12-31$0
Assets. Corporate common stocks other than exployer securities at beginning of year2014-12-31$380,909
Did the plan have assets held for investment2014-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2014-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2014-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2014-12-31Yes
Opinion of an independent qualified public accountant for this plan2014-12-31Disclaimer
Accountancy firm name2014-12-31KPMG
Accountancy firm EIN2014-12-31135565207
2013 : BTIG, LLC 401-K PROFIT SHARING PLAN 2013 401k financial data
Total income from all sources (including contributions)2013-12-31$6,997,758
Total of all expenses incurred2013-12-31$666,413
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2013-12-31$637,802
Total contributions o plan (from employers,participants, others, non cash contrinutions)2013-12-31$3,413,098
Value of total assets at end of year2013-12-31$22,977,162
Value of total assets at beginning of year2013-12-31$16,645,817
Total of administrative expenses incurred including professional, contract, advisory and management fees2013-12-31$28,611
Total interest from all sources2013-12-31$31,570
Total dividends received (eg from common stock, registered investment company shares)2013-12-31$908,372
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2013-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2013-12-31$901,205
Administrative expenses professional fees incurred2013-12-31$28,611
Was this plan covered by a fidelity bond2013-12-31Yes
Value of fidelity bond cover2013-12-31$10,000,000
If this is an individual account plan, was there a blackout period2013-12-31No
Were there any nonexempt tranactions with any party-in-interest2013-12-31No
Contributions received from participants2013-12-31$3,324,181
Participant contributions at end of year2013-12-31$534,714
Participant contributions at beginning of year2013-12-31$401,936
Participant contributions at end of year2013-12-31$296,323
Participant contributions at beginning of year2013-12-31$217,894
Income. Received or receivable in cash from other sources (including rollovers)2013-12-31$88,917
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2013-12-31No
Value of net income/loss2013-12-31$6,331,345
Value of net assets at end of year (total assets less liabilities)2013-12-31$22,977,162
Value of net assets at beginning of year (total assets less liabilities)2013-12-31$16,645,817
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2013-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2013-12-31No
Were any leases to which the plan was party in default or uncollectible2013-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2013-12-31$20,030,216
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2013-12-31$14,406,563
Interest on participant loans2013-12-31$31,570
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2013-12-31$1,735,000
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2013-12-31$1,418,511
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2013-12-31$1,418,511
Net investment gain/loss from registered investment companies (e.g. mutual funds)2013-12-31$2,644,718
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2013-12-31No
Was there a failure to transmit to the plan any participant contributions2013-12-31No
Has the plan failed to provide any benefit when due under the plan2013-12-31No
Income. Dividends from common stock2013-12-31$7,167
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2013-12-31$637,802
Assets. Corporate common stocks other than exployer securities at end of year2013-12-31$380,909
Assets. Corporate common stocks other than exployer securities at beginning of year2013-12-31$200,913
Did the plan have assets held for investment2013-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2013-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2013-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2013-12-31Yes
Opinion of an independent qualified public accountant for this plan2013-12-31Disclaimer
Accountancy firm name2013-12-31ROTHSTEIN KASS
Accountancy firm EIN2013-12-31222131009
2012 : BTIG, LLC 401-K PROFIT SHARING PLAN 2012 401k financial data
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$4,868,774
Total of all expenses incurred2012-12-31$775,274
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2012-12-31$732,697
Total contributions o plan (from employers,participants, others, non cash contrinutions)2012-12-31$3,148,620
Value of total assets at end of year2012-12-31$16,645,817
Value of total assets at beginning of year2012-12-31$12,552,317
Total of administrative expenses incurred including professional, contract, advisory and management fees2012-12-31$42,577
Total interest from all sources2012-12-31$18,279
Total dividends received (eg from common stock, registered investment company shares)2012-12-31$438,271
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2012-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2012-12-31$438,271
Administrative expenses professional fees incurred2012-12-31$42,577
Was this plan covered by a fidelity bond2012-12-31Yes
Value of fidelity bond cover2012-12-31$10,000,000
If this is an individual account plan, was there a blackout period2012-12-31No
Were there any nonexempt tranactions with any party-in-interest2012-12-31No
Contributions received from participants2012-12-31$2,895,080
Participant contributions at end of year2012-12-31$401,936
Participant contributions at beginning of year2012-12-31$313,091
Participant contributions at end of year2012-12-31$217,894
Participant contributions at beginning of year2012-12-31$165,714
Income. Received or receivable in cash from other sources (including rollovers)2012-12-31$253,540
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2012-12-31No
Value of net income/loss2012-12-31$4,093,500
Value of net assets at end of year (total assets less liabilities)2012-12-31$16,645,817
Value of net assets at beginning of year (total assets less liabilities)2012-12-31$12,552,317
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2012-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2012-12-31No
Were any leases to which the plan was party in default or uncollectible2012-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2012-12-31$14,406,563
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2012-12-31$10,664,020
Interest on participant loans2012-12-31$18,279
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2012-12-31$1,418,511
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2012-12-31$1,269,571
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2012-12-31$1,269,571
Net investment gain/loss from registered investment companies (e.g. mutual funds)2012-12-31$1,263,604
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2012-12-31No
Was there a failure to transmit to the plan any participant contributions2012-12-31No
Has the plan failed to provide any benefit when due under the plan2012-12-31No
Employer contributions (assets) at beginning of year2012-12-31$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2012-12-31$732,697
Assets. Corporate common stocks other than exployer securities at end of year2012-12-31$200,913
Assets. Corporate common stocks other than exployer securities at beginning of year2012-12-31$139,921
Did the plan have assets held for investment2012-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2012-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2012-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2012-12-31Yes
Opinion of an independent qualified public accountant for this plan2012-12-31Disclaimer
Accountancy firm name2012-12-31ROTHSTEIN KASS
Accountancy firm EIN2012-12-31222131009
2011 : BTIG, LLC 401-K PROFIT SHARING PLAN 2011 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets2011-12-31$-13,879
Total unrealized appreciation/depreciation of assets2011-12-31$-13,879
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$2,907,072
Total loss/gain on sale of assets2011-12-31$36,841
Total of all expenses incurred2011-12-31$1,267,005
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2011-12-31$1,185,433
Expenses. Certain deemed distributions of participant loans2011-12-31$28,482
Total contributions o plan (from employers,participants, others, non cash contrinutions)2011-12-31$3,303,074
Value of total assets at end of year2011-12-31$12,552,317
Value of total assets at beginning of year2011-12-31$10,912,250
Total of administrative expenses incurred including professional, contract, advisory and management fees2011-12-31$53,090
Total interest from all sources2011-12-31$9,531
Total dividends received (eg from common stock, registered investment company shares)2011-12-31$279,361
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2011-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2011-12-31$278,785
Assets. Real estate other than employer real property at beginning of year2011-12-31$0
Administrative expenses professional fees incurred2011-12-31$53,090
Assets. Corporate prefeered stocks other than exployer securities at beginning of year2011-12-31$0
Was this plan covered by a fidelity bond2011-12-31Yes
Value of fidelity bond cover2011-12-31$10,000,000
If this is an individual account plan, was there a blackout period2011-12-31No
Were there any nonexempt tranactions with any party-in-interest2011-12-31No
Contributions received from participants2011-12-31$2,688,973
Participant contributions at end of year2011-12-31$313,091
Participant contributions at beginning of year2011-12-31$252,503
Participant contributions at end of year2011-12-31$165,714
Participant contributions at beginning of year2011-12-31$227,232
Assets. Other investments not covered elsewhere at beginning of year2011-12-31$0
Income. Received or receivable in cash from other sources (including rollovers)2011-12-31$614,101
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)2011-12-31$1,859
Assets. Loans (other than to participants) at beginning of year2011-12-31$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year2011-12-31$0
Liabilities. Value of operating payables at beginning of year2011-12-31$0
Total non interest bearing cash at beginning of year2011-12-31$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2011-12-31No
Income. Non cash contributions2011-12-31$0
Value of net income/loss2011-12-31$1,640,067
Value of net assets at end of year (total assets less liabilities)2011-12-31$12,552,317
Value of net assets at beginning of year (total assets less liabilities)2011-12-31$10,912,250
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2011-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2011-12-31No
Were any leases to which the plan was party in default or uncollectible2011-12-31No
Assets. partnership/joint venture interests at beginning of year2011-12-31$0
Value of interest in registered invesment companies (eg mutual funds) at end of year2011-12-31$10,664,020
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2011-12-31$9,105,179
Value of interest in pooled separate accounts at beginning of year2011-12-31$0
Interest on participant loans2011-12-31$9,531
Value of interest in master investment trust accounts at beginning of year2011-12-31$0
Value of interest in common/collective trusts at beginning of year2011-12-31$0
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2011-12-31$1,269,571
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2011-12-31$1,055,270
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2011-12-31$1,055,270
Assets. Value of investments in 103.12 investment entities at beginning of year2011-12-31$0
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2011-12-31$0
Asset value of US Government securities at beginning of year2011-12-31$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)2011-12-31$-707,856
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2011-12-31No
Was there a failure to transmit to the plan any participant contributions2011-12-31No
Has the plan failed to provide any benefit when due under the plan2011-12-31No
Assets. Invements in employer securities at beginning of year2011-12-31$0
Assets. Value of employer real property at beginning of year2011-12-31$0
Contributions received in cash from employer2011-12-31$0
Employer contributions (assets) at end of year2011-12-31$0
Employer contributions (assets) at beginning of year2011-12-31$132,036
Income. Dividends from common stock2011-12-31$576
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2011-12-31$1,183,574
Asset. Corporate debt instrument preferred debt at beginning of year2011-12-31$0
Asset. Corporate debt instrument debt (other) at beginning of year2011-12-31$0
Assets. Corporate common stocks other than exployer securities at end of year2011-12-31$139,921
Assets. Corporate common stocks other than exployer securities at beginning of year2011-12-31$140,030
Liabilities. Value of benefit claims payable at beginning of year2011-12-31$0
Assets. Value of buildings and other operty used in plan operation at beginning of year2011-12-31$0
Did the plan have assets held for investment2011-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2011-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2011-12-31No
Aggregate proceeds on sale of assets2011-12-31$317,650
Aggregate carrying amount (costs) on sale of assets2011-12-31$280,809
Liabilities. Value of acquisition indebtedness at beginning of year2011-12-31$0
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2011-12-31Yes
Opinion of an independent qualified public accountant for this plan2011-12-31Disclaimer
Accountancy firm name2011-12-31ROTHSTEIN KASS
Accountancy firm EIN2011-12-31222131009
2010 : BTIG, LLC 401-K PROFIT SHARING PLAN 2010 401k financial data
Unrealized appreciation/depreciation of real estate assets2010-12-31$0
Unrealized appreciation/depreciation of other (non real estate) assets2010-12-31$-2,161
Total unrealized appreciation/depreciation of assets2010-12-31$-2,161
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$4,511,941
Total loss/gain on sale of assets2010-12-31$2,600
Total of all expenses incurred2010-12-31$829,910
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2010-12-31$786,633
Value of total corrective distributions2010-12-31$4,583
Total contributions o plan (from employers,participants, others, non cash contrinutions)2010-12-31$3,355,941
Value of total assets at end of year2010-12-31$10,912,250
Value of total assets at beginning of year2010-12-31$7,230,219
Total of administrative expenses incurred including professional, contract, advisory and management fees2010-12-31$38,694
Total income from rents2010-12-31$0
Total interest from all sources2010-12-31$7,899
Total dividends received (eg from common stock, registered investment company shares)2010-12-31$151,234
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2010-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2010-12-31$151,234
Assets. Real estate other than employer real property at end of year2010-12-31$0
Assets. Real estate other than employer real property at beginning of year2010-12-31$0
Administrative expenses professional fees incurred2010-12-31$38,694
Assets. Corporate prefeered stocks other than exployer securities at end of year2010-12-31$0
Assets. Corporate prefeered stocks other than exployer securities at beginning of year2010-12-31$0
Was this plan covered by a fidelity bond2010-12-31Yes
Value of fidelity bond cover2010-12-31$350,000
If this is an individual account plan, was there a blackout period2010-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2010-12-31$0
Were there any nonexempt tranactions with any party-in-interest2010-12-31No
Contributions received from participants2010-12-31$2,640,992
Participant contributions at end of year2010-12-31$252,503
Participant contributions at beginning of year2010-12-31$169,162
Participant contributions at end of year2010-12-31$227,232
Participant contributions at beginning of year2010-12-31$233,561
Assets. Other investments not covered elsewhere at end of year2010-12-31$0
Assets. Other investments not covered elsewhere at beginning of year2010-12-31$0
Income. Received or receivable in cash from other sources (including rollovers)2010-12-31$582,913
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)2010-12-31$0
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2010-12-31$0
Assets. Loans (other than to participants) at end of year2010-12-31$0
Assets. Loans (other than to participants) at beginning of year2010-12-31$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year2010-12-31$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year2010-12-31$0
Other income not declared elsewhere2010-12-31$0
Liabilities. Value of operating payables at end of year2010-12-31$0
Liabilities. Value of operating payables at beginning of year2010-12-31$0
Total non interest bearing cash at end of year2010-12-31$0
Total non interest bearing cash at beginning of year2010-12-31$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2010-12-31No
Income. Non cash contributions2010-12-31$0
Value of net income/loss2010-12-31$3,682,031
Value of net assets at end of year (total assets less liabilities)2010-12-31$10,912,250
Value of net assets at beginning of year (total assets less liabilities)2010-12-31$7,230,219
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2010-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2010-12-31No
Were any leases to which the plan was party in default or uncollectible2010-12-31No
Assets. partnership/joint venture interests at end of year2010-12-31$0
Assets. partnership/joint venture interests at beginning of year2010-12-31$0
Value of interest in registered invesment companies (eg mutual funds) at end of year2010-12-31$9,105,179
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2010-12-31$6,758,560
Value of interest in pooled separate accounts at end of year2010-12-31$0
Value of interest in pooled separate accounts at beginning of year2010-12-31$0
Interest on participant loans2010-12-31$0
Income. Interest from loans (other than to participants)2010-12-31$7,899
Interest earned on other investments2010-12-31$0
Income. Interest from US Government securities2010-12-31$0
Income. Interest from corporate debt instruments2010-12-31$0
Value of interest in master investment trust accounts at end of year2010-12-31$0
Value of interest in master investment trust accounts at beginning of year2010-12-31$0
Value of interest in common/collective trusts at end of year2010-12-31$0
Value of interest in common/collective trusts at beginning of year2010-12-31$0
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2010-12-31$1,055,270
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2010-12-31$0
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2010-12-31$0
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)2010-12-31$0
Assets. Value of investments in 103.12 investment entities at end of year2010-12-31$0
Assets. Value of investments in 103.12 investment entities at beginning of year2010-12-31$0
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2010-12-31$0
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2010-12-31$0
Expenses. Payments to insurance carriers foe the provision of benefits2010-12-31$0
Asset value of US Government securities at end of year2010-12-31$0
Asset value of US Government securities at beginning of year2010-12-31$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)2010-12-31$996,428
Net investment gain/loss from pooled separate accounts2010-12-31$0
Net investment gain or loss from common/collective trusts2010-12-31$0
Net gain/loss from 103.12 investment entities2010-12-31$0
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2010-12-31No
Was there a failure to transmit to the plan any participant contributions2010-12-31No
Has the plan failed to provide any benefit when due under the plan2010-12-31No
Assets. Invements in employer securities at end of year2010-12-31$0
Assets. Invements in employer securities at beginning of year2010-12-31$0
Assets. Value of employer real property at end of year2010-12-31$0
Assets. Value of employer real property at beginning of year2010-12-31$0
Contributions received in cash from employer2010-12-31$132,036
Employer contributions (assets) at end of year2010-12-31$132,036
Employer contributions (assets) at beginning of year2010-12-31$68,936
Income. Dividends from preferred stock2010-12-31$0
Income. Dividends from common stock2010-12-31$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2010-12-31$786,633
Asset. Corporate debt instrument preferred debt at end of year2010-12-31$0
Asset. Corporate debt instrument preferred debt at beginning of year2010-12-31$0
Asset. Corporate debt instrument debt (other) at end of year2010-12-31$0
Asset. Corporate debt instrument debt (other) at beginning of year2010-12-31$0
Assets. Corporate common stocks other than exployer securities at end of year2010-12-31$140,030
Assets. Corporate common stocks other than exployer securities at beginning of year2010-12-31$0
Liabilities. Value of benefit claims payable at end of year2010-12-31$0
Liabilities. Value of benefit claims payable at beginning of year2010-12-31$0
Assets. Value of buildings and other operty used in plan operation at end of year2010-12-31$0
Assets. Value of buildings and other operty used in plan operation at beginning of year2010-12-31$0
Did the plan have assets held for investment2010-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2010-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2010-12-31No
Aggregate proceeds on sale of assets2010-12-31$23,183
Aggregate carrying amount (costs) on sale of assets2010-12-31$20,583
Liabilities. Value of acquisition indebtedness at end of year2010-12-31$0
Liabilities. Value of acquisition indebtedness at beginning of year2010-12-31$0
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2010-12-31Yes
Opinion of an independent qualified public accountant for this plan2010-12-31Disclaimer
Accountancy firm name2010-12-31ROTHSTEIN, KASS & COMPANY, LLP
Accountancy firm EIN2010-12-31943361453
2009 : BTIG, LLC 401-K PROFIT SHARING PLAN 2009 401k financial data
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2009-12-31$0

Form 5500 Responses for BTIG, LLC 401-K PROFIT SHARING PLAN

2022: BTIG, LLC 401-K PROFIT SHARING PLAN 2022 form 5500 responses
2022-01-01Type of plan entitySingle employer plan
2022-01-01Submission has been amendedNo
2022-01-01This submission is the final filingNo
2022-01-01This return/report is a short plan year return/report (less than 12 months)No
2022-01-01Plan is a collectively bargained planNo
2022-01-01Plan funding arrangement – InsuranceYes
2022-01-01Plan funding arrangement – TrustYes
2022-01-01Plan benefit arrangement – InsuranceYes
2022-01-01Plan benefit arrangement - TrustYes
2021: BTIG, LLC 401-K PROFIT SHARING PLAN 2021 form 5500 responses
2021-01-01Type of plan entitySingle employer plan
2021-01-01Submission has been amendedNo
2021-01-01This submission is the final filingNo
2021-01-01This return/report is a short plan year return/report (less than 12 months)No
2021-01-01Plan is a collectively bargained planNo
2021-01-01Plan funding arrangement – InsuranceYes
2021-01-01Plan funding arrangement – TrustYes
2021-01-01Plan benefit arrangement – InsuranceYes
2021-01-01Plan benefit arrangement - TrustYes
2020: BTIG, LLC 401-K PROFIT SHARING PLAN 2020 form 5500 responses
2020-01-01Type of plan entitySingle employer plan
2020-01-01Submission has been amendedNo
2020-01-01This submission is the final filingNo
2020-01-01This return/report is a short plan year return/report (less than 12 months)No
2020-01-01Plan is a collectively bargained planNo
2020-01-01Plan funding arrangement – InsuranceYes
2020-01-01Plan funding arrangement – TrustYes
2020-01-01Plan benefit arrangement – InsuranceYes
2020-01-01Plan benefit arrangement - TrustYes
2019: BTIG, LLC 401-K PROFIT SHARING PLAN 2019 form 5500 responses
2019-01-01Type of plan entitySingle employer plan
2019-01-01Submission has been amendedNo
2019-01-01This submission is the final filingNo
2019-01-01This return/report is a short plan year return/report (less than 12 months)No
2019-01-01Plan is a collectively bargained planNo
2019-01-01Plan funding arrangement – InsuranceYes
2019-01-01Plan funding arrangement – TrustYes
2019-01-01Plan benefit arrangement – InsuranceYes
2019-01-01Plan benefit arrangement - TrustYes
2018: BTIG, LLC 401-K PROFIT SHARING PLAN 2018 form 5500 responses
2018-01-01Type of plan entitySingle employer plan
2018-01-01Submission has been amendedNo
2018-01-01This submission is the final filingNo
2018-01-01This return/report is a short plan year return/report (less than 12 months)No
2018-01-01Plan is a collectively bargained planNo
2018-01-01Plan funding arrangement – InsuranceYes
2018-01-01Plan funding arrangement – TrustYes
2018-01-01Plan benefit arrangement – InsuranceYes
2018-01-01Plan benefit arrangement - TrustYes
2017: BTIG, LLC 401-K PROFIT SHARING PLAN 2017 form 5500 responses
2017-01-01Type of plan entitySingle employer plan
2017-01-01Submission has been amendedNo
2017-01-01This submission is the final filingNo
2017-01-01This return/report is a short plan year return/report (less than 12 months)No
2017-01-01Plan is a collectively bargained planNo
2017-01-01Plan funding arrangement – InsuranceYes
2017-01-01Plan funding arrangement – TrustYes
2017-01-01Plan benefit arrangement – InsuranceYes
2017-01-01Plan benefit arrangement - TrustYes
2016: BTIG, LLC 401-K PROFIT SHARING PLAN 2016 form 5500 responses
2016-01-01Type of plan entitySingle employer plan
2016-01-01Submission has been amendedNo
2016-01-01This submission is the final filingNo
2016-01-01This return/report is a short plan year return/report (less than 12 months)No
2016-01-01Plan is a collectively bargained planNo
2016-01-01Plan funding arrangement – InsuranceYes
2016-01-01Plan funding arrangement – TrustYes
2016-01-01Plan benefit arrangement – InsuranceYes
2016-01-01Plan benefit arrangement - TrustYes
2015: BTIG, LLC 401-K PROFIT SHARING PLAN 2015 form 5500 responses
2015-01-01Type of plan entitySingle employer plan
2015-01-01Submission has been amendedNo
2015-01-01This submission is the final filingNo
2015-01-01This return/report is a short plan year return/report (less than 12 months)No
2015-01-01Plan is a collectively bargained planNo
2015-01-01Plan funding arrangement – InsuranceYes
2015-01-01Plan funding arrangement – TrustYes
2015-01-01Plan benefit arrangement – InsuranceYes
2015-01-01Plan benefit arrangement - TrustYes
2014: BTIG, LLC 401-K PROFIT SHARING PLAN 2014 form 5500 responses
2014-01-01Type of plan entitySingle employer plan
2014-01-01Submission has been amendedNo
2014-01-01This submission is the final filingNo
2014-01-01This return/report is a short plan year return/report (less than 12 months)No
2014-01-01Plan is a collectively bargained planNo
2014-01-01Plan funding arrangement – InsuranceYes
2014-01-01Plan funding arrangement – TrustYes
2014-01-01Plan benefit arrangement – InsuranceYes
2014-01-01Plan benefit arrangement - TrustYes
2013: BTIG, LLC 401-K PROFIT SHARING PLAN 2013 form 5500 responses
2013-01-01Type of plan entitySingle employer plan
2013-01-01Submission has been amendedNo
2013-01-01This submission is the final filingNo
2013-01-01This return/report is a short plan year return/report (less than 12 months)No
2013-01-01Plan is a collectively bargained planNo
2013-01-01Plan funding arrangement – TrustYes
2013-01-01Plan benefit arrangement - TrustYes
2012: BTIG, LLC 401-K PROFIT SHARING PLAN 2012 form 5500 responses
2012-01-01Type of plan entitySingle employer plan
2012-01-01Submission has been amendedNo
2012-01-01This submission is the final filingNo
2012-01-01This return/report is a short plan year return/report (less than 12 months)No
2012-01-01Plan is a collectively bargained planNo
2012-01-01Plan funding arrangement – TrustYes
2012-01-01Plan benefit arrangement - TrustYes
2011: BTIG, LLC 401-K PROFIT SHARING PLAN 2011 form 5500 responses
2011-01-01Type of plan entitySingle employer plan
2011-01-01Submission has been amendedNo
2011-01-01This submission is the final filingNo
2011-01-01This return/report is a short plan year return/report (less than 12 months)No
2011-01-01Plan is a collectively bargained planNo
2011-01-01Plan funding arrangement – TrustYes
2011-01-01Plan benefit arrangement - TrustYes
2010: BTIG, LLC 401-K PROFIT SHARING PLAN 2010 form 5500 responses
2010-01-01Type of plan entitySingle employer plan
2010-01-01Submission has been amendedNo
2010-01-01This submission is the final filingNo
2010-01-01This return/report is a short plan year return/report (less than 12 months)No
2010-01-01Plan is a collectively bargained planNo
2010-01-01Plan funding arrangement – InsuranceYes
2010-01-01Plan funding arrangement – TrustYes
2010-01-01Plan benefit arrangement – InsuranceYes
2010-01-01Plan benefit arrangement - TrustYes
2009: BTIG, LLC 401-K PROFIT SHARING PLAN 2009 form 5500 responses
2009-01-01Type of plan entitySingle employer plan
2009-01-01Submission has been amendedNo
2009-01-01This submission is the final filingNo
2009-01-01This return/report is a short plan year return/report (less than 12 months)No
2009-01-01Plan is a collectively bargained planNo
2009-01-01Plan funding arrangement – TrustYes
2009-01-01Plan benefit arrangement - TrustYes

Insurance Providers Used on plan

NEW YORK LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 66915 )
Policy contract numberGA28224
Policy instance 1
Insurance contract or identification numberGA28224
Number of Individuals Covered657
Insurance policy start date2022-01-01
Insurance policy end date2022-12-31
Are there contracts with allocated funds for individual policies?0
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?Yes
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?No
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
NEW YORK LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 66915 )
Policy contract numberGA28224
Policy instance 1
Insurance contract or identification numberGA28224
Number of Individuals Covered561
Insurance policy start date2021-01-01
Insurance policy end date2021-12-31
Are there contracts with allocated funds for individual policies?0
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?Yes
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?No
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
NEW YORK LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 66915 )
Policy contract numberGA28224
Policy instance 1
Insurance contract or identification numberGA28224
Number of Individuals Covered526
Insurance policy start date2020-01-01
Insurance policy end date2020-12-31
Are there contracts with allocated funds for individual policies?0
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?Yes
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?No
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
NEW YORK LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 66915 )
Policy contract numberGA28224
Policy instance 1
Insurance contract or identification numberGA28224
Number of Individuals Covered498
Insurance policy start date2019-01-01
Insurance policy end date2019-12-31
Are there contracts with allocated funds for individual policies?0
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?Yes
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?No
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
NEW YORK LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 66915 )
Policy contract numberGA28224
Policy instance 1
Insurance contract or identification numberGA28224
Number of Individuals Covered458
Insurance policy start date2018-01-01
Insurance policy end date2018-12-31
Are there contracts with allocated funds for individual policies?0
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?Yes
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?No
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
NEW YORK LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 66915 )
Policy contract numberGA28224
Policy instance 1
Insurance contract or identification numberGA28224
Number of Individuals Covered419
Insurance policy start date2017-01-01
Insurance policy end date2017-12-31
Are there contracts with allocated funds for individual policies?0
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?Yes
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?No
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No

Was this data useful?
If you found the data here useful, PLEASE HELP US. We are a start-up and believe in making information freely available. By linking to us, posting on twitter, facebook and linkedin about us and generally spreading the word, you'll help us to grow. Our vision is to provide high quality data about the activities of all the companies in the world and where possible make it free to use and view. Finding and integrating data from thousands of data sources is time consuming and needs lots of effort. By simply spreading the word about us, you will help us.

Please use the share buttons. It will only take a few seconds of your time. Thanks for helping

Information Disclaimer
The information provided on this website is not advice, endorsement or recommendation
The information published is supplied by third parties so we make no warranty on the accuracy, completeness etc. This information is provided "as-is". The information is subject to change as we obtain updates and corrections from the primary information sources.
You are free to use the information for your own personal research on the understanding to do so is at your own risk.

See full terms and conditions

Copyright © Market Footprint Ltd
Contact us   Datalog Company Directory
401k Lookup     VAT Lookup S3