401k Plan data: CADARET, GRANT & CO., INC. 401(K) PROFIT SHARING PLAN plan

CADARET, GRANT & CO., INC. 401(K) PROFIT SHARING PLAN 401k Plan overview

Plan Name	CADARET, GRANT & CO., INC. 401(K) PROFIT SHARING PLAN
Plan identification number	001

CADARET, GRANT & CO., INC. 401(K) PROFIT SHARING PLAN Benefits

401k Plan Type

Defined Contribution Pension

Plan Features/Benefits

Age/Service Weighted or new comparability or similar plan - Age/Service Weighted Plan: Allocations are based on age, service, or age and service. New comparability or similar plan: Allocations are based on participant classifications and a classification(s) consists entirely or predominantly of highly compensated employees; or the plan provides an additional allocation rate on compensation above a specified threshold, and the theshold or additional rate exceeds the maximum threshold or rate allowed under the permitted disparity rules of section 401(l).
Profit-sharing
ERISA section 404(c) Plan - This plan, or any part of it is intended to meet the conditions of 29 CFR 2550.404c-1.
Partial participant-directed account plan - Participants have the opportunity to direct the investment of a portion of the assets allocated to their individual accounts, regardless of whether 29 CFR 2550.404c-1 is intended to be met.
Code section 401(k) feature - A cash or deferred arrangement described in Code section 401(k) that is part of a qualified defined contribution plan that provides for an election by employees to defer part of their compensation or receive these amounts in cash.
Code section 401(m) arrangement - Employee contributions are allocated to separate accounts under the plan or employer contributions are based, in whole or in part, on employee deferrals or contribtions to the plan. Not applicable if plan is 401(k) plan with only QNECs and/or QMACs. Also not applicable if Code section 403(b)(1), 403(b)(7) or 408 arrangements/accounts/annuities.
Master plan - A pension plan that is made available by a sponsor for adoption by employers; that is the subject of a favorable opinion letter; and for which a single funding medium (for example, a trust or custodial account) is established for the joint use of all adopting employers.
Plan sponsor(s) is (are) a member(s) of a controlled group (Code sections 414(b), (c), or (m)).

401k Sponsoring company profile

CADARET, GRANT & CO., INC. has sponsored the creation of one or more 401k plans.

Company Name: CADARET, GRANT & CO., INC.

Employer identification number (EIN): 222361254

NAIC Classification: 523120
NAIC Description: Securities Brokerage

Additional information about CADARET, GRANT & CO., INC.

Jurisdiction of Incorporation: State of Delaware Division of Corporations

Incorporation Date:

Company Identification Number: 0912484

More information about CADARET, GRANT & CO., INC.

Form 5500 Filing Information

Submission information for form 5500 for 401k plan CADARET, GRANT & CO., INC. 401(K) PROFIT SHARING PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2018-01-01 DONALD J. TAYLOR 2019-08-30 DONALD J. TAYLOR 2019-08-30
001 2017-01-01
001 2016-01-01
001 2015-01-01
001 2014-01-01
001 2013-01-01
001 2012-01-01 DONALD J. TAYLOR DONALD J. TAYLOR 2013-07-26
001 2011-01-01 DONALD J. TAYLOR DONALD J. TAYLOR 2012-07-27
001 2009-01-01 KAREN BENENATI
001 2009-01-01 KAREN BENENATI
001 2009-01-01 KAREN BENENATI

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed	Name of Company Sponsor	Date Sponsor Signed
001	2018-01-01	DONALD J. TAYLOR	2019-08-30	DONALD J. TAYLOR	2019-08-30
001	2017-01-01
001	2016-01-01
001	2015-01-01
001	2014-01-01
001	2013-01-01
001	2012-01-01	DONALD J. TAYLOR		DONALD J. TAYLOR	2013-07-26
001	2011-01-01	DONALD J. TAYLOR		DONALD J. TAYLOR	2012-07-27
001	2009-01-01	KAREN BENENATI
001	2009-01-01	KAREN BENENATI
001	2009-01-01	KAREN BENENATI

Plan Statistics for CADARET, GRANT & CO., INC. 401(K) PROFIT SHARING PLAN

401k plan membership statisitcs for CADARET, GRANT & CO., INC. 401(K) PROFIT SHARING PLAN

Measure Date Value
2018: CADARET, GRANT & CO., INC. 401(K) PROFIT SHARING PLAN 2018 401k membership
Total participants, beginning-of-year 2018-01-01 125
Total number of active participants reported on line 7a of the Form 5500 2018-01-01 0
Number of retired or separated participants receiving benefits 2018-01-01 0
Number of other retired or separated participants entitled to future benefits 2018-01-01 0
Total of all active and inactive participants 2018-01-01 0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2018-01-01 0
Total participants 2018-01-01 0
Number of participants with account balances 2018-01-01 0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2018-01-01 0
2017: CADARET, GRANT & CO., INC. 401(K) PROFIT SHARING PLAN 2017 401k membership
Total participants, beginning-of-year 2017-01-01 127
Total number of active participants reported on line 7a of the Form 5500 2017-01-01 92
Number of retired or separated participants receiving benefits 2017-01-01 0
Number of other retired or separated participants entitled to future benefits 2017-01-01 28
Total of all active and inactive participants 2017-01-01 120
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2017-01-01 0
Total participants 2017-01-01 120
Number of participants with account balances 2017-01-01 120
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2017-01-01 6
2016: CADARET, GRANT & CO., INC. 401(K) PROFIT SHARING PLAN 2016 401k membership
Total participants, beginning-of-year 2016-01-01 127
Total number of active participants reported on line 7a of the Form 5500 2016-01-01 99
Number of retired or separated participants receiving benefits 2016-01-01 0
Number of other retired or separated participants entitled to future benefits 2016-01-01 23
Total of all active and inactive participants 2016-01-01 122
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2016-01-01 0
Total participants 2016-01-01 122
Number of participants with account balances 2016-01-01 122
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2016-01-01 5
2015: CADARET, GRANT & CO., INC. 401(K) PROFIT SHARING PLAN 2015 401k membership
Total participants, beginning-of-year 2015-01-01 127
Total number of active participants reported on line 7a of the Form 5500 2015-01-01 99
Number of retired or separated participants receiving benefits 2015-01-01 0
Number of other retired or separated participants entitled to future benefits 2015-01-01 19
Total of all active and inactive participants 2015-01-01 118
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2015-01-01 0
Total participants 2015-01-01 118
Number of participants with account balances 2015-01-01 117
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2015-01-01 3
2014: CADARET, GRANT & CO., INC. 401(K) PROFIT SHARING PLAN 2014 401k membership
Total participants, beginning-of-year 2014-01-01 127
Total number of active participants reported on line 7a of the Form 5500 2014-01-01 105
Number of retired or separated participants receiving benefits 2014-01-01 0
Number of other retired or separated participants entitled to future benefits 2014-01-01 21
Total of all active and inactive participants 2014-01-01 126
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2014-01-01 0
Total participants 2014-01-01 126
Number of participants with account balances 2014-01-01 126
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2014-01-01 5
2013: CADARET, GRANT & CO., INC. 401(K) PROFIT SHARING PLAN 2013 401k membership
Total participants, beginning-of-year 2013-01-01 126
Total number of active participants reported on line 7a of the Form 5500 2013-01-01 106
Number of retired or separated participants receiving benefits 2013-01-01 0
Number of other retired or separated participants entitled to future benefits 2013-01-01 12
Total of all active and inactive participants 2013-01-01 118
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2013-01-01 0
Total participants 2013-01-01 118
Number of participants with account balances 2013-01-01 118
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2013-01-01 1
2012: CADARET, GRANT & CO., INC. 401(K) PROFIT SHARING PLAN 2012 401k membership
Total participants, beginning-of-year 2012-01-01 128
Total number of active participants reported on line 7a of the Form 5500 2012-01-01 103
Number of retired or separated participants receiving benefits 2012-01-01 0
Number of other retired or separated participants entitled to future benefits 2012-01-01 19
Total of all active and inactive participants 2012-01-01 122
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2012-01-01 0
Total participants 2012-01-01 122
Number of participants with account balances 2012-01-01 122
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2012-01-01 8
2011: CADARET, GRANT & CO., INC. 401(K) PROFIT SHARING PLAN 2011 401k membership
Total participants, beginning-of-year 2011-01-01 126
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 109
Number of retired or separated participants receiving benefits 2011-01-01 0
Number of other retired or separated participants entitled to future benefits 2011-01-01 18
Total of all active and inactive participants 2011-01-01 127
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-01-01 0
Total participants 2011-01-01 127
Number of participants with account balances 2011-01-01 127
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-01-01 6
2009: CADARET, GRANT & CO., INC. 401(K) PROFIT SHARING PLAN 2009 401k membership
Total participants, beginning-of-year 2009-01-01 122
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 104
Number of retired or separated participants receiving benefits 2009-01-01 0
Number of other retired or separated participants entitled to future benefits 2009-01-01 16
Total of all active and inactive participants 2009-01-01 120
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-01-01 1
Total participants 2009-01-01 121
Number of participants with account balances 2009-01-01 121
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-01-01 2

Measure	Date	Value
2018: CADARET, GRANT & CO., INC. 401(K) PROFIT SHARING PLAN 2018 401k membership
Total participants, beginning-of-year	2018-01-01	125
Total number of active participants reported on line 7a of the Form 5500	2018-01-01	0
Number of retired or separated participants receiving benefits	2018-01-01	0
Number of other retired or separated participants entitled to future benefits	2018-01-01	0
Total of all active and inactive participants	2018-01-01	0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2018-01-01	0
Total participants	2018-01-01	0
Number of participants with account balances	2018-01-01	0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2018-01-01	0
2017: CADARET, GRANT & CO., INC. 401(K) PROFIT SHARING PLAN 2017 401k membership
Total participants, beginning-of-year	2017-01-01	127
Total number of active participants reported on line 7a of the Form 5500	2017-01-01	92
Number of retired or separated participants receiving benefits	2017-01-01	0
Number of other retired or separated participants entitled to future benefits	2017-01-01	28
Total of all active and inactive participants	2017-01-01	120
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2017-01-01	0
Total participants	2017-01-01	120
Number of participants with account balances	2017-01-01	120
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2017-01-01	6
2016: CADARET, GRANT & CO., INC. 401(K) PROFIT SHARING PLAN 2016 401k membership
Total participants, beginning-of-year	2016-01-01	127
Total number of active participants reported on line 7a of the Form 5500	2016-01-01	99
Number of retired or separated participants receiving benefits	2016-01-01	0
Number of other retired or separated participants entitled to future benefits	2016-01-01	23
Total of all active and inactive participants	2016-01-01	122
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2016-01-01	0
Total participants	2016-01-01	122
Number of participants with account balances	2016-01-01	122
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2016-01-01	5
2015: CADARET, GRANT & CO., INC. 401(K) PROFIT SHARING PLAN 2015 401k membership
Total participants, beginning-of-year	2015-01-01	127
Total number of active participants reported on line 7a of the Form 5500	2015-01-01	99
Number of retired or separated participants receiving benefits	2015-01-01	0
Number of other retired or separated participants entitled to future benefits	2015-01-01	19
Total of all active and inactive participants	2015-01-01	118
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2015-01-01	0
Total participants	2015-01-01	118
Number of participants with account balances	2015-01-01	117
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2015-01-01	3
2014: CADARET, GRANT & CO., INC. 401(K) PROFIT SHARING PLAN 2014 401k membership
Total participants, beginning-of-year	2014-01-01	127
Total number of active participants reported on line 7a of the Form 5500	2014-01-01	105
Number of retired or separated participants receiving benefits	2014-01-01	0
Number of other retired or separated participants entitled to future benefits	2014-01-01	21
Total of all active and inactive participants	2014-01-01	126
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2014-01-01	0
Total participants	2014-01-01	126
Number of participants with account balances	2014-01-01	126
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2014-01-01	5
2013: CADARET, GRANT & CO., INC. 401(K) PROFIT SHARING PLAN 2013 401k membership
Total participants, beginning-of-year	2013-01-01	126
Total number of active participants reported on line 7a of the Form 5500	2013-01-01	106
Number of retired or separated participants receiving benefits	2013-01-01	0
Number of other retired or separated participants entitled to future benefits	2013-01-01	12
Total of all active and inactive participants	2013-01-01	118
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2013-01-01	0
Total participants	2013-01-01	118
Number of participants with account balances	2013-01-01	118
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2013-01-01	1
2012: CADARET, GRANT & CO., INC. 401(K) PROFIT SHARING PLAN 2012 401k membership
Total participants, beginning-of-year	2012-01-01	128
Total number of active participants reported on line 7a of the Form 5500	2012-01-01	103
Number of retired or separated participants receiving benefits	2012-01-01	0
Number of other retired or separated participants entitled to future benefits	2012-01-01	19
Total of all active and inactive participants	2012-01-01	122
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2012-01-01	0
Total participants	2012-01-01	122
Number of participants with account balances	2012-01-01	122
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2012-01-01	8
2011: CADARET, GRANT & CO., INC. 401(K) PROFIT SHARING PLAN 2011 401k membership
Total participants, beginning-of-year	2011-01-01	126
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	109
Number of retired or separated participants receiving benefits	2011-01-01	0
Number of other retired or separated participants entitled to future benefits	2011-01-01	18
Total of all active and inactive participants	2011-01-01	127
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-01-01	0
Total participants	2011-01-01	127
Number of participants with account balances	2011-01-01	127
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-01-01	6
2009: CADARET, GRANT & CO., INC. 401(K) PROFIT SHARING PLAN 2009 401k membership
Total participants, beginning-of-year	2009-01-01	122
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	104
Number of retired or separated participants receiving benefits	2009-01-01	0
Number of other retired or separated participants entitled to future benefits	2009-01-01	16
Total of all active and inactive participants	2009-01-01	120
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-01-01	1
Total participants	2009-01-01	121
Number of participants with account balances	2009-01-01	121
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-01-01	2

Financial Data on CADARET, GRANT & CO., INC. 401(K) PROFIT SHARING PLAN

Measure	Date	Value
2018 : CADARET, GRANT & CO., INC. 401(K) PROFIT SHARING PLAN 2018 401k financial data
Total liabilities at end 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	$1,719,272
Total of all expenses incurred	2018-12-31	$24,962,770
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2018-12-31	$24,959,285
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2018-12-31	$867,959
Value of total assets at end of year	2018-12-31	$0
Value of total assets at beginning of year	2018-12-31	$23,243,498
Total of administrative expenses incurred including professional, contract, advisory and management fees	2018-12-31	$3,485
Total income from rents	2018-12-31	$0
Total interest from all sources	2018-12-31	$7,949
Total dividends received (eg from common stock, registered investment company shares)	2018-12-31	$350,029
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2018-12-31	Yes
Value of any plan assets that reverted to the employer resulting from resoluton to terminate the plan	2018-12-31	$0
Total dividends received from registered investment company shares (eg mutual funds)	2018-12-31	$350,029
Was this plan covered by a fidelity bond	2018-12-31	Yes
Value of fidelity bond cover	2018-12-31	$500,000
If this is an individual account plan, was there a blackout period	2018-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2018-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2018-12-31	No
Contributions received from participants	2018-12-31	$353,909
Income. Received or receivable in cash from other sources (including rollovers)	2018-12-31	$16,378
Administrative expenses (other) incurred	2018-12-31	$3,485
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2018-12-31	No
Value of net income/loss	2018-12-31	$-23,243,498
Value of net assets at end of year (total assets less liabilities)	2018-12-31	$0
Value of net assets at beginning of year (total assets less liabilities)	2018-12-31	$23,243,498
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2018-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2018-12-31	No
Were any leases to which the plan was party in default or uncollectible	2018-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2018-12-31	$0
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2018-12-31	$22,203,349
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2018-12-31	$0
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2018-12-31	$410,614
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2018-12-31	$410,614
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2018-12-31	$7,949
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2018-12-31	$493,335
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2018-12-31	No
Was there a failure to transmit to the plan any participant contributions	2018-12-31	No
Has the plan failed to provide any benefit when due under the plan	2018-12-31	No
Assets. Invements in employer securities at end of year	2018-12-31	$0
Contributions received in cash from employer	2018-12-31	$497,672
Employer contributions (assets) at end of year	2018-12-31	$0
Employer contributions (assets) at beginning of year	2018-12-31	$629,535
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2018-12-31	$24,959,285
Liabilities. Value of benefit claims payable at end of year	2018-12-31	$0
Did the plan have assets held for investment	2018-12-31	No
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2018-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2018-12-31	Yes
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2018-12-31	No
Opinion of an independent qualified public accountant for this plan	2018-12-31	Unqualified
Accountancy firm name	2018-12-31	EVANS AND BENNETT, LLP
Accountancy firm EIN	2018-12-31	150551397
2017 : CADARET, GRANT & CO., INC. 401(K) PROFIT SHARING PLAN 2017 401k financial data
Total income from all sources (including contributions)	2017-12-31	$5,070,924
Total of all expenses incurred	2017-12-31	$1,079,742
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2017-12-31	$1,079,367
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2017-12-31	$1,095,505
Value of total assets at end of year	2017-12-31	$23,243,498
Value of total assets at beginning of year	2017-12-31	$19,252,316
Total of administrative expenses incurred including professional, contract, advisory and management fees	2017-12-31	$375
Total interest from all sources	2017-12-31	$1,205
Total dividends received (eg from common stock, registered investment company shares)	2017-12-31	$1,212,548
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2017-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2017-12-31	$1,212,548
Was this plan covered by a fidelity bond	2017-12-31	Yes
Value of fidelity bond cover	2017-12-31	$500,000
If this is an individual account plan, was there a blackout period	2017-12-31	No
Were there any nonexempt tranactions with any party-in-interest	2017-12-31	No
Contributions received from participants	2017-12-31	$465,970
Administrative expenses (other) incurred	2017-12-31	$375
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2017-12-31	No
Value of net income/loss	2017-12-31	$3,991,182
Value of net assets at end of year (total assets less liabilities)	2017-12-31	$23,243,498
Value of net assets at beginning of year (total assets less liabilities)	2017-12-31	$19,252,316
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2017-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2017-12-31	No
Were any leases to which the plan was party in default or uncollectible	2017-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2017-12-31	$22,203,349
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2017-12-31	$18,270,463
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2017-12-31	$410,614
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2017-12-31	$335,188
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2017-12-31	$335,188
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2017-12-31	$1,205
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2017-12-31	$2,761,666
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2017-12-31	No
Was there a failure to transmit to the plan any participant contributions	2017-12-31	No
Has the plan failed to provide any benefit when due under the plan	2017-12-31	No
Contributions received in cash from employer	2017-12-31	$629,535
Employer contributions (assets) at end of year	2017-12-31	$629,535
Employer contributions (assets) at beginning of year	2017-12-31	$646,665
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2017-12-31	$1,079,367
Did the plan have assets held for investment	2017-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2017-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2017-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2017-12-31	No
Opinion of an independent qualified public accountant for this plan	2017-12-31	Unqualified
Accountancy firm name	2017-12-31	EVANS AND BENNETT, LLP
Accountancy firm EIN	2017-12-31	150551397
2016 : CADARET, GRANT & CO., INC. 401(K) PROFIT SHARING PLAN 2016 401k financial data
Total income from all sources (including contributions)	2016-12-31	$2,488,632
Total of all expenses incurred	2016-12-31	$924,815
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2016-12-31	$924,465
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2016-12-31	$1,093,135
Value of total assets at end of year	2016-12-31	$19,252,316
Value of total assets at beginning of year	2016-12-31	$17,688,499
Total of administrative expenses incurred including professional, contract, advisory and management fees	2016-12-31	$350
Total interest from all sources	2016-12-31	$294
Total dividends received (eg from common stock, registered investment company shares)	2016-12-31	$762,399
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2016-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2016-12-31	$762,399
Was this plan covered by a fidelity bond	2016-12-31	Yes
Value of fidelity bond cover	2016-12-31	$500,000
If this is an individual account plan, was there a blackout period	2016-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2016-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2016-12-31	No
Contributions received from participants	2016-12-31	$446,471
Administrative expenses (other) incurred	2016-12-31	$350
Total non interest bearing cash at beginning of year	2016-12-31	$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2016-12-31	No
Value of net income/loss	2016-12-31	$1,563,817
Value of net assets at end of year (total assets less liabilities)	2016-12-31	$19,252,316
Value of net assets at beginning of year (total assets less liabilities)	2016-12-31	$17,688,499
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2016-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2016-12-31	No
Were any leases to which the plan was party in default or uncollectible	2016-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2016-12-31	$18,270,463
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2016-12-31	$16,183,591
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2016-12-31	$335,188
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2016-12-31	$896,055
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2016-12-31	$896,055
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2016-12-31	$294
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2016-12-31	$632,804
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2016-12-31	No
Was there a failure to transmit to the plan any participant contributions	2016-12-31	No
Has the plan failed to provide any benefit when due under the plan	2016-12-31	No
Contributions received in cash from employer	2016-12-31	$646,664
Employer contributions (assets) at end of year	2016-12-31	$646,665
Employer contributions (assets) at beginning of year	2016-12-31	$608,853
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2016-12-31	$924,465
Did the plan have assets held for investment	2016-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2016-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2016-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2016-12-31	No
Opinion of an independent qualified public accountant for this plan	2016-12-31	Unqualified
Accountancy firm name	2016-12-31	EVANS AND BENNETT, LLP
Accountancy firm EIN	2016-12-31	150551397
2015 : CADARET, GRANT & CO., INC. 401(K) PROFIT SHARING PLAN 2015 401k financial data
Total income from all sources (including contributions)	2015-12-31	$992,820
Total of all expenses incurred	2015-12-31	$1,372,440
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2015-12-31	$1,372,090
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2015-12-31	$1,032,170
Value of total assets at end of year	2015-12-31	$17,688,499
Value of total assets at beginning of year	2015-12-31	$18,068,119
Total of administrative expenses incurred including professional, contract, advisory and management fees	2015-12-31	$350
Total interest from all sources	2015-12-31	$75
Total dividends received (eg from common stock, registered investment company shares)	2015-12-31	$1,027,066
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2015-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2015-12-31	$1,027,066
Administrative expenses professional fees incurred	2015-12-31	$350
Was this plan covered by a fidelity bond	2015-12-31	Yes
Value of fidelity bond cover	2015-12-31	$500,000
If this is an individual account plan, was there a blackout period	2015-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2015-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2015-12-31	No
Contributions received from participants	2015-12-31	$423,317
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2015-12-31	No
Value of net income/loss	2015-12-31	$-379,620
Value of net assets at end of year (total assets less liabilities)	2015-12-31	$17,688,499
Value of net assets at beginning of year (total assets less liabilities)	2015-12-31	$18,068,119
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2015-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2015-12-31	No
Were any leases to which the plan was party in default or uncollectible	2015-12-31	No
Investment advisory and management fees	2015-12-31	$0
Value of interest in registered invesment companies (eg mutual funds) at end of year	2015-12-31	$16,183,591
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2015-12-31	$16,084,354
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2015-12-31	$896,055
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2015-12-31	$1,343,417
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2015-12-31	$1,343,417
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2015-12-31	$75
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2015-12-31	$-1,066,491
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2015-12-31	No
Was there a failure to transmit to the plan any participant contributions	2015-12-31	No
Has the plan failed to provide any benefit when due under the plan	2015-12-31	No
Contributions received in cash from employer	2015-12-31	$608,853
Employer contributions (assets) at end of year	2015-12-31	$608,853
Employer contributions (assets) at beginning of year	2015-12-31	$640,348
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2015-12-31	$1,372,090
Did the plan have assets held for investment	2015-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2015-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2015-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2015-12-31	No
Opinion of an independent qualified public accountant for this plan	2015-12-31	Unqualified
Accountancy firm name	2015-12-31	EVANS AND BENNETT, LLP
Accountancy firm EIN	2015-12-31	150551397
2014 : CADARET, GRANT & CO., INC. 401(K) PROFIT SHARING PLAN 2014 401k financial data
Total income from all sources (including contributions)	2014-12-31	$2,231,612
Total of all expenses incurred	2014-12-31	$883,314
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2014-12-31	$883,314
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2014-12-31	$1,097,647
Value of total assets at end of year	2014-12-31	$18,068,119
Value of total assets at beginning of year	2014-12-31	$16,719,821
Total interest from all sources	2014-12-31	$15
Total dividends received (eg from common stock, registered investment company shares)	2014-12-31	$697,081
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2014-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2014-12-31	$697,081
Was this plan covered by a fidelity bond	2014-12-31	Yes
Value of fidelity bond cover	2014-12-31	$500,000
If this is an individual account plan, was there a blackout period	2014-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2014-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2014-12-31	No
Contributions received from participants	2014-12-31	$454,073
Other income not declared elsewhere	2014-12-31	$864
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2014-12-31	No
Value of net income/loss	2014-12-31	$1,348,298
Value of net assets at end of year (total assets less liabilities)	2014-12-31	$18,068,119
Value of net assets at beginning of year (total assets less liabilities)	2014-12-31	$16,719,821
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2014-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2014-12-31	No
Were any leases to which the plan was party in default or uncollectible	2014-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2014-12-31	$16,084,354
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2014-12-31	$15,327,020
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2014-12-31	$1,343,417
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2014-12-31	$805,624
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2014-12-31	$805,624
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2014-12-31	$15
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2014-12-31	$436,005
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2014-12-31	No
Was there a failure to transmit to the plan any participant contributions	2014-12-31	No
Has the plan failed to provide any benefit when due under the plan	2014-12-31	No
Contributions received in cash from employer	2014-12-31	$643,574
Employer contributions (assets) at end of year	2014-12-31	$640,348
Employer contributions (assets) at beginning of year	2014-12-31	$587,177
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2014-12-31	$883,314
Did the plan have assets held for investment	2014-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2014-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2014-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2014-12-31	No
Opinion of an independent qualified public accountant for this plan	2014-12-31	Unqualified
Accountancy firm name	2014-12-31	EVANS AND BENNETT, LLP
Accountancy firm EIN	2014-12-31	150551397
2013 : CADARET, GRANT & CO., INC. 401(K) PROFIT SHARING PLAN 2013 401k financial data
Total income from all sources (including contributions)	2013-12-31	$4,567,055
Total of all expenses incurred	2013-12-31	$1,763,278
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2013-12-31	$1,763,278
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2013-12-31	$1,002,585
Value of total assets at end of year	2013-12-31	$16,719,821
Value of total assets at beginning of year	2013-12-31	$13,916,044
Total interest from all sources	2013-12-31	$18
Total dividends received (eg from common stock, registered investment company shares)	2013-12-31	$508,140
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2013-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2013-12-31	$508,140
Was this plan covered by a fidelity bond	2013-12-31	Yes
Value of fidelity bond cover	2013-12-31	$500,000
If this is an individual account plan, was there a blackout period	2013-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2013-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2013-12-31	No
Contributions received from participants	2013-12-31	$415,408
Other income not declared elsewhere	2013-12-31	$60
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2013-12-31	No
Value of net income/loss	2013-12-31	$2,803,777
Value of net assets at end of year (total assets less liabilities)	2013-12-31	$16,719,821
Value of net assets at beginning of year (total assets less liabilities)	2013-12-31	$13,916,044
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2013-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2013-12-31	No
Were any leases to which the plan was party in default or uncollectible	2013-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2013-12-31	$15,327,020
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2013-12-31	$12,748,992
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2013-12-31	$805,624
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2013-12-31	$595,801
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2013-12-31	$595,801
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2013-12-31	$18
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2013-12-31	$3,056,252
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2013-12-31	Yes
Was there a failure to transmit to the plan any participant contributions	2013-12-31	No
Has the plan failed to provide any benefit when due under the plan	2013-12-31	No
Contributions received in cash from employer	2013-12-31	$587,177
Employer contributions (assets) at end of year	2013-12-31	$587,177
Employer contributions (assets) at beginning of year	2013-12-31	$571,251
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2013-12-31	$1,763,278
Did the plan have assets held for investment	2013-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2013-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2013-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2013-12-31	No
Opinion of an independent qualified public accountant for this plan	2013-12-31	Unqualified
Accountancy firm name	2013-12-31	EVANS AND BENNETT, LLP
Accountancy firm EIN	2013-12-31	150551397
2012 : CADARET, GRANT & CO., INC. 401(K) PROFIT SHARING PLAN 2012 401k financial data
Expenses. Interest paid	2012-12-31	$3
Amount of participant contributions which was failed to transmit to the plan within the time period described in 29 CFR 251.3-102	2012-12-31	$3
Total income from all sources (including contributions)	2012-12-31	$2,800,537
Total of all expenses incurred	2012-12-31	$1,419,005
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2012-12-31	$1,418,283
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2012-12-31	$999,285
Value of total assets at end of year	2012-12-31	$13,916,044
Value of total assets at beginning of year	2012-12-31	$12,534,512
Total of administrative expenses incurred including professional, contract, advisory and management fees	2012-12-31	$719
Total interest from all sources	2012-12-31	$33
Total dividends received (eg from common stock, registered investment company shares)	2012-12-31	$214,535
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2012-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2012-12-31	$214,535
Was this plan covered by a fidelity bond	2012-12-31	Yes
Value of fidelity bond cover	2012-12-31	$500,000
If this is an individual account plan, was there a blackout period	2012-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2012-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2012-12-31	No
Contributions received from participants	2012-12-31	$428,034
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2012-12-31	No
Value of net income/loss	2012-12-31	$1,381,532
Value of net assets at end of year (total assets less liabilities)	2012-12-31	$13,916,044
Value of net assets at beginning of year (total assets less liabilities)	2012-12-31	$12,534,512
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2012-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2012-12-31	No
Were any leases to which the plan was party in default or uncollectible	2012-12-31	No
Investment advisory and management fees	2012-12-31	$719
Value of interest in registered invesment companies (eg mutual funds) at end of year	2012-12-31	$12,748,992
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2012-12-31	$11,468,748
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2012-12-31	$595,801
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2012-12-31	$473,943
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2012-12-31	$473,943
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2012-12-31	$33
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2012-12-31	$1,586,684
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2012-12-31	No
Was there a failure to transmit to the plan any participant contributions	2012-12-31	No
Has the plan failed to provide any benefit when due under the plan	2012-12-31	No
Contributions received in cash from employer	2012-12-31	$571,251
Employer contributions (assets) at end of year	2012-12-31	$571,251
Employer contributions (assets) at beginning of year	2012-12-31	$591,821
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2012-12-31	$1,418,283
Did the plan have assets held for investment	2012-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2012-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2012-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2012-12-31	No
Opinion of an independent qualified public accountant for this plan	2012-12-31	Unqualified
Accountancy firm name	2012-12-31	EVANS AND BENNETT, LLP
Accountancy firm EIN	2012-12-31	150551397
2011 : CADARET, GRANT & CO., INC. 401(K) PROFIT SHARING PLAN 2011 401k financial data
Total income from all sources (including contributions)	2011-12-31	$342,341
Total loss/gain on sale of assets	2011-12-31	$70
Total of all expenses incurred	2011-12-31	$36,335
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2011-12-31	$35,403
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2011-12-31	$1,038,503
Value of total assets at end of year	2011-12-31	$12,534,512
Value of total assets at beginning of year	2011-12-31	$12,228,506
Total of administrative expenses incurred including professional, contract, advisory and management fees	2011-12-31	$932
Total interest from all sources	2011-12-31	$77
Total dividends received (eg from common stock, registered investment company shares)	2011-12-31	$181,241
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2011-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2011-12-31	$181,241
Was this plan covered by a fidelity bond	2011-12-31	Yes
Value of fidelity bond cover	2011-12-31	$500,000
If this is an individual account plan, was there a blackout period	2011-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2011-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2011-12-31	No
Contributions received from participants	2011-12-31	$446,682
Other income not declared elsewhere	2011-12-31	$29
Total non interest bearing cash at beginning of year	2011-12-31	$50
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2011-12-31	No
Value of net income/loss	2011-12-31	$306,006
Value of net assets at end of year (total assets less liabilities)	2011-12-31	$12,534,512
Value of net assets at beginning of year (total assets less liabilities)	2011-12-31	$12,228,506
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2011-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2011-12-31	No
Were any leases to which the plan was party in default or uncollectible	2011-12-31	No
Investment advisory and management fees	2011-12-31	$932
Value of interest in registered invesment companies (eg mutual funds) at end of year	2011-12-31	$11,468,748
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2011-12-31	$11,459,398
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2011-12-31	$473,943
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2011-12-31	$141,716
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2011-12-31	$141,716
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2011-12-31	$77
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2011-12-31	$-877,579
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2011-12-31	No
Was there a failure to transmit to the plan any participant contributions	2011-12-31	No
Has the plan failed to provide any benefit when due under the plan	2011-12-31	No
Contributions received in cash from employer	2011-12-31	$591,821
Employer contributions (assets) at end of year	2011-12-31	$591,821
Employer contributions (assets) at beginning of year	2011-12-31	$614,588
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2011-12-31	$35,403
Assets. Corporate common stocks other than exployer securities at beginning of year	2011-12-31	$12,754
Did the plan have assets held for investment	2011-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2011-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2011-12-31	No
Aggregate proceeds on sale of assets	2011-12-31	$12,824
Aggregate carrying amount (costs) on sale of assets	2011-12-31	$12,754
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2011-12-31	No
Opinion of an independent qualified public accountant for this plan	2011-12-31	Unqualified
Accountancy firm name	2011-12-31	EVANS AND BENNETT, LLP
Accountancy firm EIN	2011-12-31	150551397
2010 : CADARET, GRANT & CO., INC. 401(K) PROFIT SHARING PLAN 2010 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets	2010-12-31	$-803
Total unrealized appreciation/depreciation of assets	2010-12-31	$-803
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	$2,443,405
Total loss/gain on sale of assets	2010-12-31	$2,201
Total of all expenses incurred	2010-12-31	$169,641
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2010-12-31	$168,806
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2010-12-31	$1,090,127
Value of total assets at end of year	2010-12-31	$12,228,506
Value of total assets at beginning of year	2010-12-31	$9,954,742
Total of administrative expenses incurred including professional, contract, advisory and management fees	2010-12-31	$835
Total interest from all sources	2010-12-31	$28
Total dividends received (eg from common stock, registered investment company shares)	2010-12-31	$165,606
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2010-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2010-12-31	$165,327
Was this plan covered by a fidelity bond	2010-12-31	Yes
Value of fidelity bond cover	2010-12-31	$500,000
If this is an individual account plan, was there a blackout period	2010-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2010-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2010-12-31	No
Contributions received from participants	2010-12-31	$475,539
Other income not declared elsewhere	2010-12-31	$153
Total non interest bearing cash at end of year	2010-12-31	$50
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2010-12-31	No
Value of net income/loss	2010-12-31	$2,273,764
Value of net assets at end of year (total assets less liabilities)	2010-12-31	$12,228,506
Value of net assets at beginning of year (total assets less liabilities)	2010-12-31	$9,954,742
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2010-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2010-12-31	No
Were any leases to which the plan was party in default or uncollectible	2010-12-31	No
Investment advisory and management fees	2010-12-31	$835
Value of interest in registered invesment companies (eg mutual funds) at end of year	2010-12-31	$11,459,398
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2010-12-31	$9,219,410
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2010-12-31	$141,716
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2010-12-31	$129,634
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2010-12-31	$129,634
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2010-12-31	$28
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2010-12-31	$1,186,093
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2010-12-31	No
Was there a failure to transmit to the plan any participant contributions	2010-12-31	No
Has the plan failed to provide any benefit when due under the plan	2010-12-31	No
Contributions received in cash from employer	2010-12-31	$614,588
Employer contributions (assets) at end of year	2010-12-31	$614,588
Employer contributions (assets) at beginning of year	2010-12-31	$605,698
Income. Dividends from common stock	2010-12-31	$279
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2010-12-31	$168,806
Assets. Corporate common stocks other than exployer securities at end of year	2010-12-31	$12,754
Did the plan have assets held for investment	2010-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2010-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2010-12-31	No
Aggregate proceeds on sale of assets	2010-12-31	$26,055
Aggregate carrying amount (costs) on sale of assets	2010-12-31	$23,854
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2010-12-31	No
Opinion of an independent qualified public accountant for this plan	2010-12-31	Unqualified
Accountancy firm name	2010-12-31	PARENTEBEARD, LLC
Accountancy firm EIN	2010-12-31	232932984
2009 : CADARET, GRANT & CO., INC. 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 securities	2009-12-31	$0

Form 5500 Responses for CADARET, GRANT & CO., INC. 401(K) PROFIT SHARING PLAN

2018: CADARET, GRANT & CO., INC. 401(K) PROFIT SHARING PLAN 2018 form 5500 responses
2018-01-01	Type of plan entity	Single employer plan
2018-01-01	Submission has been amended	No
2018-01-01	This submission is the final filing	Yes
2018-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2018-01-01	Plan is a collectively bargained plan	No
2018-01-01	Plan funding arrangement – Trust	Yes
2018-01-01	Plan benefit arrangement - Trust	Yes
2017: CADARET, GRANT & CO., INC. 401(K) PROFIT SHARING PLAN 2017 form 5500 responses
2017-01-01	Type of plan entity	Single employer plan
2017-01-01	Submission has been amended	No
2017-01-01	This submission is the final filing	No
2017-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2017-01-01	Plan is a collectively bargained plan	No
2017-01-01	Plan funding arrangement – Trust	Yes
2017-01-01	Plan benefit arrangement - Trust	Yes
2016: CADARET, GRANT & CO., INC. 401(K) PROFIT SHARING PLAN 2016 form 5500 responses
2016-01-01	Type of plan entity	Single employer plan
2016-01-01	Submission has been amended	No
2016-01-01	This submission is the final filing	No
2016-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2016-01-01	Plan is a collectively bargained plan	No
2016-01-01	Plan funding arrangement – Trust	Yes
2016-01-01	Plan benefit arrangement - Trust	Yes
2015: CADARET, GRANT & CO., INC. 401(K) PROFIT SHARING PLAN 2015 form 5500 responses
2015-01-01	Type of plan entity	Single employer plan
2015-01-01	Submission has been amended	No
2015-01-01	This submission is the final filing	No
2015-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2015-01-01	Plan is a collectively bargained plan	No
2015-01-01	Plan funding arrangement – Trust	Yes
2015-01-01	Plan benefit arrangement - Trust	Yes
2014: CADARET, GRANT & CO., INC. 401(K) PROFIT SHARING PLAN 2014 form 5500 responses
2014-01-01	Type of plan entity	Single employer plan
2014-01-01	Submission has been amended	No
2014-01-01	This submission is the final filing	No
2014-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2014-01-01	Plan is a collectively bargained plan	No
2014-01-01	Plan funding arrangement – Trust	Yes
2014-01-01	Plan benefit arrangement - Trust	Yes
2013: CADARET, GRANT & CO., INC. 401(K) PROFIT SHARING PLAN 2013 form 5500 responses
2013-01-01	Type of plan entity	Single employer plan
2013-01-01	Submission has been amended	No
2013-01-01	This submission is the final filing	No
2013-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2013-01-01	Plan is a collectively bargained plan	No
2013-01-01	Plan funding arrangement – Trust	Yes
2013-01-01	Plan benefit arrangement - Trust	Yes
2012: CADARET, GRANT & CO., INC. 401(K) PROFIT SHARING PLAN 2012 form 5500 responses
2012-01-01	Type of plan entity	Single employer plan
2012-01-01	Submission has been amended	No
2012-01-01	This submission is the final filing	No
2012-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2012-01-01	Plan is a collectively bargained plan	No
2012-01-01	Plan funding arrangement – Trust	Yes
2012-01-01	Plan benefit arrangement - Trust	Yes
2011: CADARET, GRANT & CO., INC. 401(K) PROFIT SHARING PLAN 2011 form 5500 responses
2011-01-01	Type of plan entity	Single employer plan
2011-01-01	Submission has been amended	No
2011-01-01	This submission is the final filing	No
2011-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2011-01-01	Plan is a collectively bargained plan	No
2011-01-01	Plan funding arrangement – Trust	Yes
2011-01-01	Plan benefit arrangement - Trust	Yes
2009: CADARET, GRANT & CO., INC. 401(K) PROFIT SHARING PLAN 2009 form 5500 responses
2009-01-01	Type of plan entity	Single employer plan
2009-01-01	Submission has been amended	No
2009-01-01	This submission is the final filing	No
2009-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2009-01-01	Plan is a collectively bargained plan	No
2009-01-01	Plan funding arrangement – Trust	Yes
2009-01-01	Plan benefit arrangement - Trust	Yes

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Company Name:	CADARET, GRANT & CO., INC.
Employer identification number (EIN):	222361254
NAIC Classification:	523120
NAIC Description:	Securities Brokerage

Jurisdiction of Incorporation:	State of Delaware Division of Corporations
Incorporation Date:
Company Identification Number:	0912484