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NICHOLS WEALTH MANAGEMENT, INC. 401(K) PROFIT SHARING PLAN 401k Plan overview

Plan NameNICHOLS WEALTH MANAGEMENT, INC. 401(K) PROFIT SHARING PLAN
Plan identification number 001

NICHOLS WEALTH MANAGEMENT, INC. 401(K) PROFIT SHARING PLAN Benefits

401k Plan TypeDefined 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.
  • Participant-directed brokerage accounts provided as an investment option under the plan.
  • Plan covering Self-Employed individuals.
  • Master plan - A pension plan that is made available by a sponsor for adoption by employers; that is the subject of a favorable opinion letter; and for which a single funding medium (for example, a trust or custodial account) is established for the joint use of all adopting employers.

401k Sponsoring company profile

NICHOLS WEALTH MANAGEMENT, INC. has sponsored the creation of one or more 401k plans.

Company Name:NICHOLS WEALTH MANAGEMENT, INC.
Employer identification number (EIN):364636732
NAIC Classification:523900

Additional information about NICHOLS WEALTH MANAGEMENT, INC.

Jurisdiction of Incorporation: California Department of State
Incorporation Date: 2008-06-25
Company Identification Number: C3151808
Legal Registered Office Address: 1042 Pacific St, Suite F

San Luis Obispo
United States of America (USA)
93401

More information about NICHOLS WEALTH MANAGEMENT, INC.

Form 5500 Filing Information

Submission information for form 5500 for 401k plan NICHOLS WEALTH MANAGEMENT, INC. 401(K) PROFIT SHARING PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator SignedName of Company SponsorDate Sponsor Signed
0012018-01-01
0012017-01-01
0012016-01-01
0012015-01-01
0012014-01-01
0012013-01-01KEVIN M. NICHOLS
0012012-01-01KEVIN M. NICHOLS
0012011-01-01KEVIN M. NICHOLS
0012010-01-01DOUGLAS S. HENDRY
0012009-01-01DOUGLAS S. HENDRY

Plan Statistics for NICHOLS WEALTH MANAGEMENT, INC. 401(K) PROFIT SHARING PLAN

401k plan membership statisitcs for NICHOLS WEALTH MANAGEMENT, INC. 401(K) PROFIT SHARING PLAN

Measure Date Value
2014: NICHOLS WEALTH MANAGEMENT, INC. 401(K) PROFIT SHARING PLAN 2014 401k membership
Total participants, beginning-of-year2014-01-014
Total number of active participants reported on line 7a of the Form 55002014-01-013
Number of retired or separated participants receiving benefits2014-01-010
Number of other retired or separated participants entitled to future benefits2014-01-010
Total of all active and inactive participants2014-01-013
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2014-01-010
Total participants2014-01-013
Number of participants with account balances2014-01-013
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2014-01-010
2013: NICHOLS WEALTH MANAGEMENT, INC. 401(K) PROFIT SHARING PLAN 2013 401k membership
Total participants, beginning-of-year2013-01-014
Total number of active participants reported on line 7a of the Form 55002013-01-013
Number of retired or separated participants receiving benefits2013-01-010
Number of other retired or separated participants entitled to future benefits2013-01-011
Total of all active and inactive participants2013-01-014
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2013-01-010
Total participants2013-01-014
Number of participants with account balances2013-01-014
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2013-01-010
2012: NICHOLS WEALTH MANAGEMENT, INC. 401(K) PROFIT SHARING PLAN 2012 401k membership
Total participants, beginning-of-year2012-01-014
Total number of active participants reported on line 7a of the Form 55002012-01-014
Number of retired or separated participants receiving benefits2012-01-010
Number of other retired or separated participants entitled to future benefits2012-01-010
Total of all active and inactive participants2012-01-014
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2012-01-010
Total participants2012-01-014
Number of participants with account balances2012-01-014
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2012-01-010
2011: NICHOLS WEALTH MANAGEMENT, INC. 401(K) PROFIT SHARING PLAN 2011 401k membership
Total participants, beginning-of-year2011-01-014
Total number of active participants reported on line 7a of the Form 55002011-01-014
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 participants2011-01-014
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2011-01-010
Total participants2011-01-014
Number of participants with account balances2011-01-014
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2011-01-010
2010: NICHOLS WEALTH MANAGEMENT, INC. 401(K) PROFIT SHARING PLAN 2010 401k membership
Total participants, beginning-of-year2010-01-014
Total number of active participants reported on line 7a of the Form 55002010-01-014
Number of retired or separated participants receiving benefits2010-01-010
Number of other retired or separated participants entitled to future benefits2010-01-010
Total of all active and inactive participants2010-01-014
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2010-01-010
Total participants2010-01-014
Number of participants with account balances2010-01-014
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2010-01-010
2009: NICHOLS WEALTH MANAGEMENT, INC. 401(K) PROFIT SHARING PLAN 2009 401k membership
Total participants, beginning-of-year2009-01-014
Total number of active participants reported on line 7a of the Form 55002009-01-014
Number of retired or separated participants receiving benefits2009-01-010
Number of other retired or separated participants entitled to future benefits2009-01-010
Total of all active and inactive participants2009-01-014
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2009-01-010
Total participants2009-01-014
Number of participants with account balances2009-01-014
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2009-01-010

Financial Data on NICHOLS WEALTH MANAGEMENT, INC. 401(K) PROFIT SHARING PLAN

Measure Date Value
2014 : NICHOLS WEALTH MANAGEMENT, INC. 401(K) PROFIT SHARING PLAN 2014 401k financial data
Total plan liabilities at end of year2014-12-31$73
Total plan liabilities at beginning of year2014-12-31$73
Total income from all sources2014-12-31$139,751
Expenses. Total of all expenses incurred2014-12-31$29,841
Benefits paid (including direct rollovers)2014-12-31$29,841
Total plan assets at end of year2014-12-31$899,974
Total plan assets at beginning of year2014-12-31$790,064
Value of fidelity bond covering the plan2014-12-31$90,000
Total contributions received or receivable from participants2014-12-31$58,000
Other income received2014-12-31$50,181
Net income (gross income less expenses)2014-12-31$109,910
Net plan assets at end of year (total assets less liabilities)2014-12-31$899,901
Net plan assets at beginning of year (total assets less liabilities)2014-12-31$789,991
Total contributions received or receivable from employer(s)2014-12-31$31,570
2013 : NICHOLS WEALTH MANAGEMENT, INC. 401(K) PROFIT SHARING PLAN 2013 401k financial data
Transfers to/from the plan2013-12-31$0
Total plan liabilities at end of year2013-12-31$73
Total plan liabilities at beginning of year2013-12-31$73
Total income from all sources2013-12-31$204,814
Expenses. Total of all expenses incurred2013-12-31$0
Benefits paid (including direct rollovers)2013-12-31$0
Total plan assets at end of year2013-12-31$790,064
Total plan assets at beginning of year2013-12-31$585,250
Value of fidelity bond covering the plan2013-12-31$78,999
Total contributions received or receivable from participants2013-12-31$59,273
Expenses. Other expenses not covered elsewhere2013-12-31$0
Contributions received from other sources (not participants or employers)2013-12-31$0
Other income received2013-12-31$132,037
Noncash contributions received2013-12-31$0
Net income (gross income less expenses)2013-12-31$204,814
Net plan assets at end of year (total assets less liabilities)2013-12-31$789,991
Net plan assets at beginning of year (total assets less liabilities)2013-12-31$585,177
Total contributions received or receivable from employer(s)2013-12-31$13,504
Value of certain deemed distributions of participant loans2013-12-31$0
Value of corrective distributions2013-12-31$0
Expenses. Administrative service providers (salaries,fees and commissions)2013-12-31$0
2012 : NICHOLS WEALTH MANAGEMENT, INC. 401(K) PROFIT SHARING PLAN 2012 401k financial data
Total plan liabilities at end of year2012-12-31$73
Total plan liabilities at beginning of year2012-12-31$27
Total income from all sources2012-12-31$126,664
Expenses. Total of all expenses incurred2012-12-31$0
Benefits paid (including direct rollovers)2012-12-31$0
Total plan assets at end of year2012-12-31$585,250
Total plan assets at beginning of year2012-12-31$458,540
Value of fidelity bond covering the plan2012-12-31$75,000
Total contributions received or receivable from participants2012-12-31$51,067
Expenses. Other expenses not covered elsewhere2012-12-31$0
Contributions received from other sources (not participants or employers)2012-12-31$0
Other income received2012-12-31$61,897
Noncash contributions received2012-12-31$0
Net income (gross income less expenses)2012-12-31$126,664
Net plan assets at end of year (total assets less liabilities)2012-12-31$585,177
Net plan assets at beginning of year (total assets less liabilities)2012-12-31$458,513
Total contributions received or receivable from employer(s)2012-12-31$13,700
Value of certain deemed distributions of participant loans2012-12-31$0
Value of corrective distributions2012-12-31$0
Expenses. Administrative service providers (salaries,fees and commissions)2012-12-31$0
2011 : NICHOLS WEALTH MANAGEMENT, INC. 401(K) PROFIT SHARING PLAN 2011 401k financial data
Transfers to/from the plan2011-12-31$0
Total plan liabilities at end of year2011-12-31$27
Total plan liabilities at beginning of year2011-12-31$0
Total income from all sources2011-12-31$30,038
Expenses. Total of all expenses incurred2011-12-31$0
Benefits paid (including direct rollovers)2011-12-31$0
Total plan assets at end of year2011-12-31$458,540
Total plan assets at beginning of year2011-12-31$428,475
Value of fidelity bond covering the plan2011-12-31$50,000
Total contributions received or receivable from participants2011-12-31$45,122
Expenses. Other expenses not covered elsewhere2011-12-31$0
Contributions received from other sources (not participants or employers)2011-12-31$0
Other income received2011-12-31$-27,594
Noncash contributions received2011-12-31$0
Net income (gross income less expenses)2011-12-31$30,038
Net plan assets at end of year (total assets less liabilities)2011-12-31$458,513
Net plan assets at beginning of year (total assets less liabilities)2011-12-31$428,475
Assets. Value of participant loans2011-12-31$1,181
Total contributions received or receivable from employer(s)2011-12-31$12,510
Value of certain deemed distributions of participant loans2011-12-31$0
Value of corrective distributions2011-12-31$0
Expenses. Administrative service providers (salaries,fees and commissions)2011-12-31$0
2010 : NICHOLS WEALTH MANAGEMENT, INC. 401(K) PROFIT SHARING PLAN 2010 401k financial data
Transfers to/from the plan2010-12-31$0
Total plan liabilities at end of year2010-12-31$0
Total plan liabilities at beginning of year2010-12-31$0
Total income from all sources2010-12-31$78,555
Expenses. Total of all expenses incurred2010-12-31$0
Benefits paid (including direct rollovers)2010-12-31$0
Total plan assets at end of year2010-12-31$428,475
Total plan assets at beginning of year2010-12-31$349,920
Value of fidelity bond covering the plan2010-12-31$50,000
Total contributions received or receivable from participants2010-12-31$33,939
Expenses. Other expenses not covered elsewhere2010-12-31$0
Contributions received from other sources (not participants or employers)2010-12-31$0
Other income received2010-12-31$35,245
Noncash contributions received2010-12-31$0
Net income (gross income less expenses)2010-12-31$78,555
Net plan assets at end of year (total assets less liabilities)2010-12-31$428,475
Net plan assets at beginning of year (total assets less liabilities)2010-12-31$349,920
Assets. Value of participant loans2010-12-31$2,173
Total contributions received or receivable from employer(s)2010-12-31$9,371
Value of certain deemed distributions of participant loans2010-12-31$0
Value of corrective distributions2010-12-31$0
Expenses. Administrative service providers (salaries,fees and commissions)2010-12-31$0

Form 5500 Responses for NICHOLS WEALTH MANAGEMENT, INC. 401(K) PROFIT SHARING PLAN

2014: NICHOLS WEALTH MANAGEMENT, INC. 401(K) PROFIT SHARING PLAN 2014 form 5500 responses
2014-01-01Type of plan entitySingle employer plan
2014-01-01Plan funding arrangement – TrustYes
2014-01-01Plan benefit arrangement - TrustYes
2013: NICHOLS WEALTH MANAGEMENT, INC. 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: NICHOLS WEALTH MANAGEMENT, INC. 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: NICHOLS WEALTH MANAGEMENT, INC. 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: NICHOLS WEALTH MANAGEMENT, INC. 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 – TrustYes
2010-01-01Plan benefit arrangement - TrustYes
2009: NICHOLS WEALTH MANAGEMENT, INC. 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

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