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DOUGHERTY FINANCIAL GROUP LLC EMPLOYEE 401(K) PLAN 401k Plan overview

Plan NameDOUGHERTY FINANCIAL GROUP LLC EMPLOYEE 401(K) PLAN
Plan identification number 001

DOUGHERTY FINANCIAL GROUP LLC EMPLOYEE 401(K) 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.
  • 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.
  • 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 provides for automatic enrollment in plan that has employee contributions deducted from payroll.
  • Total or partial participant-directed account plan - plan uses default investment account for participants who fail to direct assets in their account.
  • Master plan - A pension plan that is made available by a sponsor for adoption by employers; that is the subject of a favorable opinion letter; and for which a single funding medium (for example, a trust or custodial account) is established for the joint use of all adopting employers.
  • Plan sponsor(s) is (are) a member(s) of a controlled group (Code sections 414(b), (c), or (m)).

401k Sponsoring company profile

DOUGHERTY FINANCIAL GROUP LLC has sponsored the creation of one or more 401k plans.

Company Name:DOUGHERTY FINANCIAL GROUP LLC
Employer identification number (EIN):411866893
NAIC Classification:523900

Additional information about DOUGHERTY FINANCIAL GROUP LLC

Jurisdiction of Incorporation: State of Delaware Division of Corporations
Incorporation Date:
Company Identification Number: 2719673

More information about DOUGHERTY FINANCIAL GROUP LLC

Form 5500 Filing Information

Submission information for form 5500 for 401k plan DOUGHERTY FINANCIAL GROUP LLC EMPLOYEE 401(K) PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator SignedName of Company SponsorDate Sponsor Signed
0012022-01-01TODD WITCRAFT2023-07-17 TODD WITCRAFT2023-07-17
0012021-01-01TODD WITCRAFT2022-05-05 TODD WITCRAFT2022-05-05
0012020-01-01TODD WITCRAFT2021-07-12 TODD WITCRAFT2021-07-12
0012019-01-01
0012018-01-01
0012017-01-01KRISTEN JOHNSON
0012016-01-01KRISTEN JOHNSON PAMELA ZIERMANN2017-10-05
0012015-01-01KRISTEN JOHNSON PAMELA ZIERMANN2016-10-12
0012014-01-01KRISTEN JOHNSON PAMELA ZIERMANN2015-10-13
0012013-01-01KATHRYN BAUGHER GERALD KRAUT2014-10-15
0012012-01-01KATHRYN BAUGHER MICHELLE SANDBERG2013-10-15
0012011-01-01KATHRYN BAUGHER MICHELLE SANDBERG2012-10-12
0012010-01-01KATHRYN BAUGHER MICHELLE SANDBERG2011-10-17
0012009-01-01PAM ZIERMANN MICHELLE SANDBERG2010-10-13

Plan Statistics for DOUGHERTY FINANCIAL GROUP LLC EMPLOYEE 401(K) PLAN

401k plan membership statisitcs for DOUGHERTY FINANCIAL GROUP LLC EMPLOYEE 401(K) PLAN

Measure Date Value
2019: DOUGHERTY FINANCIAL GROUP LLC EMPLOYEE 401(K) PLAN 2019 401k membership
Total participants, beginning-of-year2019-01-01354
Total number of active participants reported on line 7a of the Form 55002019-01-01269
Number of retired or separated participants receiving benefits2019-01-010
Number of other retired or separated participants entitled to future benefits2019-01-0174
Total of all active and inactive participants2019-01-01343
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2019-01-010
Total participants2019-01-01343
Number of participants with account balances2019-01-01320
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2019-01-010
2018: DOUGHERTY FINANCIAL GROUP LLC EMPLOYEE 401(K) PLAN 2018 401k membership
Total participants, beginning-of-year2018-01-01344
Total number of active participants reported on line 7a of the Form 55002018-01-01273
Number of retired or separated participants receiving benefits2018-01-010
Number of other retired or separated participants entitled to future benefits2018-01-0180
Total of all active and inactive participants2018-01-01353
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2018-01-011
Total participants2018-01-01354
Number of participants with account balances2018-01-01324
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2018-01-010
2017: DOUGHERTY FINANCIAL GROUP LLC EMPLOYEE 401(K) PLAN 2017 401k membership
Total participants, beginning-of-year2017-01-01336
Total number of active participants reported on line 7a of the Form 55002017-01-01260
Number of retired or separated participants receiving benefits2017-01-010
Number of other retired or separated participants entitled to future benefits2017-01-0184
Total of all active and inactive participants2017-01-01344
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2017-01-010
Total participants2017-01-01344
Number of participants with account balances2017-01-01309
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2017-01-010
2016: DOUGHERTY FINANCIAL GROUP LLC EMPLOYEE 401(K) PLAN 2016 401k membership
Total participants, beginning-of-year2016-01-01335
Total number of active participants reported on line 7a of the Form 55002016-01-01257
Number of retired or separated participants receiving benefits2016-01-010
Number of other retired or separated participants entitled to future benefits2016-01-0179
Total of all active and inactive participants2016-01-01336
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2016-01-010
Total participants2016-01-01336
Number of participants with account balances2016-01-01297
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2016-01-010
2015: DOUGHERTY FINANCIAL GROUP LLC EMPLOYEE 401(K) PLAN 2015 401k membership
Total participants, beginning-of-year2015-01-01347
Total number of active participants reported on line 7a of the Form 55002015-01-01260
Number of retired or separated participants receiving benefits2015-01-010
Number of other retired or separated participants entitled to future benefits2015-01-0175
Total of all active and inactive participants2015-01-01335
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2015-01-010
Total participants2015-01-01335
Number of participants with account balances2015-01-01299
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2015-01-010
2014: DOUGHERTY FINANCIAL GROUP LLC EMPLOYEE 401(K) PLAN 2014 401k membership
Total participants, beginning-of-year2014-01-01356
Total number of active participants reported on line 7a of the Form 55002014-01-01259
Number of retired or separated participants receiving benefits2014-01-010
Number of other retired or separated participants entitled to future benefits2014-01-0186
Total of all active and inactive participants2014-01-01345
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2014-01-012
Total participants2014-01-01347
Number of participants with account balances2014-01-01310
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2014-01-010
2013: DOUGHERTY FINANCIAL GROUP LLC EMPLOYEE 401(K) PLAN 2013 401k membership
Total participants, beginning-of-year2013-01-01425
Total number of active participants reported on line 7a of the Form 55002013-01-01263
Number of retired or separated participants receiving benefits2013-01-010
Number of other retired or separated participants entitled to future benefits2013-01-0193
Total of all active and inactive participants2013-01-01356
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2013-01-010
Total participants2013-01-01356
Number of participants with account balances2013-01-01328
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2013-01-012
2012: DOUGHERTY FINANCIAL GROUP LLC EMPLOYEE 401(K) PLAN 2012 401k membership
Total participants, beginning-of-year2012-01-01426
Total number of active participants reported on line 7a of the Form 55002012-01-01311
Number of retired or separated participants receiving benefits2012-01-010
Number of other retired or separated participants entitled to future benefits2012-01-01114
Total of all active and inactive participants2012-01-01425
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2012-01-010
Total participants2012-01-01425
Number of participants with account balances2012-01-01400
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2012-01-014
2011: DOUGHERTY FINANCIAL GROUP LLC EMPLOYEE 401(K) PLAN 2011 401k membership
Total participants, beginning-of-year2011-01-01407
Total number of active participants reported on line 7a of the Form 55002011-01-01342
Number of retired or separated participants receiving benefits2011-01-010
Number of other retired or separated participants entitled to future benefits2011-01-0179
Total of all active and inactive participants2011-01-01421
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2011-01-015
Total participants2011-01-01426
Number of participants with account balances2011-01-01389
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2011-01-0110
2010: DOUGHERTY FINANCIAL GROUP LLC EMPLOYEE 401(K) PLAN 2010 401k membership
Total participants, beginning-of-year2010-01-01388
Total number of active participants reported on line 7a of the Form 55002010-01-01326
Number of retired or separated participants receiving benefits2010-01-010
Number of other retired or separated participants entitled to future benefits2010-01-0181
Total of all active and inactive participants2010-01-01407
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2010-01-010
Total participants2010-01-01407
Number of participants with account balances2010-01-01358
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2010-01-0112
2009: DOUGHERTY FINANCIAL GROUP LLC EMPLOYEE 401(K) PLAN 2009 401k membership
Total participants, beginning-of-year2009-01-01364
Total number of active participants reported on line 7a of the Form 55002009-01-01295
Number of retired or separated participants receiving benefits2009-01-010
Number of other retired or separated participants entitled to future benefits2009-01-0193
Total of all active and inactive participants2009-01-01388
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2009-01-010
Total participants2009-01-01388
Number of participants with account balances2009-01-01346
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2009-01-0112

Financial Data on DOUGHERTY FINANCIAL GROUP LLC EMPLOYEE 401(K) PLAN

Measure Date Value
2019 : DOUGHERTY FINANCIAL GROUP LLC EMPLOYEE 401(K) PLAN 2019 401k financial data
Total unrealized appreciation/depreciation of assets2019-12-31$0
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 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 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$16,281,764
Total income from all sources (including contributions)2019-12-31$16,281,764
Total loss/gain on sale of assets2019-12-31$0
Total loss/gain on sale of assets2019-12-31$0
Total of all expenses incurred2019-12-31$2,231,385
Total of all expenses incurred2019-12-31$2,231,385
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2019-12-31$2,079,579
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2019-12-31$2,079,579
Total contributions o plan (from employers,participants, others, non cash contrinutions)2019-12-31$3,486,843
Value of total assets at end of year2019-12-31$80,504,763
Value of total assets at end of year2019-12-31$80,504,763
Value of total assets at beginning of year2019-12-31$66,454,384
Value of total assets at beginning of year2019-12-31$66,454,384
Total of administrative expenses incurred including professional, contract, advisory and management fees2019-12-31$151,806
Total of administrative expenses incurred including professional, contract, advisory and management fees2019-12-31$151,806
Total interest from all sources2019-12-31$47,935
Total interest from all sources2019-12-31$47,935
Total dividends received (eg from common stock, registered investment company shares)2019-12-31$996,754
Total dividends received (eg from common stock, registered investment company shares)2019-12-31$996,754
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2019-12-31No
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$996,754
Total dividends received from registered investment company shares (eg mutual funds)2019-12-31$996,754
Was this plan covered by a fidelity bond2019-12-31Yes
Was this plan covered by a fidelity bond2019-12-31Yes
Value of fidelity bond cover2019-12-31$500,000
Value of fidelity bond cover2019-12-31$500,000
If this is an individual account plan, was there a blackout period2019-12-31No
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
Were there any nonexempt tranactions with any party-in-interest2019-12-31No
Contributions received from participants2019-12-31$2,732,621
Contributions received from participants2019-12-31$2,732,621
Participant contributions at end of year2019-12-31$492,011
Participant contributions at end of year2019-12-31$492,011
Participant contributions at beginning of year2019-12-31$553,589
Participant contributions at beginning of year2019-12-31$553,589
Participant contributions at end of year2019-12-31$229
Participant contributions at end of year2019-12-31$229
Participant contributions at beginning of year2019-12-31$59,010
Participant contributions at beginning of year2019-12-31$59,010
Assets. Other investments not covered elsewhere at end of year2019-12-31$30,844,566
Assets. Other investments not covered elsewhere at end of year2019-12-31$30,844,566
Assets. Other investments not covered elsewhere at beginning of year2019-12-31$25,808,066
Assets. Other investments not covered elsewhere at beginning of year2019-12-31$25,808,066
Income. Received or receivable in cash from other sources (including rollovers)2019-12-31$163,797
Income. Received or receivable in cash from other sources (including rollovers)2019-12-31$163,797
Other income not declared elsewhere2019-12-31$4,600,518
Other income not declared elsewhere2019-12-31$4,600,518
Administrative expenses (other) incurred2019-12-31$94,914
Administrative expenses (other) incurred2019-12-31$94,914
Total non interest bearing cash at end of year2019-12-31$0
Total non interest bearing cash at end of year2019-12-31$0
Total non interest bearing cash at beginning of year2019-12-31$0
Total non interest bearing cash at beginning of year2019-12-31$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2019-12-31No
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$14,050,379
Value of net income/loss2019-12-31$14,050,379
Value of net assets at end of year (total assets less liabilities)2019-12-31$80,504,763
Value of net assets at end of year (total assets less liabilities)2019-12-31$80,504,763
Value of net assets at beginning of year (total assets less liabilities)2019-12-31$66,454,384
Value of net assets at beginning of year (total assets less liabilities)2019-12-31$66,454,384
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2019-12-31No
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 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
Were any leases to which the plan was party in default or uncollectible2019-12-31No
Assets. partnership/joint venture interests at end of year2019-12-31$23,220
Assets. partnership/joint venture interests at end of year2019-12-31$23,220
Assets. partnership/joint venture interests at beginning of year2019-12-31$23,706
Assets. partnership/joint venture interests at beginning of year2019-12-31$23,706
Investment advisory and management fees2019-12-31$56,892
Investment advisory and management fees2019-12-31$56,892
Value of interest in registered invesment companies (eg mutual funds) at end of year2019-12-31$47,160,969
Value of interest in registered invesment companies (eg mutual funds) at end of year2019-12-31$47,160,969
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2019-12-31$37,750,164
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2019-12-31$37,750,164
Interest on participant loans2019-12-31$26,009
Interest on participant loans2019-12-31$26,009
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2019-12-31$1,393,343
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2019-12-31$1,393,343
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2019-12-31$1,699,805
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2019-12-31$1,699,805
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2019-12-31$1,699,805
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2019-12-31$1,699,805
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)2019-12-31$21,926
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)2019-12-31$21,926
Net investment gain/loss from registered investment companies (e.g. mutual funds)2019-12-31$7,149,714
Net investment gain/loss from registered investment companies (e.g. mutual funds)2019-12-31$7,149,714
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
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
Has the plan failed to provide any benefit when due under the plan2019-12-31No
Contributions received in cash from employer2019-12-31$590,425
Contributions received in cash from employer2019-12-31$590,425
Employer contributions (assets) at end of year2019-12-31$590,425
Employer contributions (assets) at end of year2019-12-31$590,425
Employer contributions (assets) at beginning of year2019-12-31$560,044
Employer contributions (assets) at beginning of year2019-12-31$560,044
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2019-12-31$2,079,579
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2019-12-31$2,079,579
Did the plan have assets held for investment2019-12-31Yes
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
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
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
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
Opinion of an independent qualified public accountant for this plan2019-12-31Disclaimer
Accountancy firm name2019-12-31RSM US LLP
Accountancy firm name2019-12-31RSM US LLP
Accountancy firm EIN2019-12-31420714325
Accountancy firm EIN2019-12-31420714325
2018 : DOUGHERTY FINANCIAL GROUP LLC EMPLOYEE 401(K) 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$6,526,728
Total loss/gain on sale of assets2018-12-31$0
Total of all expenses incurred2018-12-31$11,868,204
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2018-12-31$11,709,253
Value of total corrective distributions2018-12-31$1,870
Total contributions o plan (from employers,participants, others, non cash contrinutions)2018-12-31$3,284,838
Value of total assets at end of year2018-12-31$66,454,384
Value of total assets at beginning of year2018-12-31$71,795,860
Total of administrative expenses incurred including professional, contract, advisory and management fees2018-12-31$157,081
Total interest from all sources2018-12-31$33,339
Total dividends received (eg from common stock, registered investment company shares)2018-12-31$1,030,374
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$1,030,374
Was this plan covered by a fidelity bond2018-12-31Yes
Value of fidelity bond cover2018-12-31$500,000
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$2,542,663
Participant contributions at end of year2018-12-31$553,589
Participant contributions at beginning of year2018-12-31$458,567
Participant contributions at end of year2018-12-31$59,010
Participant contributions at beginning of year2018-12-31$0
Assets. Other investments not covered elsewhere at end of year2018-12-31$25,808,066
Assets. Other investments not covered elsewhere at beginning of year2018-12-31$28,447,432
Income. Received or receivable in cash from other sources (including rollovers)2018-12-31$182,131
Other income not declared elsewhere2018-12-31$5,741,558
Administrative expenses (other) incurred2018-12-31$100,467
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2018-12-31No
Value of net income/loss2018-12-31$-5,341,476
Value of net assets at end of year (total assets less liabilities)2018-12-31$66,454,384
Value of net assets at beginning of year (total assets less liabilities)2018-12-31$71,795,860
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
Assets. partnership/joint venture interests at end of year2018-12-31$23,706
Assets. partnership/joint venture interests at beginning of year2018-12-31$0
Investment advisory and management fees2018-12-31$56,614
Value of interest in registered invesment companies (eg mutual funds) at end of year2018-12-31$37,750,164
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2018-12-31$41,357,786
Interest on participant loans2018-12-31$23,226
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2018-12-31$1,699,805
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2018-12-31$998,122
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2018-12-31$998,122
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)2018-12-31$10,113
Net investment gain/loss from registered investment companies (e.g. mutual funds)2018-12-31$-3,563,381
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
Contributions received in cash from employer2018-12-31$560,044
Employer contributions (assets) at end of year2018-12-31$560,044
Employer contributions (assets) at beginning of year2018-12-31$533,953
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2018-12-31$11,709,253
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 name2018-12-31RSM US LLP
Accountancy firm EIN2018-12-31420714325
2017 : DOUGHERTY FINANCIAL GROUP LLC EMPLOYEE 401(K) 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$16,272,736
Total loss/gain on sale of assets2017-12-31$0
Total of all expenses incurred2017-12-31$4,498,559
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2017-12-31$4,346,884
Total contributions o plan (from employers,participants, others, non cash contrinutions)2017-12-31$6,565,647
Value of total assets at end of year2017-12-31$71,795,860
Value of total assets at beginning of year2017-12-31$60,021,683
Total of administrative expenses incurred including professional, contract, advisory and management fees2017-12-31$151,675
Total interest from all sources2017-12-31$22,648
Total dividends received (eg from common stock, registered investment company shares)2017-12-31$834,032
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$834,032
Was this plan covered by a fidelity bond2017-12-31Yes
Value of fidelity bond cover2017-12-31$500,000
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$2,392,956
Participant contributions at end of year2017-12-31$458,567
Participant contributions at beginning of year2017-12-31$367,574
Assets. Other investments not covered elsewhere at end of year2017-12-31$28,447,432
Assets. Other investments not covered elsewhere at beginning of year2017-12-31$25,061,742
Income. Received or receivable in cash from other sources (including rollovers)2017-12-31$3,638,738
Other income not declared elsewhere2017-12-31$4,448,852
Administrative expenses (other) incurred2017-12-31$99,376
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$11,774,177
Value of net assets at end of year (total assets less liabilities)2017-12-31$71,795,860
Value of net assets at beginning of year (total assets less liabilities)2017-12-31$60,021,683
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$52,299
Value of interest in registered invesment companies (eg mutual funds) at end of year2017-12-31$41,357,786
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2017-12-31$32,871,773
Interest on participant loans2017-12-31$16,711
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2017-12-31$998,122
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2017-12-31$1,238,702
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2017-12-31$1,238,702
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)2017-12-31$5,937
Net investment gain/loss from registered investment companies (e.g. mutual funds)2017-12-31$4,401,557
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
Contributions received in cash from employer2017-12-31$533,953
Employer contributions (assets) at end of year2017-12-31$533,953
Employer contributions (assets) at beginning of year2017-12-31$481,892
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2017-12-31$4,346,884
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 name2017-12-31RSM US LLP
Accountancy firm EIN2017-12-31420714325
2016 : DOUGHERTY FINANCIAL GROUP LLC EMPLOYEE 401(K) 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$10,817,684
Total loss/gain on sale of assets2016-12-31$0
Total of all expenses incurred2016-12-31$6,843,228
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2016-12-31$6,713,870
Total contributions o plan (from employers,participants, others, non cash contrinutions)2016-12-31$4,319,336
Value of total assets at end of year2016-12-31$60,021,683
Value of total assets at beginning of year2016-12-31$56,047,227
Total of administrative expenses incurred including professional, contract, advisory and management fees2016-12-31$129,358
Total interest from all sources2016-12-31$19,198
Total dividends received (eg from common stock, registered investment company shares)2016-12-31$689,140
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$689,140
Was this plan covered by a fidelity bond2016-12-31Yes
Value of fidelity bond cover2016-12-31$500,000
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$2,142,808
Participant contributions at end of year2016-12-31$367,574
Participant contributions at beginning of year2016-12-31$378,209
Assets. Other investments not covered elsewhere at end of year2016-12-31$25,061,742
Assets. Other investments not covered elsewhere at beginning of year2016-12-31$23,952,234
Income. Received or receivable in cash from other sources (including rollovers)2016-12-31$1,694,636
Other income not declared elsewhere2016-12-31$3,829,420
Administrative expenses (other) incurred2016-12-31$96,535
Total non interest bearing cash at end of year2016-12-31$0
Total non interest bearing cash at beginning of year2016-12-31$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2016-12-31No
Value of net income/loss2016-12-31$3,974,456
Value of net assets at end of year (total assets less liabilities)2016-12-31$60,021,683
Value of net assets at beginning of year (total assets less liabilities)2016-12-31$56,047,227
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$32,823
Value of interest in registered invesment companies (eg mutual funds) at end of year2016-12-31$32,871,773
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2016-12-31$30,255,771
Interest on participant loans2016-12-31$14,782
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2016-12-31$1,238,702
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2016-12-31$986,348
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2016-12-31$986,348
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)2016-12-31$4,416
Net investment gain/loss from registered investment companies (e.g. mutual funds)2016-12-31$1,960,590
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 contributions2016-12-31No
Has the plan failed to provide any benefit when due under the plan2016-12-31No
Contributions received in cash from employer2016-12-31$481,892
Employer contributions (assets) at end of year2016-12-31$481,892
Employer contributions (assets) at beginning of year2016-12-31$474,665
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2016-12-31$6,713,870
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 name2016-12-31RSM US LLP
Accountancy firm EIN2016-12-31420714325
2015 : DOUGHERTY FINANCIAL GROUP LLC EMPLOYEE 401(K) 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$1,399,650
Total loss/gain on sale of assets2015-12-31$0
Total of all expenses incurred2015-12-31$10,696,574
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2015-12-31$10,600,966
Total contributions o plan (from employers,participants, others, non cash contrinutions)2015-12-31$2,651,953
Value of total assets at end of year2015-12-31$56,047,227
Value of total assets at beginning of year2015-12-31$65,344,151
Total of administrative expenses incurred including professional, contract, advisory and management fees2015-12-31$95,608
Total interest from all sources2015-12-31$18,246
Total dividends received (eg from common stock, registered investment company shares)2015-12-31$683,860
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$683,860
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 period2015-12-31No
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$2,143,424
Participant contributions at end of year2015-12-31$378,209
Participant contributions at beginning of year2015-12-31$422,095
Assets. Other investments not covered elsewhere at end of year2015-12-31$23,952,234
Assets. Other investments not covered elsewhere at beginning of year2015-12-31$24,408,972
Income. Received or receivable in cash from other sources (including rollovers)2015-12-31$33,864
Other income not declared elsewhere2015-12-31$-1,151,674
Administrative expenses (other) incurred2015-12-31$64,636
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2015-12-31No
Value of net income/loss2015-12-31$-9,296,924
Value of net assets at end of year (total assets less liabilities)2015-12-31$56,047,227
Value of net assets at beginning of year (total assets less liabilities)2015-12-31$65,344,151
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$30,972
Value of interest in registered invesment companies (eg mutual funds) at end of year2015-12-31$30,255,771
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2015-12-31$37,206,900
Interest on participant loans2015-12-31$16,974
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2015-12-31$986,348
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2015-12-31$2,805,251
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2015-12-31$2,805,251
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)2015-12-31$1,272
Net investment gain/loss from registered investment companies (e.g. mutual funds)2015-12-31$-802,735
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
Contributions received in cash from employer2015-12-31$474,665
Employer contributions (assets) at end of year2015-12-31$474,665
Employer contributions (assets) at beginning of year2015-12-31$500,933
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2015-12-31$10,600,966
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 name2015-12-31RSM US LLP
Accountancy firm EIN2015-12-31420714325
2014 : DOUGHERTY FINANCIAL GROUP LLC EMPLOYEE 401(K) 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$5,855,947
Total loss/gain on sale of assets2014-12-31$0
Total of all expenses incurred2014-12-31$2,660,922
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2014-12-31$2,616,203
Total contributions o plan (from employers,participants, others, non cash contrinutions)2014-12-31$2,734,579
Value of total assets at end of year2014-12-31$65,344,151
Value of total assets at beginning of year2014-12-31$62,149,126
Total of administrative expenses incurred including professional, contract, advisory and management fees2014-12-31$44,719
Total interest from all sources2014-12-31$15,370
Total dividends received (eg from common stock, registered investment company shares)2014-12-31$2,289,103
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$2,289,103
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 period2014-12-31No
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$2,180,227
Participant contributions at end of year2014-12-31$422,095
Participant contributions at beginning of year2014-12-31$365,159
Assets. Other investments not covered elsewhere at end of year2014-12-31$24,408,972
Assets. Other investments not covered elsewhere at beginning of year2014-12-31$22,698,870
Income. Received or receivable in cash from other sources (including rollovers)2014-12-31$49,571
Other income not declared elsewhere2014-12-31$547,239
Administrative expenses (other) incurred2014-12-31$3,020
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$3,195,025
Value of net assets at end of year (total assets less liabilities)2014-12-31$65,344,151
Value of net assets at beginning of year (total assets less liabilities)2014-12-31$62,149,126
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
Assets. partnership/joint venture interests at end of year2014-12-31$0
Assets. partnership/joint venture interests at beginning of year2014-12-31$105,000
Investment advisory and management fees2014-12-31$41,699
Value of interest in registered invesment companies (eg mutual funds) at end of year2014-12-31$37,206,900
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2014-12-31$35,856,141
Interest on participant loans2014-12-31$14,957
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2014-12-31$2,805,251
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2014-12-31$2,283,568
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2014-12-31$2,283,568
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)2014-12-31$413
Net investment gain/loss from registered investment companies (e.g. mutual funds)2014-12-31$269,656
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
Contributions received in cash from employer2014-12-31$504,781
Employer contributions (assets) at end of year2014-12-31$500,933
Employer contributions (assets) at beginning of year2014-12-31$840,388
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2014-12-31$2,616,203
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 name2014-12-31MCGLADREY LLP
Accountancy firm EIN2014-12-31420714325
2013 : DOUGHERTY FINANCIAL GROUP LLC EMPLOYEE 401(K) PLAN 2013 401k financial data
Total unrealized appreciation/depreciation of assets2013-12-31$0
Total transfer of assets from this plan2013-12-31$11,744,686
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2013-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2013-12-31$0
Total income from all sources (including contributions)2013-12-31$12,700,480
Total loss/gain on sale of assets2013-12-31$0
Total of all expenses incurred2013-12-31$4,428,422
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2013-12-31$4,405,602
Total contributions o plan (from employers,participants, others, non cash contrinutions)2013-12-31$3,134,290
Value of total assets at end of year2013-12-31$62,149,126
Value of total assets at beginning of year2013-12-31$65,621,754
Total of administrative expenses incurred including professional, contract, advisory and management fees2013-12-31$22,820
Total interest from all sources2013-12-31$17,671
Total dividends received (eg from common stock, registered investment company shares)2013-12-31$1,242,559
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$1,242,559
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
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2013-12-31$0
Were there any nonexempt tranactions with any party-in-interest2013-12-31No
Contributions received from participants2013-12-31$2,111,635
Participant contributions at end of year2013-12-31$365,159
Participant contributions at beginning of year2013-12-31$470,661
Participant contributions at end of year2013-12-31$0
Participant contributions at beginning of year2013-12-31$74,585
Assets. Other investments not covered elsewhere at end of year2013-12-31$22,698,870
Assets. Other investments not covered elsewhere at beginning of year2013-12-31$25,653,263
Income. Received or receivable in cash from other sources (including rollovers)2013-12-31$182,267
Other income not declared elsewhere2013-12-31$2,260,606
Administrative expenses (other) incurred2013-12-31$1,920
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$8,272,058
Value of net assets at end of year (total assets less liabilities)2013-12-31$62,149,126
Value of net assets at beginning of year (total assets less liabilities)2013-12-31$65,621,754
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
Assets. partnership/joint venture interests at end of year2013-12-31$105,000
Assets. partnership/joint venture interests at beginning of year2013-12-31$106,981
Investment advisory and management fees2013-12-31$20,900
Value of interest in registered invesment companies (eg mutual funds) at end of year2013-12-31$35,856,141
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2013-12-31$35,096,502
Interest on participant loans2013-12-31$16,629
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2013-12-31$2,283,568
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2013-12-31$2,595,022
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2013-12-31$2,595,022
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)2013-12-31$1,042
Net investment gain/loss from registered investment companies (e.g. mutual funds)2013-12-31$6,045,354
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
Contributions received in cash from employer2013-12-31$840,388
Employer contributions (assets) at end of year2013-12-31$840,388
Employer contributions (assets) at beginning of year2013-12-31$1,624,740
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2013-12-31$4,405,602
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 name2013-12-31ERNST & YOUNG
Accountancy firm EIN2013-12-31346565596
2012 : DOUGHERTY FINANCIAL GROUP LLC EMPLOYEE 401(K) PLAN 2012 401k financial data
Total unrealized appreciation/depreciation of assets2012-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2012-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2012-12-31$0
Total income from all sources (including contributions)2012-12-31$11,576,266
Total loss/gain on sale of assets2012-12-31$0
Total of all expenses incurred2012-12-31$2,181,051
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2012-12-31$2,179,051
Total contributions o plan (from employers,participants, others, non cash contrinutions)2012-12-31$4,951,757
Value of total assets at end of year2012-12-31$65,621,754
Value of total assets at beginning of year2012-12-31$56,226,539
Total of administrative expenses incurred including professional, contract, advisory and management fees2012-12-31$2,000
Total interest from all sources2012-12-31$21,738
Total dividends received (eg from common stock, registered investment company shares)2012-12-31$818,386
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$818,386
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
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2012-12-31$0
Were there any nonexempt tranactions with any party-in-interest2012-12-31No
Contributions received from participants2012-12-31$2,852,241
Participant contributions at end of year2012-12-31$470,661
Participant contributions at beginning of year2012-12-31$502,962
Participant contributions at end of year2012-12-31$74,585
Assets. Other investments not covered elsewhere at end of year2012-12-31$25,653,263
Assets. Other investments not covered elsewhere at beginning of year2012-12-31$22,451,817
Income. Received or receivable in cash from other sources (including rollovers)2012-12-31$474,776
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2012-12-31$12,332
Other income not declared elsewhere2012-12-31$2,087,501
Administrative expenses (other) incurred2012-12-31$2,000
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$9,395,215
Value of net assets at end of year (total assets less liabilities)2012-12-31$65,621,754
Value of net assets at beginning of year (total assets less liabilities)2012-12-31$56,226,539
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
Assets. partnership/joint venture interests at end of year2012-12-31$106,981
Value of interest in registered invesment companies (eg mutual funds) at end of year2012-12-31$35,096,502
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2012-12-31$28,787,466
Interest on participant loans2012-12-31$19,944
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2012-12-31$2,595,022
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2012-12-31$3,087,175
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2012-12-31$3,087,175
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)2012-12-31$1,794
Net investment gain/loss from registered investment companies (e.g. mutual funds)2012-12-31$3,696,884
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
Contributions received in cash from employer2012-12-31$1,624,740
Employer contributions (assets) at end of year2012-12-31$1,624,740
Employer contributions (assets) at beginning of year2012-12-31$1,384,787
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2012-12-31$2,179,051
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 name2012-12-31ERNST & YOUNG
Accountancy firm EIN2012-12-31346565596
2011 : DOUGHERTY FINANCIAL GROUP LLC EMPLOYEE 401(K) PLAN 2011 401k financial data
Total unrealized appreciation/depreciation of assets2011-12-31$0
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$2,581,471
Total loss/gain on sale of assets2011-12-31$0
Total of all expenses incurred2011-12-31$2,009,695
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2011-12-31$1,986,239
Total contributions o plan (from employers,participants, others, non cash contrinutions)2011-12-31$4,167,934
Value of total assets at end of year2011-12-31$56,226,539
Value of total assets at beginning of year2011-12-31$55,654,763
Total of administrative expenses incurred including professional, contract, advisory and management fees2011-12-31$23,456
Total interest from all sources2011-12-31$22,948
Total dividends received (eg from common stock, registered investment company shares)2011-12-31$758,861
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$758,861
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
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2011-12-31$0
Were there any nonexempt tranactions with any party-in-interest2011-12-31No
Contributions received from participants2011-12-31$2,703,019
Participant contributions at end of year2011-12-31$502,962
Participant contributions at beginning of year2011-12-31$442,510
Assets. Other investments not covered elsewhere at end of year2011-12-31$22,451,817
Assets. Other investments not covered elsewhere at beginning of year2011-12-31$21,691,615
Income. Received or receivable in cash from other sources (including rollovers)2011-12-31$63,677
Value of other receiveables (less allowance for doubtful accounts) at end of year2011-12-31$12,332
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2011-12-31$14,914
Other income not declared elsewhere2011-12-31$79,020
Administrative expenses (other) incurred2011-12-31$23,456
Total non interest bearing cash at beginning of year2011-12-31$1,639
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
Value of net income/loss2011-12-31$571,776
Value of net assets at end of year (total assets less liabilities)2011-12-31$56,226,539
Value of net assets at beginning of year (total assets less liabilities)2011-12-31$55,654,763
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$3,142
Value of interest in registered invesment companies (eg mutual funds) at end of year2011-12-31$28,787,466
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2011-12-31$30,284,273
Interest on participant loans2011-12-31$22,137
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2011-12-31$3,087,175
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2011-12-31$1,872,143
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2011-12-31$1,872,143
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)2011-12-31$811
Net investment gain/loss from registered investment companies (e.g. mutual funds)2011-12-31$-2,447,292
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
Contributions received in cash from employer2011-12-31$1,401,238
Employer contributions (assets) at end of year2011-12-31$1,384,787
Employer contributions (assets) at beginning of year2011-12-31$1,344,527
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2011-12-31$1,986,239
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
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 name2011-12-31ERNST & YOUNG
Accountancy firm EIN2011-12-31346565596
2010 : DOUGHERTY FINANCIAL GROUP LLC EMPLOYEE 401(K) PLAN 2010 401k financial data
Total unrealized appreciation/depreciation of assets2010-12-31$0
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$10,325,559
Total loss/gain on sale of assets2010-12-31$0
Total of all expenses incurred2010-12-31$1,988,139
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2010-12-31$1,972,738
Total contributions o plan (from employers,participants, others, non cash contrinutions)2010-12-31$3,725,074
Value of total assets at end of year2010-12-31$55,654,763
Value of total assets at beginning of year2010-12-31$47,317,343
Total of administrative expenses incurred including professional, contract, advisory and management fees2010-12-31$15,401
Total interest from all sources2010-12-31$28,167
Total dividends received (eg from common stock, registered investment company shares)2010-12-31$450,004
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$450,004
Was this plan covered by a fidelity bond2010-12-31Yes
Value of fidelity bond cover2010-12-31$10,000,000
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$2,323,216
Participant contributions at end of year2010-12-31$442,510
Participant contributions at beginning of year2010-12-31$433,680
Participant contributions at beginning of year2010-12-31$39,960
Assets. Other investments not covered elsewhere at end of year2010-12-31$21,691,615
Assets. Other investments not covered elsewhere at beginning of year2010-12-31$18,557,502
Income. Received or receivable in cash from other sources (including rollovers)2010-12-31$58,970
Value of other receiveables (less allowance for doubtful accounts) at end of year2010-12-31$14,914
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2010-12-31$11,110
Other income not declared elsewhere2010-12-31$2,554,145
Administrative expenses (other) incurred2010-12-31$15,401
Total non interest bearing cash at end of year2010-12-31$1,639
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
Value of net income/loss2010-12-31$8,337,420
Value of net assets at end of year (total assets less liabilities)2010-12-31$55,654,763
Value of net assets at beginning of year (total assets less liabilities)2010-12-31$47,317,343
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$3,142
Value of interest in registered invesment companies (eg mutual funds) at end of year2010-12-31$30,284,273
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2010-12-31$24,896,102
Interest on participant loans2010-12-31$27,214
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2010-12-31$1,872,143
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2010-12-31$2,177,685
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2010-12-31$2,177,685
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)2010-12-31$953
Net investment gain/loss from registered investment companies (e.g. mutual funds)2010-12-31$3,568,169
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
Contributions received in cash from employer2010-12-31$1,342,888
Employer contributions (assets) at end of year2010-12-31$1,344,527
Employer contributions (assets) at beginning of year2010-12-31$1,201,304
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2010-12-31$1,972,738
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-32010-12-31No
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
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 name2010-12-31ERNST & YOUNG
Accountancy firm EIN2010-12-31346565596
2009 : DOUGHERTY FINANCIAL GROUP LLC EMPLOYEE 401(K) 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 DOUGHERTY FINANCIAL GROUP LLC EMPLOYEE 401(K) PLAN

2019: DOUGHERTY FINANCIAL GROUP LLC EMPLOYEE 401(K) 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 – TrustYes
2019-01-01Plan benefit arrangement - TrustYes
2018: DOUGHERTY FINANCIAL GROUP LLC EMPLOYEE 401(K) 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 – TrustYes
2018-01-01Plan benefit arrangement - TrustYes
2017: DOUGHERTY FINANCIAL GROUP LLC EMPLOYEE 401(K) 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 – TrustYes
2017-01-01Plan benefit arrangement - TrustYes
2016: DOUGHERTY FINANCIAL GROUP LLC EMPLOYEE 401(K) 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 – TrustYes
2016-01-01Plan benefit arrangement - TrustYes
2015: DOUGHERTY FINANCIAL GROUP LLC EMPLOYEE 401(K) 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 – TrustYes
2015-01-01Plan benefit arrangement - TrustYes
2014: DOUGHERTY FINANCIAL GROUP LLC EMPLOYEE 401(K) 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 – TrustYes
2014-01-01Plan benefit arrangement - TrustYes
2013: DOUGHERTY FINANCIAL GROUP LLC EMPLOYEE 401(K) 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: DOUGHERTY FINANCIAL GROUP LLC EMPLOYEE 401(K) 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: DOUGHERTY FINANCIAL GROUP LLC EMPLOYEE 401(K) 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: DOUGHERTY FINANCIAL GROUP LLC EMPLOYEE 401(K) PLAN 2010 form 5500 responses
2010-01-01Type of plan entitySingle employer plan
2010-01-01Submission has been amendedYes
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: DOUGHERTY FINANCIAL GROUP LLC EMPLOYEE 401(K) 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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