401k Plan data: DOUGHERTY FINANCIAL GROUP LLC HEALTH CARE AND DEPENDENT DAY CARE EXPENSE REIMBURSEMENT plan

DOUGHERTY FINANCIAL GROUP LLC HEALTH CARE AND DEPENDENT DAY CARE EXPENSE REIMBURSEMENT 401k Plan overview

Plan Name	DOUGHERTY FINANCIAL GROUP LLC HEALTH CARE AND DEPENDENT DAY CARE EXPENSE REIMBURSEMENT
Plan identification number	501

DOUGHERTY FINANCIAL GROUP LLC HEALTH CARE AND DEPENDENT DAY CARE EXPENSE REIMBURSEMENT Benefits

401k Plan Type	Welfare Benefit
Plan Features/Benefits	Health (other than dental or vision) Dental Other welfare benefit cover Unfunded, fully insured, or combination unfunded/insured welfare plan that will not file a Form 5500 for next plan year pursuant to 29 CFR 2520.104-20.

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 HEALTH CARE AND DEPENDENT DAY CARE EXPENSE REIMBURSEMENT

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
501 2013-01-01 KATHRYN BAUGHER
501 2012-01-01 KATHRYN A. BAUGHER
501 2011-01-01 KATHRYN BAUGHER MICHELLE SANDBERG 2012-07-24
501 2009-01-01 PAMELA ZIERMANN MICHELLE SANDBERG 2010-07-29

Plan id#	Filing Submission Date	Name of Administrator	Name of Company Sponsor	Date Sponsor Signed
501	2013-01-01	KATHRYN BAUGHER
501	2012-01-01	KATHRYN A. BAUGHER
501	2011-01-01	KATHRYN BAUGHER	MICHELLE SANDBERG	2012-07-24
501	2009-01-01	PAMELA ZIERMANN	MICHELLE SANDBERG	2010-07-29

Plan Statistics for DOUGHERTY FINANCIAL GROUP LLC HEALTH CARE AND DEPENDENT DAY CARE EXPENSE REIMBURSEMENT

401k plan membership statisitcs for DOUGHERTY FINANCIAL GROUP LLC HEALTH CARE AND DEPENDENT DAY CARE EXPENSE REIMBURSEMENT

Measure Date Value
2013: DOUGHERTY FINANCIAL GROUP LLC HEALTH CARE AND DEPENDENT DAY CARE EXPENSE REIMBURSEMENT 2013 401k membership
Total participants, beginning-of-year 2013-01-01 157
Total number of active participants reported on line 7a of the Form 5500 2013-01-01 85
Number of retired or separated participants receiving benefits 2013-01-01 0
Number of other retired or separated participants entitled to future benefits 2013-01-01 0
Total of all active and inactive participants 2013-01-01 85
2012: DOUGHERTY FINANCIAL GROUP LLC HEALTH CARE AND DEPENDENT DAY CARE EXPENSE REIMBURSEMENT 2012 401k membership
Total participants, beginning-of-year 2012-01-01 252
Total number of active participants reported on line 7a of the Form 5500 2012-01-01 157
Number of retired or separated participants receiving benefits 2012-01-01 0
Number of other retired or separated participants entitled to future benefits 2012-01-01 0
Total of all active and inactive participants 2012-01-01 157
2011: DOUGHERTY FINANCIAL GROUP LLC HEALTH CARE AND DEPENDENT DAY CARE EXPENSE REIMBURSEMENT 2011 401k membership
Total participants, beginning-of-year 2011-01-01 240
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 251
Number of retired or separated participants receiving benefits 2011-01-01 1
Total of all active and inactive participants 2011-01-01 252
Total participants 2011-01-01 252
2009: DOUGHERTY FINANCIAL GROUP LLC HEALTH CARE AND DEPENDENT DAY CARE EXPENSE REIMBURSEMENT 2009 401k membership
Total participants, beginning-of-year 2009-01-01 223
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 225
Total of all active and inactive participants 2009-01-01 225
Total participants 2009-01-01 225

Measure	Date	Value
2013: DOUGHERTY FINANCIAL GROUP LLC HEALTH CARE AND DEPENDENT DAY CARE EXPENSE REIMBURSEMENT 2013 401k membership
Total participants, beginning-of-year	2013-01-01	157
Total number of active participants reported on line 7a of the Form 5500	2013-01-01	85
Number of retired or separated participants receiving benefits	2013-01-01	0
Number of other retired or separated participants entitled to future benefits	2013-01-01	0
Total of all active and inactive participants	2013-01-01	85
2012: DOUGHERTY FINANCIAL GROUP LLC HEALTH CARE AND DEPENDENT DAY CARE EXPENSE REIMBURSEMENT 2012 401k membership
Total participants, beginning-of-year	2012-01-01	252
Total number of active participants reported on line 7a of the Form 5500	2012-01-01	157
Number of retired or separated participants receiving benefits	2012-01-01	0
Number of other retired or separated participants entitled to future benefits	2012-01-01	0
Total of all active and inactive participants	2012-01-01	157
2011: DOUGHERTY FINANCIAL GROUP LLC HEALTH CARE AND DEPENDENT DAY CARE EXPENSE REIMBURSEMENT 2011 401k membership
Total participants, beginning-of-year	2011-01-01	240
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	251
Number of retired or separated participants receiving benefits	2011-01-01	1
Total of all active and inactive participants	2011-01-01	252
Total participants	2011-01-01	252
2009: DOUGHERTY FINANCIAL GROUP LLC HEALTH CARE AND DEPENDENT DAY CARE EXPENSE REIMBURSEMENT 2009 401k membership
Total participants, beginning-of-year	2009-01-01	223
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	225
Total of all active and inactive participants	2009-01-01	225
Total participants	2009-01-01	225

Form 5500 Responses for DOUGHERTY FINANCIAL GROUP LLC HEALTH CARE AND DEPENDENT DAY CARE EXPENSE REIMBURSEMENT

2013: DOUGHERTY FINANCIAL GROUP LLC HEALTH CARE AND DEPENDENT DAY CARE EXPENSE REIMBURSEMENT 2013 form 5500 responses
2013-01-01	Type of plan entity	Single employer plan
2013-01-01	Submission has been amended	No
2013-01-01	This submission is the final filing	No
2013-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2013-01-01	Plan is a collectively bargained plan	No
2013-01-01	Plan funding arrangement – General assets of the sponsor	Yes
2013-01-01	Plan benefit arrangement – General assets of the sponsor	Yes
2012: DOUGHERTY FINANCIAL GROUP LLC HEALTH CARE AND DEPENDENT DAY CARE EXPENSE REIMBURSEMENT 2012 form 5500 responses
2012-01-01	Type of plan entity	Single employer plan
2012-01-01	Submission has been amended	No
2012-01-01	This submission is the final filing	No
2012-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2012-01-01	Plan is a collectively bargained plan	No
2012-01-01	Plan funding arrangement – General assets of the sponsor	Yes
2012-01-01	Plan benefit arrangement – General assets of the sponsor	Yes
2011: DOUGHERTY FINANCIAL GROUP LLC HEALTH CARE AND DEPENDENT DAY CARE EXPENSE REIMBURSEMENT 2011 form 5500 responses
2011-01-01	Type of plan entity	Single employer plan
2011-01-01	Submission has been amended	No
2011-01-01	This submission is the final filing	No
2011-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2011-01-01	Plan is a collectively bargained plan	No
2011-01-01	Plan funding arrangement – General assets of the sponsor	Yes
2011-01-01	Plan benefit arrangement – General assets of the sponsor	Yes
2009: DOUGHERTY FINANCIAL GROUP LLC HEALTH CARE AND DEPENDENT DAY CARE EXPENSE REIMBURSEMENT 2009 form 5500 responses
2009-01-01	Type of plan entity	Single employer plan
2009-01-01	Submission has been amended	No
2009-01-01	This submission is the final filing	No
2009-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2009-01-01	Plan is a collectively bargained plan	No
2009-01-01	Plan funding arrangement – General assets of the sponsor	Yes
2009-01-01	Plan benefit arrangement – General assets of the sponsor	Yes

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

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