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Plan Name | RW SMITH & ASSOCIATES 401(K) PLAN |
Plan identification number | 002 |
401k Plan Type | Defined Contribution Pension |
Plan Features/Benefits |
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Company Name: | RW SMITH & ASSOCIATES, LLC |
Employer identification number (EIN): | 464360627 |
NAIC Classification: | 523120 |
NAIC Description: | Securities Brokerage |
Additional information about RW SMITH & ASSOCIATES, LLC
Jurisdiction of Incorporation: | Texas Secretary of State |
Incorporation Date: | 2014-10-15 |
Company Identification Number: | 0802083278 |
Legal Registered Office Address: |
111 TOWN SQUARE PL STE 1500 JERSEY CITY United States of America (USA) 07310 |
More information about RW SMITH & ASSOCIATES, LLC
Plan id# | Filing Submission Date | Name of Administrator | Date Administrator Signed | Name of Company Sponsor | Date Sponsor Signed |
---|---|---|---|---|---|
002 | 2022-01-01 | MICHAEL GEORGE | 2023-09-25 | MICHAEL GEORGE | 2023-09-25 |
002 | 2021-01-01 | MICHAEL GEORGE | 2022-09-16 | MICHAEL GEORGE | 2022-09-16 |
002 | 2020-01-01 | EDWARD SMITH | 2021-10-06 | MICHAEL GEORGE | 2021-10-06 |
002 | 2019-01-01 | MIKE3384HTD | 2020-07-29 | MIKE3384HTD | 2020-07-29 |
002 | 2018-01-01 | MICHAEL GEORGE | 2019-08-21 | MICHAEL GEORGE | 2019-08-21 |
002 | 2017-01-01 | MICHAEL GEORGE | 2018-07-26 | MICHAEL GEORGE | 2018-07-26 |
002 | 2016-01-01 | MICHAEL GEORGE | 2017-07-25 | ||
002 | 2015-01-01 | PAIGE PIERCE | 2016-07-25 | ||
002 | 2014-01-01 | PAIGE PIERCE |
Measure | Date | Value |
---|---|---|
2014: RW SMITH & ASSOCIATES 401(K) PLAN 2014 401k membership | ||
Total participants, beginning-of-year | 2014-01-01 | 29 |
Total number of active participants reported on line 7a of the Form 5500 | 2014-01-01 | 20 |
Number of retired or separated participants receiving benefits | 2014-01-01 | 0 |
Number of other retired or separated participants entitled to future benefits | 2014-01-01 | 10 |
Total of all active and inactive participants | 2014-01-01 | 30 |
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits | 2014-01-01 | 0 |
Total participants | 2014-01-01 | 30 |
Number of participants with account balances | 2014-01-01 | 25 |
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested | 2014-01-01 | 0 |
Measure | Date | Value |
---|---|---|
2014 : RW SMITH & ASSOCIATES 401(K) PLAN 2014 401k financial data | ||
Transfers to/from the plan | 2014-12-31 | $0 |
Total income from all sources | 2014-12-31 | $227,637 |
Expenses. Total of all expenses incurred | 2014-12-31 | $136,946 |
Benefits paid (including direct rollovers) | 2014-12-31 | $136,607 |
Total plan assets at end of year | 2014-12-31 | $2,165,231 |
Total plan assets at beginning of year | 2014-12-31 | $2,074,540 |
Value of fidelity bond covering the plan | 2014-12-31 | $100,000 |
Total contributions received or receivable from participants | 2014-12-31 | $124,003 |
Expenses. Other expenses not covered elsewhere | 2014-12-31 | $339 |
Contributions received from other sources (not participants or employers) | 2014-12-31 | $0 |
Other income received | 2014-12-31 | $103,634 |
Net income (gross income less expenses) | 2014-12-31 | $90,691 |
Net plan assets at end of year (total assets less liabilities) | 2014-12-31 | $2,165,231 |
Net plan assets at beginning of year (total assets less liabilities) | 2014-12-31 | $2,074,540 |
Assets. Value of participant loans | 2014-12-31 | $90,320 |
Total contributions received or receivable from employer(s) | 2014-12-31 | $0 |
Value of certain deemed distributions of participant loans | 2014-12-31 | $0 |
Value of corrective distributions | 2014-12-31 | $0 |
Funding deficiency by the employer to the plan for this plan year | 2014-12-31 | $0 |
Minimum employer required contribution for this plan year | 2014-12-31 | $0 |
Amount contributed by the employer to the plan for this plan year | 2014-12-31 | $0 |
2014: RW SMITH & ASSOCIATES 401(K) PLAN 2014 form 5500 responses | ||
---|---|---|
2014-01-01 | Type of plan entity | Single employer plan |
2014-01-01 | Submission has been amended | Yes |
2014-01-01 | This submission is the final filing | No |
2014-01-01 | This return/report is a short plan year return/report (less than 12 months) | No |
2014-01-01 | Plan is a collectively bargained plan | No |
2014-01-01 | Plan funding arrangement – Insurance | Yes |
2014-01-01 | Plan funding arrangement – Trust | Yes |
2014-01-01 | Plan benefit arrangement – Insurance | Yes |
HARTFORD LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 88072 ) | |||||||||||||||||||||||||||||||||||||||||||||||||||||||
Policy contract number | GA-827079 | ||||||||||||||||||||||||||||||||||||||||||||||||||||||
Policy instance | 1 | ||||||||||||||||||||||||||||||||||||||||||||||||||||||
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