NICHOLS CAULEY & ASSOCIATES, LLC has sponsored the creation of one or more 401k plans.
Submission information for form 5500 for 401k plan NICHOLS CAULEY & ASSOCIATES LLC 401K
Measure | Date | Value |
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2022 : NICHOLS CAULEY & ASSOCIATES LLC 401K 2022 401k financial data |
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Total income from all sources (including contributions) | 2022-12-31 | $-3,504,716 |
Total of all expenses incurred | 2022-12-31 | $1,942,514 |
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others | 2022-12-31 | $1,830,683 |
Value of total corrective distributions | 2022-12-31 | $111,256 |
Total contributions o plan (from employers,participants, others, non cash contrinutions) | 2022-12-31 | $2,367,304 |
Value of total assets at end of year | 2022-12-31 | $26,233,125 |
Value of total assets at beginning of year | 2022-12-31 | $31,680,355 |
Total of administrative expenses incurred including professional, contract, advisory and management fees | 2022-12-31 | $575 |
Total interest from all sources | 2022-12-31 | $196 |
Total dividends received (eg from common stock, registered investment company shares) | 2022-12-31 | $1,024,235 |
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year | 2022-12-31 | No |
Total dividends received from registered investment company shares (eg mutual funds) | 2022-12-31 | $1,024,235 |
Was this plan covered by a fidelity bond | 2022-12-31 | Yes |
Value of fidelity bond cover | 2022-12-31 | $500,000 |
If this is an individual account plan, was there a blackout period | 2022-12-31 | No |
Were there any nonexempt tranactions with any party-in-interest | 2022-12-31 | No |
Contributions received from participants | 2022-12-31 | $1,701,453 |
Participant contributions at end of year | 2022-12-31 | $0 |
Participant contributions at beginning of year | 2022-12-31 | $8,638 |
Income. Received or receivable in cash from other sources (including rollovers) | 2022-12-31 | $17,694 |
Administrative expenses (other) incurred | 2022-12-31 | $575 |
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser | 2022-12-31 | No |
Value of net income/loss | 2022-12-31 | $-5,447,230 |
Value of net assets at end of year (total assets less liabilities) | 2022-12-31 | $26,233,125 |
Value of net assets at beginning of year (total assets less liabilities) | 2022-12-31 | $31,680,355 |
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond) | 2022-12-31 | No |
Were any loans by the plan or fixed income obligations due to the plan in default | 2022-12-31 | No |
Were any leases to which the plan was party in default or uncollectible | 2022-12-31 | No |
Value of interest in registered invesment companies (eg mutual funds) at end of year | 2022-12-31 | $26,233,125 |
Value of interest in registered invesment companies (eg mutual funds) at beginning of year | 2022-12-31 | $31,671,717 |
Interest on participant loans | 2022-12-31 | $196 |
Net investment gain/loss from registered investment companies (e.g. mutual funds) | 2022-12-31 | $-6,896,451 |
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets | 2022-12-31 | No |
Was there a failure to transmit to the plan any participant contributions | 2022-12-31 | No |
Has the plan failed to provide any benefit when due under the plan | 2022-12-31 | No |
Contributions received in cash from employer | 2022-12-31 | $648,157 |
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers | 2022-12-31 | $1,830,683 |
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-3 | 2022-12-31 | No |
Did the plan have assets held for investment | 2022-12-31 | Yes |
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser | 2022-12-31 | No |
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC | 2022-12-31 | No |
Opinion of an independent qualified public accountant for this plan | 2022-12-31 | Unqualified |
Accountancy firm name | 2022-12-31 | WATKINS UIBERALL, PLLC |
Accountancy firm EIN | 2022-12-31 | 621804252 |
2021 : NICHOLS CAULEY & ASSOCIATES LLC 401K 2021 401k financial data |
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Total income from all sources (including contributions) | 2021-12-31 | $6,686,119 |
Total of all expenses incurred | 2021-12-31 | $928,391 |
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others | 2021-12-31 | $927,461 |
Value of total corrective distributions | 2021-12-31 | $405 |
Total contributions o plan (from employers,participants, others, non cash contrinutions) | 2021-12-31 | $2,610,476 |
Value of total assets at end of year | 2021-12-31 | $31,680,355 |
Value of total assets at beginning of year | 2021-12-31 | $25,922,627 |
Total of administrative expenses incurred including professional, contract, advisory and management fees | 2021-12-31 | $525 |
Total interest from all sources | 2021-12-31 | $743 |
Total dividends received (eg from common stock, registered investment company shares) | 2021-12-31 | $1,785,240 |
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year | 2021-12-31 | No |
Total dividends received from registered investment company shares (eg mutual funds) | 2021-12-31 | $1,785,240 |
Was this plan covered by a fidelity bond | 2021-12-31 | Yes |
Value of fidelity bond cover | 2021-12-31 | $500,000 |
If this is an individual account plan, was there a blackout period | 2021-12-31 | No |
Were there any nonexempt tranactions with any party-in-interest | 2021-12-31 | No |
Contributions received from participants | 2021-12-31 | $1,517,250 |
Participant contributions at end of year | 2021-12-31 | $8,638 |
Participant contributions at beginning of year | 2021-12-31 | $16,524 |
Income. Received or receivable in cash from other sources (including rollovers) | 2021-12-31 | $352,916 |
Administrative expenses (other) incurred | 2021-12-31 | $525 |
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser | 2021-12-31 | No |
Value of net income/loss | 2021-12-31 | $5,757,728 |
Value of net assets at end of year (total assets less liabilities) | 2021-12-31 | $31,680,355 |
Value of net assets at beginning of year (total assets less liabilities) | 2021-12-31 | $25,922,627 |
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond) | 2021-12-31 | No |
Were any loans by the plan or fixed income obligations due to the plan in default | 2021-12-31 | No |
Were any leases to which the plan was party in default or uncollectible | 2021-12-31 | No |
Value of interest in registered invesment companies (eg mutual funds) at end of year | 2021-12-31 | $31,671,717 |
Value of interest in registered invesment companies (eg mutual funds) at beginning of year | 2021-12-31 | $25,906,103 |
Interest on participant loans | 2021-12-31 | $743 |
Net investment gain/loss from registered investment companies (e.g. mutual funds) | 2021-12-31 | $2,289,660 |
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets | 2021-12-31 | No |
Was there a failure to transmit to the plan any participant contributions | 2021-12-31 | No |
Has the plan failed to provide any benefit when due under the plan | 2021-12-31 | No |
Contributions received in cash from employer | 2021-12-31 | $740,310 |
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers | 2021-12-31 | $927,461 |
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-3 | 2021-12-31 | No |
Did the plan have assets held for investment | 2021-12-31 | Yes |
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser | 2021-12-31 | No |
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC | 2021-12-31 | No |
Opinion of an independent qualified public accountant for this plan | 2021-12-31 | Unqualified |
Accountancy firm name | 2021-12-31 | WATKINS UIBERALL, PLLC |
Accountancy firm EIN | 2021-12-31 | 621804252 |
2020 : NICHOLS CAULEY & ASSOCIATES LLC 401K 2020 401k financial data |
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Total income from all sources (including contributions) | 2020-12-31 | $5,923,802 |
Total of all expenses incurred | 2020-12-31 | $1,391,790 |
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others | 2020-12-31 | $1,391,540 |
Total contributions o plan (from employers,participants, others, non cash contrinutions) | 2020-12-31 | $2,064,732 |
Value of total assets at end of year | 2020-12-31 | $25,922,627 |
Value of total assets at beginning of year | 2020-12-31 | $21,390,615 |
Total of administrative expenses incurred including professional, contract, advisory and management fees | 2020-12-31 | $250 |
Total interest from all sources | 2020-12-31 | $1,144 |
Total dividends received (eg from common stock, registered investment company shares) | 2020-12-31 | $689,638 |
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year | 2020-12-31 | No |
Total dividends received from registered investment company shares (eg mutual funds) | 2020-12-31 | $689,638 |
Was this plan covered by a fidelity bond | 2020-12-31 | Yes |
Value of fidelity bond cover | 2020-12-31 | $500,000 |
If this is an individual account plan, was there a blackout period | 2020-12-31 | No |
Were there any nonexempt tranactions with any party-in-interest | 2020-12-31 | No |
Contributions received from participants | 2020-12-31 | $1,142,194 |
Participant contributions at end of year | 2020-12-31 | $16,524 |
Income. Received or receivable in cash from other sources (including rollovers) | 2020-12-31 | $398,608 |
Administrative expenses (other) incurred | 2020-12-31 | $250 |
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser | 2020-12-31 | No |
Value of net income/loss | 2020-12-31 | $4,532,012 |
Value of net assets at end of year (total assets less liabilities) | 2020-12-31 | $25,922,627 |
Value of net assets at beginning of year (total assets less liabilities) | 2020-12-31 | $21,390,615 |
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond) | 2020-12-31 | No |
Were any loans by the plan or fixed income obligations due to the plan in default | 2020-12-31 | No |
Were any leases to which the plan was party in default or uncollectible | 2020-12-31 | No |
Value of interest in registered invesment companies (eg mutual funds) at end of year | 2020-12-31 | $25,906,103 |
Value of interest in registered invesment companies (eg mutual funds) at beginning of year | 2020-12-31 | $21,390,615 |
Interest on participant loans | 2020-12-31 | $1,144 |
Net investment gain/loss from registered investment companies (e.g. mutual funds) | 2020-12-31 | $3,168,288 |
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets | 2020-12-31 | No |
Was there a failure to transmit to the plan any participant contributions | 2020-12-31 | No |
Has the plan failed to provide any benefit when due under the plan | 2020-12-31 | No |
Contributions received in cash from employer | 2020-12-31 | $523,930 |
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers | 2020-12-31 | $1,391,540 |
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-3 | 2020-12-31 | No |
Did the plan have assets held for investment | 2020-12-31 | Yes |
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser | 2020-12-31 | No |
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC | 2020-12-31 | No |
Opinion of an independent qualified public accountant for this plan | 2020-12-31 | Disclaimer |
Accountancy firm name | 2020-12-31 | WATKINS UIBERALL, PLLC |
Accountancy firm EIN | 2020-12-31 | 621804252 |
2019 : NICHOLS CAULEY & ASSOCIATES LLC 401K 2019 401k financial data |
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Total income from all sources (including contributions) | 2019-12-31 | $5,196,202 |
Total of all expenses incurred | 2019-12-31 | $149,797 |
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others | 2019-12-31 | $149,647 |
Total contributions o plan (from employers,participants, others, non cash contrinutions) | 2019-12-31 | $1,379,015 |
Value of total assets at end of year | 2019-12-31 | $21,390,615 |
Value of total assets at beginning of year | 2019-12-31 | $16,344,210 |
Total of administrative expenses incurred including professional, contract, advisory and management fees | 2019-12-31 | $150 |
Total dividends received (eg from common stock, registered investment company shares) | 2019-12-31 | $1,030,533 |
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year | 2019-12-31 | No |
Total dividends received from registered investment company shares (eg mutual funds) | 2019-12-31 | $1,030,533 |
Was this plan covered by a fidelity bond | 2019-12-31 | Yes |
Value of fidelity bond cover | 2019-12-31 | $500,000 |
If this is an individual account plan, was there a blackout period | 2019-12-31 | No |
Were there any nonexempt tranactions with any party-in-interest | 2019-12-31 | No |
Contributions received from participants | 2019-12-31 | $947,749 |
Administrative expenses (other) incurred | 2019-12-31 | $150 |
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser | 2019-12-31 | No |
Value of net income/loss | 2019-12-31 | $5,046,405 |
Value of net assets at end of year (total assets less liabilities) | 2019-12-31 | $21,390,615 |
Value of net assets at beginning of year (total assets less liabilities) | 2019-12-31 | $16,344,210 |
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond) | 2019-12-31 | No |
Were any loans by the plan or fixed income obligations due to the plan in default | 2019-12-31 | No |
Were any leases to which the plan was party in default or uncollectible | 2019-12-31 | No |
Value of interest in registered invesment companies (eg mutual funds) at end of year | 2019-12-31 | $21,390,615 |
Value of interest in registered invesment companies (eg mutual funds) at beginning of year | 2019-12-31 | $16,344,210 |
Net investment gain/loss from registered investment companies (e.g. mutual funds) | 2019-12-31 | $2,786,654 |
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets | 2019-12-31 | No |
Was there a failure to transmit to the plan any participant contributions | 2019-12-31 | No |
Has the plan failed to provide any benefit when due under the plan | 2019-12-31 | No |
Contributions received in cash from employer | 2019-12-31 | $431,266 |
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers | 2019-12-31 | $149,647 |
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-3 | 2019-12-31 | No |
Did the plan have assets held for investment | 2019-12-31 | Yes |
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser | 2019-12-31 | No |
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC | 2019-12-31 | No |
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d) | 2019-12-31 | Yes |
Opinion of an independent qualified public accountant for this plan | 2019-12-31 | Disclaimer |
Accountancy firm name | 2019-12-31 | WATKINS UIBERALL, PLLC |
Accountancy firm EIN | 2019-12-31 | 621804252 |
2018 : NICHOLS CAULEY & ASSOCIATES LLC 401K 2018 401k financial data |
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Total income from all sources (including contributions) | 2018-12-31 | $418,801 |
Total of all expenses incurred | 2018-12-31 | $304,931 |
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others | 2018-12-31 | $301,881 |
Value of total corrective distributions | 2018-12-31 | $2,950 |
Total contributions o plan (from employers,participants, others, non cash contrinutions) | 2018-12-31 | $1,200,634 |
Value of total assets at end of year | 2018-12-31 | $16,344,210 |
Value of total assets at beginning of year | 2018-12-31 | $16,230,340 |
Total of administrative expenses incurred including professional, contract, advisory and management fees | 2018-12-31 | $100 |
Total dividends received (eg from common stock, registered investment company shares) | 2018-12-31 | $1,159,942 |
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year | 2018-12-31 | No |
Total dividends received from registered investment company shares (eg mutual funds) | 2018-12-31 | $1,159,942 |
Assets. Corporate prefeered stocks other than exployer securities at end of year | 2018-12-31 | $0 |
Assets. Corporate prefeered stocks other than exployer securities at beginning of year | 2018-12-31 | $0 |
Was this plan covered by a fidelity bond | 2018-12-31 | Yes |
Value of fidelity bond cover | 2018-12-31 | $500,000 |
If this is an individual account plan, was there a blackout period | 2018-12-31 | No |
Were there any nonexempt tranactions with any party-in-interest | 2018-12-31 | No |
Contributions received from participants | 2018-12-31 | $839,819 |
Administrative expenses (other) incurred | 2018-12-31 | $100 |
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser | 2018-12-31 | No |
Value of net income/loss | 2018-12-31 | $113,870 |
Value of net assets at end of year (total assets less liabilities) | 2018-12-31 | $16,344,210 |
Value of net assets at beginning of year (total assets less liabilities) | 2018-12-31 | $16,230,340 |
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond) | 2018-12-31 | No |
Were any loans by the plan or fixed income obligations due to the plan in default | 2018-12-31 | No |
Were any leases to which the plan was party in default or uncollectible | 2018-12-31 | No |
Value of interest in registered invesment companies (eg mutual funds) at end of year | 2018-12-31 | $16,344,210 |
Value of interest in registered invesment companies (eg mutual funds) at beginning of year | 2018-12-31 | $16,230,340 |
Net investment gain/loss from registered investment companies (e.g. mutual funds) | 2018-12-31 | $-1,941,775 |
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets | 2018-12-31 | No |
Was there a failure to transmit to the plan any participant contributions | 2018-12-31 | Yes |
Has the plan failed to provide any benefit when due under the plan | 2018-12-31 | No |
Contributions received in cash from employer | 2018-12-31 | $360,815 |
Employer contributions (assets) at end of year | 2018-12-31 | $0 |
Employer contributions (assets) at beginning of year | 2018-12-31 | $0 |
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers | 2018-12-31 | $301,881 |
Asset. Corporate debt instrument preferred debt at end of year | 2018-12-31 | $0 |
Asset. Corporate debt instrument preferred debt at beginning of year | 2018-12-31 | $0 |
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-3 | 2018-12-31 | No |
Did the plan have assets held for investment | 2018-12-31 | Yes |
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser | 2018-12-31 | No |
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC | 2018-12-31 | No |
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d) | 2018-12-31 | Yes |
Opinion of an independent qualified public accountant for this plan | 2018-12-31 | Disclaimer |
Accountancy firm name | 2018-12-31 | WATKINS UIBERALL, PLLC |
Accountancy firm EIN | 2018-12-31 | 621804252 |