401k Plan data: DICK JAMES & ASSOCIATES INC 401K PLAN plan

DICK JAMES & ASSOCIATES INC 401K PLAN 401k Plan overview

Plan Name	DICK JAMES & ASSOCIATES INC 401K PLAN
Plan identification number	001

DICK JAMES & ASSOCIATES INC 401K PLAN Benefits

401k Plan Type

Defined Contribution Pension

Plan Features/Benefits

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.
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.
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.

401k Sponsoring company profile

DICK JAMES & ASSOCIATES, INC. has sponsored the creation of one or more 401k plans.

Company Name: DICK JAMES & ASSOCIATES, INC.

Employer identification number (EIN): 680411999

NAIC Classification: 531110
NAIC Description: Lessors of Residential Buildings and Dwellings

Additional information about DICK JAMES & ASSOCIATES, INC.

Jurisdiction of Incorporation: California Department of State

Incorporation Date: 1998-05-05

Company Identification Number: C2107435

Legal Registered Office Address: 2260 Park Towne Circle, Suite 204

Sacramento
United States of America (USA)
95825

More information about DICK JAMES & ASSOCIATES, INC.

Form 5500 Filing Information

Submission information for form 5500 for 401k plan DICK JAMES & ASSOCIATES INC 401K PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2020-01-01
001 2020-01-01
001 2018-01-01
001 2017-01-01 MICHELE AMARAL
001 2016-01-01 MICHELE AMARAL
001 2015-01-01 MICHELE AMARAL
001 2014-01-01 MICHELE AMARAL
001 2013-01-01 MICHELE AMARAL
001 2012-01-01 MICHELE AMARAL
001 2011-01-01 MICHELE AMARAL
001 2010-01-01 MICHELE AMARAL 2011-05-27 DICK JAMES 2011-05-27

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed	Name of Company Sponsor	Date Sponsor Signed
001	2020-01-01
001	2020-01-01
001	2018-01-01
001	2017-01-01	MICHELE AMARAL
001	2016-01-01	MICHELE AMARAL
001	2015-01-01	MICHELE AMARAL
001	2014-01-01	MICHELE AMARAL
001	2013-01-01	MICHELE AMARAL
001	2012-01-01	MICHELE AMARAL
001	2011-01-01	MICHELE AMARAL
001	2010-01-01	MICHELE AMARAL	2011-05-27	DICK JAMES	2011-05-27

Plan Statistics for DICK JAMES & ASSOCIATES INC 401K PLAN

401k plan membership statisitcs for DICK JAMES & ASSOCIATES INC 401K PLAN

Measure Date Value
2020: DICK JAMES & ASSOCIATES INC 401K PLAN 2020 401k membership
Total participants, beginning-of-year 2020-01-01 307
Total number of active participants reported on line 7a of the Form 5500 2020-01-01 263
Number of retired or separated participants receiving benefits 2020-01-01 0
Number of other retired or separated participants entitled to future benefits 2020-01-01 0
Total of all active and inactive participants 2020-01-01 263
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2020-01-01 0
Total participants 2020-01-01 263
Number of participants with account balances 2020-01-01 0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2020-01-01 0
2018: DICK JAMES & ASSOCIATES INC 401K PLAN 2018 401k membership
Total participants, beginning-of-year 2018-01-01 281
Total number of active participants reported on line 7a of the Form 5500 2018-01-01 186
Number of retired or separated participants receiving benefits 2018-01-01 0
Number of other retired or separated participants entitled to future benefits 2018-01-01 75
Total of all active and inactive participants 2018-01-01 261
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2018-01-01 2
Total participants 2018-01-01 263
Number of participants with account balances 2018-01-01 192
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2018-01-01 37
2017: DICK JAMES & ASSOCIATES INC 401K PLAN 2017 401k membership
Total participants, beginning-of-year 2017-01-01 239
Total number of active participants reported on line 7a of the Form 5500 2017-01-01 193
Number of retired or separated participants receiving benefits 2017-01-01 0
Number of other retired or separated participants entitled to future benefits 2017-01-01 53
Total of all active and inactive participants 2017-01-01 246
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2017-01-01 0
Total participants 2017-01-01 246
Number of participants with account balances 2017-01-01 157
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2017-01-01 24
2016: DICK JAMES & ASSOCIATES INC 401K PLAN 2016 401k membership
Total participants, beginning-of-year 2016-01-01 183
Total number of active participants reported on line 7a of the Form 5500 2016-01-01 163
Number of retired or separated participants receiving benefits 2016-01-01 0
Number of other retired or separated participants entitled to future benefits 2016-01-01 39
Total of all active and inactive participants 2016-01-01 202
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2016-01-01 1
Total participants 2016-01-01 203
Number of participants with account balances 2016-01-01 139
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2016-01-01 11
2015: DICK JAMES & ASSOCIATES INC 401K PLAN 2015 401k membership
Total participants, beginning-of-year 2015-01-01 161
Total number of active participants reported on line 7a of the Form 5500 2015-01-01 128
Number of retired or separated participants receiving benefits 2015-01-01 0
Number of other retired or separated participants entitled to future benefits 2015-01-01 30
Total of all active and inactive participants 2015-01-01 158
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2015-01-01 1
Total participants 2015-01-01 159
Number of participants with account balances 2015-01-01 92
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2015-01-01 3
2014: DICK JAMES & ASSOCIATES INC 401K PLAN 2014 401k membership
Total participants, beginning-of-year 2014-01-01 164
Total number of active participants reported on line 7a of the Form 5500 2014-01-01 127
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 26
Total of all active and inactive participants 2014-01-01 153
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2014-01-01 1
Total participants 2014-01-01 154
Number of participants with account balances 2014-01-01 77
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2014-01-01 1
2013: DICK JAMES & ASSOCIATES INC 401K PLAN 2013 401k membership
Total participants, beginning-of-year 2013-01-01 131
Total number of active participants reported on line 7a of the Form 5500 2013-01-01 136
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 26
Total of all active and inactive participants 2013-01-01 162
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2013-01-01 1
Total participants 2013-01-01 163
Number of participants with account balances 2013-01-01 79
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2013-01-01 0
2012: DICK JAMES & ASSOCIATES INC 401K PLAN 2012 401k membership
Total participants, beginning-of-year 2012-01-01 151
Total number of active participants reported on line 7a of the Form 5500 2012-01-01 102
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 27
Total of all active and inactive participants 2012-01-01 129
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2012-01-01 1
Total participants 2012-01-01 130
Number of participants with account balances 2012-01-01 60
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2012-01-01 0
2011: DICK JAMES & ASSOCIATES INC 401K PLAN 2011 401k membership
Total participants, beginning-of-year 2011-01-01 139
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 124
Number of retired or separated participants receiving benefits 2011-01-01 0
Number of other retired or separated participants entitled to future benefits 2011-01-01 28
Total of all active and inactive participants 2011-01-01 152
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-01-01 1
Total participants 2011-01-01 153
Number of participants with account balances 2011-01-01 65
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-01-01 0

Measure	Date	Value
2020: DICK JAMES & ASSOCIATES INC 401K PLAN 2020 401k membership
Total participants, beginning-of-year	2020-01-01	307
Total number of active participants reported on line 7a of the Form 5500	2020-01-01	263
Number of retired or separated participants receiving benefits	2020-01-01	0
Number of other retired or separated participants entitled to future benefits	2020-01-01	0
Total of all active and inactive participants	2020-01-01	263
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2020-01-01	0
Total participants	2020-01-01	263
Number of participants with account balances	2020-01-01	0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2020-01-01	0
2018: DICK JAMES & ASSOCIATES INC 401K PLAN 2018 401k membership
Total participants, beginning-of-year	2018-01-01	281
Total number of active participants reported on line 7a of the Form 5500	2018-01-01	186
Number of retired or separated participants receiving benefits	2018-01-01	0
Number of other retired or separated participants entitled to future benefits	2018-01-01	75
Total of all active and inactive participants	2018-01-01	261
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2018-01-01	2
Total participants	2018-01-01	263
Number of participants with account balances	2018-01-01	192
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2018-01-01	37
2017: DICK JAMES & ASSOCIATES INC 401K PLAN 2017 401k membership
Total participants, beginning-of-year	2017-01-01	239
Total number of active participants reported on line 7a of the Form 5500	2017-01-01	193
Number of retired or separated participants receiving benefits	2017-01-01	0
Number of other retired or separated participants entitled to future benefits	2017-01-01	53
Total of all active and inactive participants	2017-01-01	246
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2017-01-01	0
Total participants	2017-01-01	246
Number of participants with account balances	2017-01-01	157
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2017-01-01	24
2016: DICK JAMES & ASSOCIATES INC 401K PLAN 2016 401k membership
Total participants, beginning-of-year	2016-01-01	183
Total number of active participants reported on line 7a of the Form 5500	2016-01-01	163
Number of retired or separated participants receiving benefits	2016-01-01	0
Number of other retired or separated participants entitled to future benefits	2016-01-01	39
Total of all active and inactive participants	2016-01-01	202
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2016-01-01	1
Total participants	2016-01-01	203
Number of participants with account balances	2016-01-01	139
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2016-01-01	11
2015: DICK JAMES & ASSOCIATES INC 401K PLAN 2015 401k membership
Total participants, beginning-of-year	2015-01-01	161
Total number of active participants reported on line 7a of the Form 5500	2015-01-01	128
Number of retired or separated participants receiving benefits	2015-01-01	0
Number of other retired or separated participants entitled to future benefits	2015-01-01	30
Total of all active and inactive participants	2015-01-01	158
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2015-01-01	1
Total participants	2015-01-01	159
Number of participants with account balances	2015-01-01	92
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2015-01-01	3
2014: DICK JAMES & ASSOCIATES INC 401K PLAN 2014 401k membership
Total participants, beginning-of-year	2014-01-01	164
Total number of active participants reported on line 7a of the Form 5500	2014-01-01	127
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	26
Total of all active and inactive participants	2014-01-01	153
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2014-01-01	1
Total participants	2014-01-01	154
Number of participants with account balances	2014-01-01	77
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2014-01-01	1
2013: DICK JAMES & ASSOCIATES INC 401K PLAN 2013 401k membership
Total participants, beginning-of-year	2013-01-01	131
Total number of active participants reported on line 7a of the Form 5500	2013-01-01	136
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	26
Total of all active and inactive participants	2013-01-01	162
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2013-01-01	1
Total participants	2013-01-01	163
Number of participants with account balances	2013-01-01	79
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2013-01-01	0
2012: DICK JAMES & ASSOCIATES INC 401K PLAN 2012 401k membership
Total participants, beginning-of-year	2012-01-01	151
Total number of active participants reported on line 7a of the Form 5500	2012-01-01	102
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	27
Total of all active and inactive participants	2012-01-01	129
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2012-01-01	1
Total participants	2012-01-01	130
Number of participants with account balances	2012-01-01	60
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2012-01-01	0
2011: DICK JAMES & ASSOCIATES INC 401K PLAN 2011 401k membership
Total participants, beginning-of-year	2011-01-01	139
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	124
Number of retired or separated participants receiving benefits	2011-01-01	0
Number of other retired or separated participants entitled to future benefits	2011-01-01	28
Total of all active and inactive participants	2011-01-01	152
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-01-01	1
Total participants	2011-01-01	153
Number of participants with account balances	2011-01-01	65
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-01-01	0

Financial Data on DICK JAMES & ASSOCIATES INC 401K PLAN

Measure	Date	Value
2020 : DICK JAMES & ASSOCIATES INC 401K PLAN 2020 401k financial data
Unrealized appreciation/depreciation of real estate assets	2020-03-31	$0
Unrealized appreciation/depreciation of other (non real estate) assets	2020-03-31	$0
Total unrealized appreciation/depreciation of assets	2020-03-31	$0
Total transfer of assets to this plan	2020-03-31	$0
Total transfer of assets from this plan	2020-03-31	$-1,641,333
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2020-03-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2020-03-31	$0
Expenses. Interest paid	2020-03-31	$0
Amount of participant contributions which was failed to transmit to the plan within the time period described in 29 CFR 251.3-102	2020-03-31	$0
Total income from all sources (including contributions)	2020-03-31	$-3,856,390
Total loss/gain on sale of assets	2020-03-31	$0
Total of all expenses incurred	2020-03-31	$85,763
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2020-03-31	$77,440
Expenses. Certain deemed distributions of participant loans	2020-03-31	$0
Value of total corrective distributions	2020-03-31	$96
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2020-03-31	$0
Value of total assets at end of year	2020-03-31	$0
Value of total assets at beginning of year	2020-03-31	$2,300,820
Total of administrative expenses incurred including professional, contract, advisory and management fees	2020-03-31	$8,227
Total income from rents	2020-03-31	$0
Total interest from all sources	2020-03-31	$69
Total dividends received (eg from common stock, registered investment company shares)	2020-03-31	$2,827
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2020-03-31	Yes
Value of any plan assets that reverted to the employer resulting from resoluton to terminate the plan	2020-03-31	$0
Total dividends received from registered investment company shares (eg mutual funds)	2020-03-31	$2,827
Assets. Real estate other than employer real property at end of year	2020-03-31	$0
Assets. Real estate other than employer real property at beginning of year	2020-03-31	$0
Administrative expenses professional fees incurred	2020-03-31	$0
Assets. Corporate prefeered stocks other than exployer securities at end of year	2020-03-31	$0
Assets. Corporate prefeered stocks other than exployer securities at beginning of year	2020-03-31	$0
Was this plan covered by a fidelity bond	2020-03-31	Yes
Value of fidelity bond cover	2020-03-31	$300,000
If this is an individual account plan, was there a blackout period	2020-03-31	Yes
Were there any nonexempt tranactions with any party-in-interest	2020-03-31	No
Contributions received from participants	2020-03-31	$0
Participant contributions at end of year	2020-03-31	$0
Participant contributions at beginning of year	2020-03-31	$58,153
Participant contributions at end of year	2020-03-31	$0
Participant contributions at beginning of year	2020-03-31	$0
Assets. Other investments not covered elsewhere at end of year	2020-03-31	$0
Assets. Other investments not covered elsewhere at beginning of year	2020-03-31	$0
Income. Received or receivable in cash from other sources (including rollovers)	2020-03-31	$0
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)	2020-03-31	$0
Value of other receiveables (less allowance for doubtful accounts) at end of year	2020-03-31	$0
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2020-03-31	$0
Assets. Loans (other than to participants) at end of year	2020-03-31	$0
Assets. Loans (other than to participants) at beginning of year	2020-03-31	$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2020-03-31	$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2020-03-31	$0
Other income not declared elsewhere	2020-03-31	$0
Administrative expenses (other) incurred	2020-03-31	$956
Liabilities. Value of operating payables at end of year	2020-03-31	$0
Liabilities. Value of operating payables at beginning of year	2020-03-31	$0
Total non interest bearing cash at end of year	2020-03-31	$0
Total non interest bearing cash at beginning of year	2020-03-31	$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2020-03-31	No
Income. Non cash contributions	2020-03-31	$0
Value of net income/loss	2020-03-31	$-3,942,153
Value of net assets at end of year (total assets less liabilities)	2020-03-31	$0
Value of net assets at beginning of year (total assets less liabilities)	2020-03-31	$2,300,820
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2020-03-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2020-03-31	No
Were any leases to which the plan was party in default or uncollectible	2020-03-31	No
Assets. partnership/joint venture interests at end of year	2020-03-31	$0
Assets. partnership/joint venture interests at beginning of year	2020-03-31	$0
Investment advisory and management fees	2020-03-31	$6,868
Value of interest in registered invesment companies (eg mutual funds) at end of year	2020-03-31	$0
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2020-03-31	$2,222,379
Value of interest in pooled separate accounts at end of year	2020-03-31	$0
Value of interest in pooled separate accounts at beginning of year	2020-03-31	$0
Interest on participant loans	2020-03-31	$31
Income. Interest from loans (other than to participants)	2020-03-31	$0
Interest earned on other investments	2020-03-31	$0
Income. Interest from US Government securities	2020-03-31	$0
Income. Interest from corporate debt instruments	2020-03-31	$0
Value of interest in master investment trust accounts at end of year	2020-03-31	$0
Value of interest in master investment trust accounts at beginning of year	2020-03-31	$0
Value of interest in common/collective trusts at end of year	2020-03-31	$0
Value of interest in common/collective trusts at beginning of year	2020-03-31	$0
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2020-03-31	$0
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2020-03-31	$20,288
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2020-03-31	$20,288
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2020-03-31	$38
Assets. Value of investments in 103.12 investment entities at end of year	2020-03-31	$0
Assets. Value of investments in 103.12 investment entities at beginning of year	2020-03-31	$0
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2020-03-31	$0
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2020-03-31	$0
Expenses. Payments to insurance carriers foe the provision of benefits	2020-03-31	$0
Asset value of US Government securities at end of year	2020-03-31	$0
Asset value of US Government securities at beginning of year	2020-03-31	$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2020-03-31	$-3,859,286
Net investment gain/loss from pooled separate accounts	2020-03-31	$0
Net investment gain or loss from common/collective trusts	2020-03-31	$0
Net gain/loss from 103.12 investment entities	2020-03-31	$0
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2020-03-31	No
Was there a failure to transmit to the plan any participant contributions	2020-03-31	No
Has the plan failed to provide any benefit when due under the plan	2020-03-31	No
Assets. Invements in employer securities at end of year	2020-03-31	$0
Assets. Invements in employer securities at beginning of year	2020-03-31	$0
Assets. Value of employer real property at end of year	2020-03-31	$0
Assets. Value of employer real property at beginning of year	2020-03-31	$0
Contributions received in cash from employer	2020-03-31	$0
Employer contributions (assets) at end of year	2020-03-31	$0
Employer contributions (assets) at beginning of year	2020-03-31	$0
Income. Dividends from preferred stock	2020-03-31	$0
Income. Dividends from common stock	2020-03-31	$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2020-03-31	$77,440
Asset. Corporate debt instrument preferred debt at end of year	2020-03-31	$0
Asset. Corporate debt instrument preferred debt at beginning of year	2020-03-31	$0
Asset. Corporate debt instrument debt (other) at end of year	2020-03-31	$0
Asset. Corporate debt instrument debt (other) at beginning of year	2020-03-31	$0
Contract administrator fees	2020-03-31	$403
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	2020-03-31	Yes
Assets. Corporate common stocks other than exployer securities at end of year	2020-03-31	$0
Assets. Corporate common stocks other than exployer securities at beginning of year	2020-03-31	$0
Liabilities. Value of benefit claims payable at end of year	2020-03-31	$0
Liabilities. Value of benefit claims payable at beginning of year	2020-03-31	$0
Assets. Value of buildings and other operty used in plan operation at end of year	2020-03-31	$0
Assets. Value of buildings and other operty used in plan operation at beginning of year	2020-03-31	$0
Did the plan have assets held for investment	2020-03-31	No
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	2020-03-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2020-03-31	No
Aggregate proceeds on sale of assets	2020-03-31	$0
Aggregate carrying amount (costs) on sale of assets	2020-03-31	$0
Liabilities. Value of acquisition indebtedness at end of year	2020-03-31	$0
Liabilities. Value of acquisition indebtedness at beginning of year	2020-03-31	$0
Opinion of an independent qualified public accountant for this plan	2020-03-31	Unqualified
Accountancy firm name	2020-03-31	PROPP CHRISTENSEN CANIGLIA
Accountancy firm EIN	2020-03-31	262363334
2018 : DICK JAMES & ASSOCIATES INC 401K PLAN 2018 401k financial data
Unrealized appreciation/depreciation of real estate assets	2018-12-31	$0
Unrealized appreciation/depreciation of other (non real estate) assets	2018-12-31	$0
Total unrealized appreciation/depreciation of assets	2018-12-31	$0
Total transfer of assets to this plan	2018-12-31	$0
Total transfer of assets from this plan	2018-12-31	$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
Expenses. Interest paid	2018-12-31	$0
Amount of participant contributions which was failed to transmit to the plan within the time period described in 29 CFR 251.3-102	2018-12-31	$0
Total income from all sources (including contributions)	2018-12-31	$159,421
Total loss/gain on sale of assets	2018-12-31	$0
Total of all expenses incurred	2018-12-31	$144,538
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2018-12-31	$118,222
Expenses. Certain deemed distributions of participant loans	2018-12-31	$6,294
Value of total corrective distributions	2018-12-31	$0
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2018-12-31	$270,523
Value of total assets at end of year	2018-12-31	$2,195,349
Value of total assets at beginning of year	2018-12-31	$2,180,466
Total of administrative expenses incurred including professional, contract, advisory and management fees	2018-12-31	$20,022
Total income from rents	2018-12-31	$0
Total interest from all sources	2018-12-31	$3,208
Total dividends received (eg from common stock, registered investment company shares)	2018-12-31	$125,357
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	$125,357
Assets. Real estate other than employer real property at end of year	2018-12-31	$0
Assets. Real estate other than employer real property at beginning of year	2018-12-31	$0
Administrative expenses professional fees incurred	2018-12-31	$0
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	$300,000
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	$221,238
Participant contributions at end of year	2018-12-31	$57,015
Participant contributions at beginning of year	2018-12-31	$39,212
Participant contributions at end of year	2018-12-31	$0
Participant contributions at beginning of year	2018-12-31	$8,012
Assets. Other investments not covered elsewhere at end of year	2018-12-31	$0
Assets. Other investments not covered elsewhere at beginning of year	2018-12-31	$0
Income. Received or receivable in cash from other sources (including rollovers)	2018-12-31	$9,119
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)	2018-12-31	$0
Value of other receiveables (less allowance for doubtful accounts) at end of year	2018-12-31	$0
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2018-12-31	$0
Assets. Loans (other than to participants) at end of year	2018-12-31	$0
Assets. Loans (other than to participants) at beginning of year	2018-12-31	$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2018-12-31	$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2018-12-31	$0
Other income not declared elsewhere	2018-12-31	$0
Administrative expenses (other) incurred	2018-12-31	$0
Liabilities. Value of operating payables at end of year	2018-12-31	$0
Liabilities. Value of operating payables at beginning of year	2018-12-31	$0
Total non interest bearing cash at end of year	2018-12-31	$0
Total non interest bearing cash at beginning of year	2018-12-31	$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2018-12-31	No
Income. Non cash contributions	2018-12-31	$0
Value of net income/loss	2018-12-31	$14,883
Value of net assets at end of year (total assets less liabilities)	2018-12-31	$2,195,349
Value of net assets at beginning of year (total assets less liabilities)	2018-12-31	$2,180,466
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
Assets. partnership/joint venture interests at end of year	2018-12-31	$0
Assets. partnership/joint venture interests at beginning of year	2018-12-31	$0
Investment advisory and management fees	2018-12-31	$17,588
Value of interest in registered invesment companies (eg mutual funds) at end of year	2018-12-31	$2,073,076
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2018-12-31	$2,076,907
Interest on participant loans	2018-12-31	$3,069
Income. Interest from loans (other than to participants)	2018-12-31	$0
Interest earned on other investments	2018-12-31	$0
Income. Interest from US Government securities	2018-12-31	$0
Income. Interest from corporate debt instruments	2018-12-31	$0
Value of interest in common/collective trusts at end of year	2018-12-31	$46,156
Value of interest in common/collective trusts at beginning of year	2018-12-31	$36,219
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2018-12-31	$19,102
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2018-12-31	$18,687
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2018-12-31	$18,687
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2018-12-31	$139
Expenses. Payments to insurance carriers foe the provision of benefits	2018-12-31	$0
Asset value of US Government securities at end of year	2018-12-31	$0
Asset value of US Government securities at beginning of year	2018-12-31	$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2018-12-31	$-239,667
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	No
Has the plan failed to provide any benefit when due under the plan	2018-12-31	No
Assets. Invements in employer securities at end of year	2018-12-31	$0
Assets. Invements in employer securities at beginning of year	2018-12-31	$0
Assets. Value of employer real property at end of year	2018-12-31	$0
Assets. Value of employer real property at beginning of year	2018-12-31	$0
Contributions received in cash from employer	2018-12-31	$40,166
Employer contributions (assets) at end of year	2018-12-31	$0
Employer contributions (assets) at beginning of year	2018-12-31	$1,429
Income. Dividends from preferred stock	2018-12-31	$0
Income. Dividends from common stock	2018-12-31	$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2018-12-31	$118,222
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
Asset. Corporate debt instrument debt (other) at end of year	2018-12-31	$0
Asset. Corporate debt instrument debt (other) at beginning of year	2018-12-31	$0
Contract administrator fees	2018-12-31	$2,434
Assets. Corporate common stocks other than exployer securities at end of year	2018-12-31	$0
Assets. Corporate common stocks other than exployer securities at beginning of year	2018-12-31	$0
Liabilities. Value of benefit claims payable at end of year	2018-12-31	$0
Liabilities. Value of benefit claims payable at beginning of year	2018-12-31	$0
Assets. Value of buildings and other operty used in plan operation at end of year	2018-12-31	$0
Assets. Value of buildings and other operty used in plan operation at beginning of year	2018-12-31	$0
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
Aggregate proceeds on sale of assets	2018-12-31	$0
Aggregate carrying amount (costs) on sale of assets	2018-12-31	$0
Liabilities. Value of acquisition indebtedness at end of year	2018-12-31	$0
Liabilities. Value of acquisition indebtedness at beginning of year	2018-12-31	$0
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	PROPP CHRISTENSEN CANIGLIA LLP
Accountancy firm EIN	2018-12-31	262363334
2017 : DICK JAMES & ASSOCIATES INC 401K PLAN 2017 401k financial data
Unrealized appreciation/depreciation of real estate assets	2017-12-31	$0
Unrealized appreciation/depreciation of other (non real estate) assets	2017-12-31	$0
Total unrealized appreciation/depreciation of assets	2017-12-31	$0
Total transfer of assets to this plan	2017-12-31	$0
Total transfer of assets from this plan	2017-12-31	$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
Expenses. Interest paid	2017-12-31	$0
Amount of participant contributions which was failed to transmit to the plan within the time period described in 29 CFR 251.3-102	2017-12-31	$0
Total income from all sources (including contributions)	2017-12-31	$566,054
Total loss/gain on sale of assets	2017-12-31	$0
Total of all expenses incurred	2017-12-31	$133,830
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2017-12-31	$91,813
Expenses. Certain deemed distributions of participant loans	2017-12-31	$24,664
Value of total corrective distributions	2017-12-31	$0
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2017-12-31	$240,855
Value of total assets at end of year	2017-12-31	$2,180,468
Value of total assets at beginning of year	2017-12-31	$1,748,244
Total of administrative expenses incurred including professional, contract, advisory and management fees	2017-12-31	$17,353
Total income from rents	2017-12-31	$0
Total interest from all sources	2017-12-31	$2,776
Total dividends received (eg from common stock, registered investment company shares)	2017-12-31	$78,516
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2017-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2017-12-31	$78,516
Assets. Real estate other than employer real property at end of year	2017-12-31	$0
Assets. Real estate other than employer real property at beginning of year	2017-12-31	$0
Administrative expenses professional fees incurred	2017-12-31	$0
Assets. Corporate prefeered stocks other than exployer securities at end of year	2017-12-31	$0
Assets. Corporate prefeered stocks other than exployer securities at beginning of year	2017-12-31	$0
Was this plan covered by a fidelity bond	2017-12-31	Yes
Value of fidelity bond cover	2017-12-31	$300,000
If this is an individual account plan, was there a blackout period	2017-12-31	No
Were there any nonexempt tranactions with any party-in-interest	2017-12-31	No
Contributions received from participants	2017-12-31	$203,723
Participant contributions at end of year	2017-12-31	$39,212
Participant contributions at beginning of year	2017-12-31	$85,579
Participant contributions at end of year	2017-12-31	$8,012
Participant contributions at beginning of year	2017-12-31	$2,792
Assets. Other investments not covered elsewhere at end of year	2017-12-31	$0
Assets. Other investments not covered elsewhere at beginning of year	2017-12-31	$0
Income. Received or receivable in cash from other sources (including rollovers)	2017-12-31	$1,556
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)	2017-12-31	$0
Value of other receiveables (less allowance for doubtful accounts) at end of year	2017-12-31	$0
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2017-12-31	$0
Assets. Loans (other than to participants) at end of year	2017-12-31	$0
Assets. Loans (other than to participants) at beginning of year	2017-12-31	$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2017-12-31	$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2017-12-31	$0
Other income not declared elsewhere	2017-12-31	$0
Administrative expenses (other) incurred	2017-12-31	$0
Liabilities. Value of operating payables at end of year	2017-12-31	$0
Liabilities. Value of operating payables at beginning of year	2017-12-31	$0
Total non interest bearing cash at end of year	2017-12-31	$0
Total non interest bearing cash at beginning of year	2017-12-31	$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2017-12-31	No
Income. Non cash contributions	2017-12-31	$0
Value of net income/loss	2017-12-31	$432,224
Value of net assets at end of year (total assets less liabilities)	2017-12-31	$2,180,468
Value of net assets at beginning of year (total assets less liabilities)	2017-12-31	$1,748,244
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2017-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2017-12-31	No
Were any leases to which the plan was party in default or uncollectible	2017-12-31	No
Assets. partnership/joint venture interests at end of year	2017-12-31	$0
Assets. partnership/joint venture interests at beginning of year	2017-12-31	$0
Investment advisory and management fees	2017-12-31	$15,435
Value of interest in registered invesment companies (eg mutual funds) at end of year	2017-12-31	$2,076,909
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2017-12-31	$1,604,961
Value of interest in pooled separate accounts at end of year	2017-12-31	$0
Value of interest in pooled separate accounts at beginning of year	2017-12-31	$0
Interest on participant loans	2017-12-31	$2,419
Income. Interest from loans (other than to participants)	2017-12-31	$0
Interest earned on other investments	2017-12-31	$0
Income. Interest from US Government securities	2017-12-31	$0
Income. Interest from corporate debt instruments	2017-12-31	$0
Value of interest in master investment trust accounts at end of year	2017-12-31	$0
Value of interest in master investment trust accounts at beginning of year	2017-12-31	$0
Value of interest in common/collective trusts at end of year	2017-12-31	$36,219
Value of interest in common/collective trusts at beginning of year	2017-12-31	$35,840
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2017-12-31	$18,687
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2017-12-31	$18,607
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2017-12-31	$18,607
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2017-12-31	$357
Assets. Value of investments in 103.12 investment entities at end of year	2017-12-31	$0
Assets. Value of investments in 103.12 investment entities at beginning of year	2017-12-31	$0
Expenses. Payments to insurance carriers foe the provision of benefits	2017-12-31	$0
Asset value of US Government securities at end of year	2017-12-31	$0
Asset value of US Government securities at beginning of year	2017-12-31	$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2017-12-31	$243,907
Net investment gain/loss from pooled separate accounts	2017-12-31	$0
Net investment gain or loss from common/collective trusts	2017-12-31	$0
Net gain/loss from 103.12 investment entities	2017-12-31	$0
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2017-12-31	No
Was there a failure to transmit to the plan any participant contributions	2017-12-31	No
Has the plan failed to provide any benefit when due under the plan	2017-12-31	No
Assets. Invements in employer securities at end of year	2017-12-31	$0
Assets. Invements in employer securities at beginning of year	2017-12-31	$0
Assets. Value of employer real property at end of year	2017-12-31	$0
Assets. Value of employer real property at beginning of year	2017-12-31	$0
Contributions received in cash from employer	2017-12-31	$35,576
Employer contributions (assets) at end of year	2017-12-31	$1,429
Employer contributions (assets) at beginning of year	2017-12-31	$465
Income. Dividends from preferred stock	2017-12-31	$0
Income. Dividends from common stock	2017-12-31	$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2017-12-31	$91,813
Asset. Corporate debt instrument preferred debt at end of year	2017-12-31	$0
Asset. Corporate debt instrument preferred debt at beginning of year	2017-12-31	$0
Asset. Corporate debt instrument debt (other) at end of year	2017-12-31	$0
Asset. Corporate debt instrument debt (other) at beginning of year	2017-12-31	$0
Contract administrator fees	2017-12-31	$1,918
Assets. Corporate common stocks other than exployer securities at end of year	2017-12-31	$0
Assets. Corporate common stocks other than exployer securities at beginning of year	2017-12-31	$0
Liabilities. Value of benefit claims payable at end of year	2017-12-31	$0
Liabilities. Value of benefit claims payable at beginning of year	2017-12-31	$0
Assets. Value of buildings and other operty used in plan operation at end of year	2017-12-31	$0
Assets. Value of buildings and other operty used in plan operation at beginning of year	2017-12-31	$0
Did the plan have assets held for investment	2017-12-31	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	2017-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2017-12-31	No
Aggregate proceeds on sale of assets	2017-12-31	$0
Aggregate carrying amount (costs) on sale of assets	2017-12-31	$0
Liabilities. Value of acquisition indebtedness at end of year	2017-12-31	$0
Liabilities. Value of acquisition indebtedness at beginning of year	2017-12-31	$0
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2017-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2017-12-31	Disclaimer
Accountancy firm name	2017-12-31	PROPP CHRISTENSEN CANIGLIA LLP
Accountancy firm EIN	2017-12-31	262363334
2016 : DICK JAMES & ASSOCIATES INC 401K PLAN 2016 401k financial data
Unrealized appreciation/depreciation of real estate assets	2016-12-31	$0
Unrealized appreciation/depreciation of other (non real estate) assets	2016-12-31	$0
Total unrealized appreciation/depreciation of assets	2016-12-31	$0
Total transfer of assets to this plan	2016-12-31	$0
Total transfer of assets from this plan	2016-12-31	$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
Expenses. Interest paid	2016-12-31	$0
Amount of participant contributions which was failed to transmit to the plan within the time period described in 29 CFR 251.3-102	2016-12-31	$0
Total income from all sources (including contributions)	2016-12-31	$310,401
Total loss/gain on sale of assets	2016-12-31	$0
Total of all expenses incurred	2016-12-31	$31,643
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2016-12-31	$17,322
Expenses. Certain deemed distributions of participant loans	2016-12-31	$1,090
Value of total corrective distributions	2016-12-31	$60
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2016-12-31	$191,508
Value of total assets at end of year	2016-12-31	$1,748,135
Value of total assets at beginning of year	2016-12-31	$1,469,377
Total of administrative expenses incurred including professional, contract, advisory and management fees	2016-12-31	$13,171
Total income from rents	2016-12-31	$0
Total interest from all sources	2016-12-31	$4,255
Total dividends received (eg from common stock, registered investment company shares)	2016-12-31	$48,097
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2016-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2016-12-31	$48,097
Assets. Real estate other than employer real property at end of year	2016-12-31	$0
Assets. Real estate other than employer real property at beginning of year	2016-12-31	$0
Administrative expenses professional fees incurred	2016-12-31	$0
Assets. Corporate prefeered stocks other than exployer securities at end of year	2016-12-31	$0
Assets. Corporate prefeered stocks other than exployer securities at beginning of year	2016-12-31	$0
Was this plan covered by a fidelity bond	2016-12-31	Yes
Value of fidelity bond cover	2016-12-31	$150,000
If this is an individual account plan, was there a blackout period	2016-12-31	No
Were there any nonexempt tranactions with any party-in-interest	2016-12-31	No
Contributions received from participants	2016-12-31	$160,033
Participant contributions at end of year	2016-12-31	$85,579
Participant contributions at beginning of year	2016-12-31	$132,713
Participant contributions at end of year	2016-12-31	$0
Participant contributions at beginning of year	2016-12-31	$0
Assets. Other investments not covered elsewhere at end of year	2016-12-31	$0
Assets. Other investments not covered elsewhere at beginning of year	2016-12-31	$0
Income. Received or receivable in cash from other sources (including rollovers)	2016-12-31	$1,874
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)	2016-12-31	$0
Value of other receiveables (less allowance for doubtful accounts) at end of year	2016-12-31	$0
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2016-12-31	$0
Assets. Loans (other than to participants) at end of year	2016-12-31	$0
Assets. Loans (other than to participants) at beginning of year	2016-12-31	$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2016-12-31	$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2016-12-31	$0
Other income not declared elsewhere	2016-12-31	$0
Administrative expenses (other) incurred	2016-12-31	$0
Liabilities. Value of operating payables at end of year	2016-12-31	$0
Liabilities. Value of operating payables at beginning of year	2016-12-31	$0
Total non interest bearing cash at end of year	2016-12-31	$0
Total non interest bearing cash at beginning of year	2016-12-31	$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2016-12-31	No
Income. Non cash contributions	2016-12-31	$0
Value of net income/loss	2016-12-31	$278,758
Value of net assets at end of year (total assets less liabilities)	2016-12-31	$1,748,135
Value of net assets at beginning of year (total assets less liabilities)	2016-12-31	$1,469,377
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2016-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2016-12-31	No
Were any leases to which the plan was party in default or uncollectible	2016-12-31	No
Assets. partnership/joint venture interests at end of year	2016-12-31	$0
Assets. partnership/joint venture interests at beginning of year	2016-12-31	$0
Investment advisory and management fees	2016-12-31	$12,571
Value of interest in registered invesment companies (eg mutual funds) at end of year	2016-12-31	$1,604,961
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2016-12-31	$1,286,539
Interest on participant loans	2016-12-31	$4,248
Income. Interest from loans (other than to participants)	2016-12-31	$0
Interest earned on other investments	2016-12-31	$0
Income. Interest from US Government securities	2016-12-31	$0
Income. Interest from corporate debt instruments	2016-12-31	$0
Value of interest in common/collective trusts at end of year	2016-12-31	$35,840
Value of interest in common/collective trusts at beginning of year	2016-12-31	$26,045
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2016-12-31	$18,607
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2016-12-31	$24,080
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2016-12-31	$24,080
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2016-12-31	$7
Expenses. Payments to insurance carriers foe the provision of benefits	2016-12-31	$0
Asset value of US Government securities at end of year	2016-12-31	$0
Asset value of US Government securities at beginning of year	2016-12-31	$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2016-12-31	$66,541
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2016-12-31	No
Was there a failure to transmit to the plan any participant contributions	2016-12-31	Yes
Has the plan failed to provide any benefit when due under the plan	2016-12-31	No
Assets. Invements in employer securities at end of year	2016-12-31	$0
Assets. Invements in employer securities at beginning of year	2016-12-31	$0
Assets. Value of employer real property at end of year	2016-12-31	$0
Assets. Value of employer real property at beginning of year	2016-12-31	$0
Contributions received in cash from employer	2016-12-31	$29,601
Employer contributions (assets) at end of year	2016-12-31	$3,148
Employer contributions (assets) at beginning of year	2016-12-31	$0
Income. Dividends from preferred stock	2016-12-31	$0
Income. Dividends from common stock	2016-12-31	$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2016-12-31	$17,322
Asset. Corporate debt instrument preferred debt at end of year	2016-12-31	$0
Asset. Corporate debt instrument preferred debt at beginning of year	2016-12-31	$0
Asset. Corporate debt instrument debt (other) at end of year	2016-12-31	$0
Asset. Corporate debt instrument debt (other) at beginning of year	2016-12-31	$0
Contract administrator fees	2016-12-31	$600
Assets. Corporate common stocks other than exployer securities at end of year	2016-12-31	$0
Assets. Corporate common stocks other than exployer securities at beginning of year	2016-12-31	$0
Liabilities. Value of benefit claims payable at end of year	2016-12-31	$0
Liabilities. Value of benefit claims payable at beginning of year	2016-12-31	$0
Assets. Value of buildings and other operty used in plan operation at end of year	2016-12-31	$0
Assets. Value of buildings and other operty used in plan operation at beginning of year	2016-12-31	$0
Did the plan have assets held for investment	2016-12-31	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	2016-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2016-12-31	No
Aggregate proceeds on sale of assets	2016-12-31	$0
Aggregate carrying amount (costs) on sale of assets	2016-12-31	$0
Liabilities. Value of acquisition indebtedness at end of year	2016-12-31	$0
Liabilities. Value of acquisition indebtedness at beginning of year	2016-12-31	$0
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2016-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2016-12-31	Disclaimer
Accountancy firm name	2016-12-31	PROPP CHRISTENSEN CANIGLIA LLP
Accountancy firm EIN	2016-12-31	262363334
2015 : DICK JAMES & ASSOCIATES INC 401K PLAN 2015 401k financial data
Unrealized appreciation/depreciation of real estate assets	2015-12-31	$0
Unrealized appreciation/depreciation of other (non real estate) assets	2015-12-31	$0
Total unrealized appreciation/depreciation of assets	2015-12-31	$0
Total transfer of assets to this plan	2015-12-31	$0
Total transfer of assets from this plan	2015-12-31	$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
Expenses. Interest paid	2015-12-31	$0
Amount of participant contributions which was failed to transmit to the plan within the time period described in 29 CFR 251.3-102	2015-12-31	$0
Total income from all sources (including contributions)	2015-12-31	$115,518
Total loss/gain on sale of assets	2015-12-31	$0
Total of all expenses incurred	2015-12-31	$80,327
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2015-12-31	$67,187
Expenses. Certain deemed distributions of participant loans	2015-12-31	$298
Value of total corrective distributions	2015-12-31	$0
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2015-12-31	$110,049
Value of total assets at end of year	2015-12-31	$1,469,376
Value of total assets at beginning of year	2015-12-31	$1,434,185
Total of administrative expenses incurred including professional, contract, advisory and management fees	2015-12-31	$12,842
Total income from rents	2015-12-31	$0
Total interest from all sources	2015-12-31	$6,655
Total dividends received (eg from common stock, registered investment company shares)	2015-12-31	$50,726
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2015-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2015-12-31	$50,726
Assets. Real estate other than employer real property at end of year	2015-12-31	$0
Assets. Real estate other than employer real property at beginning of year	2015-12-31	$0
Administrative expenses professional fees incurred	2015-12-31	$0
Assets. Corporate prefeered stocks other than exployer securities at end of year	2015-12-31	$0
Assets. Corporate prefeered stocks other than exployer securities at beginning of year	2015-12-31	$0
Was this plan covered by a fidelity bond	2015-12-31	Yes
Value of fidelity bond cover	2015-12-31	$150,000
If this is an individual account plan, was there a blackout period	2015-12-31	No
Were there any nonexempt tranactions with any party-in-interest	2015-12-31	No
Contributions received from participants	2015-12-31	$100,779
Participant contributions at end of year	2015-12-31	$132,713
Participant contributions at beginning of year	2015-12-31	$58,423
Participant contributions at end of year	2015-12-31	$0
Participant contributions at beginning of year	2015-12-31	$-201
Assets. Other investments not covered elsewhere at end of year	2015-12-31	$0
Assets. Other investments not covered elsewhere at beginning of year	2015-12-31	$0
Income. Received or receivable in cash from other sources (including rollovers)	2015-12-31	$0
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)	2015-12-31	$0
Value of other receiveables (less allowance for doubtful accounts) at end of year	2015-12-31	$0
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2015-12-31	$0
Assets. Loans (other than to participants) at end of year	2015-12-31	$0
Assets. Loans (other than to participants) at beginning of year	2015-12-31	$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2015-12-31	$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2015-12-31	$0
Other income not declared elsewhere	2015-12-31	$0
Administrative expenses (other) incurred	2015-12-31	$0
Liabilities. Value of operating payables at end of year	2015-12-31	$0
Liabilities. Value of operating payables at beginning of year	2015-12-31	$0
Total non interest bearing cash at end of year	2015-12-31	$0
Total non interest bearing cash at beginning of year	2015-12-31	$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2015-12-31	No
Income. Non cash contributions	2015-12-31	$0
Value of net income/loss	2015-12-31	$35,191
Value of net assets at end of year (total assets less liabilities)	2015-12-31	$1,469,376
Value of net assets at beginning of year (total assets less liabilities)	2015-12-31	$1,434,185
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2015-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2015-12-31	No
Were any leases to which the plan was party in default or uncollectible	2015-12-31	No
Assets. partnership/joint venture interests at end of year	2015-12-31	$0
Assets. partnership/joint venture interests at beginning of year	2015-12-31	$0
Investment advisory and management fees	2015-12-31	$11,242
Value of interest in registered invesment companies (eg mutual funds) at end of year	2015-12-31	$1,286,538
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2015-12-31	$1,323,362
Interest on participant loans	2015-12-31	$6,641
Income. Interest from loans (other than to participants)	2015-12-31	$0
Interest earned on other investments	2015-12-31	$0
Income. Interest from US Government securities	2015-12-31	$0
Income. Interest from corporate debt instruments	2015-12-31	$0
Value of interest in master investment trust accounts at end of year	2015-12-31	$0
Value of interest in master investment trust accounts at beginning of year	2015-12-31	$0
Value of interest in common/collective trusts at end of year	2015-12-31	$26,045
Value of interest in common/collective trusts at beginning of year	2015-12-31	$28,694
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2015-12-31	$24,080
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2015-12-31	$23,907
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2015-12-31	$23,907
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2015-12-31	$14
Assets. Value of investments in 103.12 investment entities at end of year	2015-12-31	$0
Assets. Value of investments in 103.12 investment entities at beginning of year	2015-12-31	$0
Expenses. Payments to insurance carriers foe the provision of benefits	2015-12-31	$0
Asset value of US Government securities at end of year	2015-12-31	$0
Asset value of US Government securities at beginning of year	2015-12-31	$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2015-12-31	$-51,912
Net investment gain/loss from pooled separate accounts	2015-12-31	$0
Net investment gain or loss from common/collective trusts	2015-12-31	$0
Net gain/loss from 103.12 investment entities	2015-12-31	$0
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2015-12-31	No
Was there a failure to transmit to the plan any participant contributions	2015-12-31	No
Has the plan failed to provide any benefit when due under the plan	2015-12-31	No
Assets. Invements in employer securities at end of year	2015-12-31	$0
Assets. Invements in employer securities at beginning of year	2015-12-31	$0
Assets. Value of employer real property at end of year	2015-12-31	$0
Assets. Value of employer real property at beginning of year	2015-12-31	$0
Contributions received in cash from employer	2015-12-31	$9,270
Employer contributions (assets) at end of year	2015-12-31	$0
Employer contributions (assets) at beginning of year	2015-12-31	$0
Income. Dividends from preferred stock	2015-12-31	$0
Income. Dividends from common stock	2015-12-31	$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2015-12-31	$67,187
Asset. Corporate debt instrument preferred debt at end of year	2015-12-31	$0
Asset. Corporate debt instrument preferred debt at beginning of year	2015-12-31	$0
Asset. Corporate debt instrument debt (other) at end of year	2015-12-31	$0
Asset. Corporate debt instrument debt (other) at beginning of year	2015-12-31	$0
Contract administrator fees	2015-12-31	$1,600
Assets. Corporate common stocks other than exployer securities at end of year	2015-12-31	$0
Assets. Corporate common stocks other than exployer securities at beginning of year	2015-12-31	$0
Liabilities. Value of benefit claims payable at end of year	2015-12-31	$0
Liabilities. Value of benefit claims payable at beginning of year	2015-12-31	$0
Assets. Value of buildings and other operty used in plan operation at end of year	2015-12-31	$0
Assets. Value of buildings and other operty used in plan operation at beginning of year	2015-12-31	$0
Did the plan have assets held for investment	2015-12-31	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	2015-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2015-12-31	No
Aggregate proceeds on sale of assets	2015-12-31	$0
Aggregate carrying amount (costs) on sale of assets	2015-12-31	$0
Liabilities. Value of acquisition indebtedness at end of year	2015-12-31	$0
Liabilities. Value of acquisition indebtedness at beginning of year	2015-12-31	$0
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2015-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2015-12-31	Disclaimer
Accountancy firm name	2015-12-31	PROPP CHRISTENSEN CANIGLIA LLP
Accountancy firm EIN	2015-12-31	262363334
2014 : DICK JAMES & ASSOCIATES INC 401K PLAN 2014 401k financial data
Unrealized appreciation/depreciation of real estate assets	2014-12-31	$0
Unrealized appreciation/depreciation of other (non real estate) assets	2014-12-31	$0
Total unrealized appreciation/depreciation of assets	2014-12-31	$0
Total transfer of assets to this plan	2014-12-31	$0
Total transfer of assets from this plan	2014-12-31	$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
Expenses. Interest paid	2014-12-31	$0
Amount of participant contributions which was failed to transmit to the plan within the time period described in 29 CFR 251.3-102	2014-12-31	$0
Total income from all sources (including contributions)	2014-12-31	$193,312
Total loss/gain on sale of assets	2014-12-31	$0
Total of all expenses incurred	2014-12-31	$97,140
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2014-12-31	$83,930
Expenses. Certain deemed distributions of participant loans	2014-12-31	$1,484
Value of total corrective distributions	2014-12-31	$0
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2014-12-31	$112,980
Value of total assets at end of year	2014-12-31	$1,434,186
Value of total assets at beginning of year	2014-12-31	$1,338,014
Total of administrative expenses incurred including professional, contract, advisory and management fees	2014-12-31	$11,726
Total income from rents	2014-12-31	$0
Total interest from all sources	2014-12-31	$2,714
Total dividends received (eg from common stock, registered investment company shares)	2014-12-31	$64,622
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2014-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2014-12-31	$64,622
Assets. Real estate other than employer real property at end of year	2014-12-31	$0
Assets. Real estate other than employer real property at beginning of year	2014-12-31	$0
Administrative expenses professional fees incurred	2014-12-31	$0
Assets. Corporate prefeered stocks other than exployer securities at end of year	2014-12-31	$0
Assets. Corporate prefeered stocks other than exployer securities at beginning of year	2014-12-31	$0
Was this plan covered by a fidelity bond	2014-12-31	Yes
Value of fidelity bond cover	2014-12-31	$150,000
If this is an individual account plan, was there a blackout period	2014-12-31	No
Were there any nonexempt tranactions with any party-in-interest	2014-12-31	No
Contributions received from participants	2014-12-31	$89,473
Participant contributions at end of year	2014-12-31	$58,423
Participant contributions at beginning of year	2014-12-31	$43,031
Participant contributions at end of year	2014-12-31	$-201
Participant contributions at beginning of year	2014-12-31	$-1,725
Assets. Other investments not covered elsewhere at end of year	2014-12-31	$0
Assets. Other investments not covered elsewhere at beginning of year	2014-12-31	$0
Income. Received or receivable in cash from other sources (including rollovers)	2014-12-31	$0
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)	2014-12-31	$0
Value of other receiveables (less allowance for doubtful accounts) at end of year	2014-12-31	$0
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2014-12-31	$0
Assets. Loans (other than to participants) at end of year	2014-12-31	$0
Assets. Loans (other than to participants) at beginning of year	2014-12-31	$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2014-12-31	$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2014-12-31	$0
Other income not declared elsewhere	2014-12-31	$0
Administrative expenses (other) incurred	2014-12-31	$0
Liabilities. Value of operating payables at end of year	2014-12-31	$0
Liabilities. Value of operating payables at beginning of year	2014-12-31	$0
Total non interest bearing cash at end of year	2014-12-31	$0
Total non interest bearing cash at beginning of year	2014-12-31	$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2014-12-31	No
Income. Non cash contributions	2014-12-31	$0
Value of net income/loss	2014-12-31	$96,172
Value of net assets at end of year (total assets less liabilities)	2014-12-31	$1,434,186
Value of net assets at beginning of year (total assets less liabilities)	2014-12-31	$1,338,014
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2014-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2014-12-31	No
Were any leases to which the plan was party in default or uncollectible	2014-12-31	No
Assets. partnership/joint venture interests at end of year	2014-12-31	$0
Assets. partnership/joint venture interests at beginning of year	2014-12-31	$0
Investment advisory and management fees	2014-12-31	$10,826
Value of interest in registered invesment companies (eg mutual funds) at end of year	2014-12-31	$1,323,110
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2014-12-31	$1,251,460
Interest on participant loans	2014-12-31	$2,618
Income. Interest from loans (other than to participants)	2014-12-31	$0
Interest earned on other investments	2014-12-31	$0
Income. Interest from US Government securities	2014-12-31	$0
Income. Interest from corporate debt instruments	2014-12-31	$0
Value of interest in common/collective trusts at end of year	2014-12-31	$28,947
Value of interest in common/collective trusts at beginning of year	2014-12-31	$23,052
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2014-12-31	$23,907
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2014-12-31	$22,696
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2014-12-31	$22,696
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2014-12-31	$96
Expenses. Payments to insurance carriers foe the provision of benefits	2014-12-31	$0
Asset value of US Government securities at end of year	2014-12-31	$0
Asset value of US Government securities at beginning of year	2014-12-31	$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2014-12-31	$12,996
Net investment gain/loss from pooled separate accounts	2014-12-31	$0
Net investment gain or loss from common/collective trusts	2014-12-31	$0
Net gain/loss from 103.12 investment entities	2014-12-31	$0
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2014-12-31	No
Was there a failure to transmit to the plan any participant contributions	2014-12-31	No
Has the plan failed to provide any benefit when due under the plan	2014-12-31	No
Assets. Invements in employer securities at end of year	2014-12-31	$0
Assets. Invements in employer securities at beginning of year	2014-12-31	$0
Assets. Value of employer real property at end of year	2014-12-31	$0
Assets. Value of employer real property at beginning of year	2014-12-31	$0
Contributions received in cash from employer	2014-12-31	$23,507
Employer contributions (assets) at end of year	2014-12-31	$0
Employer contributions (assets) at beginning of year	2014-12-31	$-500
Income. Dividends from preferred stock	2014-12-31	$0
Income. Dividends from common stock	2014-12-31	$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2014-12-31	$83,930
Asset. Corporate debt instrument preferred debt at end of year	2014-12-31	$0
Asset. Corporate debt instrument preferred debt at beginning of year	2014-12-31	$0
Asset. Corporate debt instrument debt (other) at end of year	2014-12-31	$0
Asset. Corporate debt instrument debt (other) at beginning of year	2014-12-31	$0
Contract administrator fees	2014-12-31	$900
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	2014-12-31	No
Assets. Corporate common stocks other than exployer securities at end of year	2014-12-31	$0
Assets. Corporate common stocks other than exployer securities at beginning of year	2014-12-31	$0
Liabilities. Value of benefit claims payable at end of year	2014-12-31	$0
Liabilities. Value of benefit claims payable at beginning of year	2014-12-31	$0
Assets. Value of buildings and other operty used in plan operation at end of year	2014-12-31	$0
Assets. Value of buildings and other operty used in plan operation at beginning of year	2014-12-31	$0
Did the plan have assets held for investment	2014-12-31	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	2014-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2014-12-31	No
Aggregate proceeds on sale of assets	2014-12-31	$0
Aggregate carrying amount (costs) on sale of assets	2014-12-31	$0
Liabilities. Value of acquisition indebtedness at end of year	2014-12-31	$0
Liabilities. Value of acquisition indebtedness at beginning of year	2014-12-31	$0
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2014-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2014-12-31	Disclaimer
Accountancy firm name	2014-12-31	PROPP CHRISTENSEN CANIGLIA LLP
Accountancy firm EIN	2014-12-31	262363334
2013 : DICK JAMES & ASSOCIATES INC 401K PLAN 2013 401k financial data
Unrealized appreciation/depreciation of real estate assets	2013-12-31	$0
Unrealized appreciation/depreciation of other (non real estate) assets	2013-12-31	$0
Total unrealized appreciation/depreciation of assets	2013-12-31	$0
Total transfer of assets to this plan	2013-12-31	$0
Total transfer of assets from this plan	2013-12-31	$0
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
Expenses. Interest paid	2013-12-31	$0
Amount of participant contributions which was failed to transmit to the plan within the time period described in 29 CFR 251.3-102	2013-12-31	$0
Total income from all sources (including contributions)	2013-12-31	$333,648
Total loss/gain on sale of assets	2013-12-31	$0
Total of all expenses incurred	2013-12-31	$132,581
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2013-12-31	$89,671
Expenses. Certain deemed distributions of participant loans	2013-12-31	$32,894
Value of total corrective distributions	2013-12-31	$0
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2013-12-31	$135,935
Value of total assets at end of year	2013-12-31	$1,340,239
Value of total assets at beginning of year	2013-12-31	$1,139,172
Total of administrative expenses incurred including professional, contract, advisory and management fees	2013-12-31	$10,016
Total income from rents	2013-12-31	$0
Total interest from all sources	2013-12-31	$1,398
Total dividends received (eg from common stock, registered investment company shares)	2013-12-31	$45,263
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2013-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2013-12-31	$45,263
Assets. Real estate other than employer real property at end of year	2013-12-31	$0
Assets. Real estate other than employer real property at beginning of year	2013-12-31	$0
Administrative expenses professional fees incurred	2013-12-31	$0
Assets. Corporate prefeered stocks other than exployer securities at end of year	2013-12-31	$0
Assets. Corporate prefeered stocks other than exployer securities at beginning of year	2013-12-31	$0
Was this plan covered by a fidelity bond	2013-12-31	Yes
Value of fidelity bond cover	2013-12-31	$100,000
If this is an individual account plan, was there a blackout period	2013-12-31	No
Were there any nonexempt tranactions with any party-in-interest	2013-12-31	No
Contributions received from participants	2013-12-31	$79,197
Participant contributions at end of year	2013-12-31	$43,031
Participant contributions at beginning of year	2013-12-31	$56,944
Participant contributions at end of year	2013-12-31	$0
Participant contributions at beginning of year	2013-12-31	$0
Assets. Other investments not covered elsewhere at end of year	2013-12-31	$0
Assets. Other investments not covered elsewhere at beginning of year	2013-12-31	$0
Income. Received or receivable in cash from other sources (including rollovers)	2013-12-31	$0
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)	2013-12-31	$0
Value of other receiveables (less allowance for doubtful accounts) at end of year	2013-12-31	$0
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2013-12-31	$0
Assets. Loans (other than to participants) at end of year	2013-12-31	$0
Assets. Loans (other than to participants) at beginning of year	2013-12-31	$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2013-12-31	$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2013-12-31	$0
Other income not declared elsewhere	2013-12-31	$0
Administrative expenses (other) incurred	2013-12-31	$0
Liabilities. Value of operating payables at end of year	2013-12-31	$0
Liabilities. Value of operating payables at beginning of year	2013-12-31	$0
Total non interest bearing cash at end of year	2013-12-31	$0
Total non interest bearing cash at beginning of year	2013-12-31	$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2013-12-31	No
Income. Non cash contributions	2013-12-31	$0
Value of net income/loss	2013-12-31	$201,067
Value of net assets at end of year (total assets less liabilities)	2013-12-31	$1,340,239
Value of net assets at beginning of year (total assets less liabilities)	2013-12-31	$1,139,172
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2013-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2013-12-31	No
Were any leases to which the plan was party in default or uncollectible	2013-12-31	No
Assets. partnership/joint venture interests at end of year	2013-12-31	$0
Assets. partnership/joint venture interests at beginning of year	2013-12-31	$0
Investment advisory and management fees	2013-12-31	$9,516
Value of interest in registered invesment companies (eg mutual funds) at end of year	2013-12-31	$1,274,512
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2013-12-31	$1,058,381
Value of interest in pooled separate accounts at end of year	2013-12-31	$0
Value of interest in pooled separate accounts at beginning of year	2013-12-31	$0
Interest on participant loans	2013-12-31	$1,377
Income. Interest from loans (other than to participants)	2013-12-31	$0
Interest earned on other investments	2013-12-31	$0
Income. Interest from US Government securities	2013-12-31	$0
Income. Interest from corporate debt instruments	2013-12-31	$0
Value of interest in master investment trust accounts at end of year	2013-12-31	$0
Value of interest in master investment trust accounts at beginning of year	2013-12-31	$0
Value of interest in common/collective trusts at end of year	2013-12-31	$0
Value of interest in common/collective trusts at beginning of year	2013-12-31	$0
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2013-12-31	$22,696
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2013-12-31	$23,847
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2013-12-31	$23,847
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2013-12-31	$21
Expenses. Payments to insurance carriers foe the provision of benefits	2013-12-31	$0
Asset value of US Government securities at end of year	2013-12-31	$0
Asset value of US Government securities at beginning of year	2013-12-31	$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2013-12-31	$151,052
Net investment gain/loss from pooled separate accounts	2013-12-31	$0
Net investment gain or loss from common/collective trusts	2013-12-31	$0
Net gain/loss from 103.12 investment entities	2013-12-31	$0
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2013-12-31	No
Was there a failure to transmit to the plan any participant contributions	2013-12-31	No
Has the plan failed to provide any benefit when due under the plan	2013-12-31	No
Assets. Invements in employer securities at end of year	2013-12-31	$0
Assets. Invements in employer securities at beginning of year	2013-12-31	$0
Assets. Value of employer real property at end of year	2013-12-31	$0
Assets. Value of employer real property at beginning of year	2013-12-31	$0
Contributions received in cash from employer	2013-12-31	$56,738
Employer contributions (assets) at end of year	2013-12-31	$0
Employer contributions (assets) at beginning of year	2013-12-31	$0
Income. Dividends from preferred stock	2013-12-31	$0
Income. Dividends from common stock	2013-12-31	$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2013-12-31	$89,671
Asset. Corporate debt instrument preferred debt at end of year	2013-12-31	$0
Asset. Corporate debt instrument preferred debt at beginning of year	2013-12-31	$0
Asset. Corporate debt instrument debt (other) at end of year	2013-12-31	$0
Asset. Corporate debt instrument debt (other) at beginning of year	2013-12-31	$0
Contract administrator fees	2013-12-31	$500
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	2013-12-31	No
Assets. Corporate common stocks other than exployer securities at end of year	2013-12-31	$0
Assets. Corporate common stocks other than exployer securities at beginning of year	2013-12-31	$0
Liabilities. Value of benefit claims payable at end of year	2013-12-31	$0
Liabilities. Value of benefit claims payable at beginning of year	2013-12-31	$0
Assets. Value of buildings and other operty used in plan operation at end of year	2013-12-31	$0
Assets. Value of buildings and other operty used in plan operation at beginning of year	2013-12-31	$0
Did the plan have assets held for investment	2013-12-31	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	2013-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2013-12-31	No
Aggregate proceeds on sale of assets	2013-12-31	$0
Aggregate carrying amount (costs) on sale of assets	2013-12-31	$0
Liabilities. Value of acquisition indebtedness at end of year	2013-12-31	$0
Liabilities. Value of acquisition indebtedness at beginning of year	2013-12-31	$0
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2013-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2013-12-31	Disclaimer
Accountancy firm name	2013-12-31	PROPP CHRISTENSEN CANIGLIA LLP
Accountancy firm EIN	2013-12-31	262363334
2012 : DICK JAMES & ASSOCIATES INC 401K PLAN 2012 401k financial data
Unrealized appreciation/depreciation of real estate assets	2012-12-31	$0
Unrealized appreciation/depreciation of other (non real estate) assets	2012-12-31	$0
Total unrealized appreciation/depreciation of assets	2012-12-31	$0
Total transfer of assets to this plan	2012-12-31	$0
Total transfer of assets from this plan	2012-12-31	$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
Expenses. Interest paid	2012-12-31	$0
Amount of participant contributions which was failed to transmit to the plan within the time period described in 29 CFR 251.3-102	2012-12-31	$0
Total income from all sources (including contributions)	2012-12-31	$281,883
Total loss/gain on sale of assets	2012-12-31	$0
Total of all expenses incurred	2012-12-31	$126,809
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2012-12-31	$116,175
Expenses. Certain deemed distributions of participant loans	2012-12-31	$0
Value of total corrective distributions	2012-12-31	$0
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2012-12-31	$138,781
Value of total assets at end of year	2012-12-31	$1,139,172
Value of total assets at beginning of year	2012-12-31	$984,098
Total of administrative expenses incurred including professional, contract, advisory and management fees	2012-12-31	$10,634
Total income from rents	2012-12-31	$0
Total interest from all sources	2012-12-31	$1,809
Total dividends received (eg from common stock, registered investment company shares)	2012-12-31	$41,446
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2012-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2012-12-31	$41,446
Assets. Real estate other than employer real property at end of year	2012-12-31	$0
Assets. Real estate other than employer real property at beginning of year	2012-12-31	$0
Administrative expenses professional fees incurred	2012-12-31	$0
Assets. Corporate prefeered stocks other than exployer securities at end of year	2012-12-31	$0
Assets. Corporate prefeered stocks other than exployer securities at beginning of year	2012-12-31	$0
Was this plan covered by a fidelity bond	2012-12-31	Yes
Value of fidelity bond cover	2012-12-31	$150,000
If this is an individual account plan, was there a blackout period	2012-12-31	No
Were there any nonexempt tranactions with any party-in-interest	2012-12-31	No
Contributions received from participants	2012-12-31	$82,581
Participant contributions at end of year	2012-12-31	$56,944
Participant contributions at beginning of year	2012-12-31	$22,040
Participant contributions at end of year	2012-12-31	$0
Participant contributions at beginning of year	2012-12-31	$0
Assets. Other investments not covered elsewhere at end of year	2012-12-31	$0
Assets. Other investments not covered elsewhere at beginning of year	2012-12-31	$0
Income. Received or receivable in cash from other sources (including rollovers)	2012-12-31	$0
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)	2012-12-31	$0
Value of other receiveables (less allowance for doubtful accounts) at end of year	2012-12-31	$0
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2012-12-31	$0
Assets. Loans (other than to participants) at end of year	2012-12-31	$0
Assets. Loans (other than to participants) at beginning of year	2012-12-31	$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2012-12-31	$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2012-12-31	$0
Other income not declared elsewhere	2012-12-31	$0
Administrative expenses (other) incurred	2012-12-31	$0
Liabilities. Value of operating payables at end of year	2012-12-31	$0
Liabilities. Value of operating payables at beginning of year	2012-12-31	$0
Total non interest bearing cash at end of year	2012-12-31	$0
Total non interest bearing cash at beginning of year	2012-12-31	$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2012-12-31	No
Income. Non cash contributions	2012-12-31	$0
Value of net income/loss	2012-12-31	$155,074
Value of net assets at end of year (total assets less liabilities)	2012-12-31	$1,139,172
Value of net assets at beginning of year (total assets less liabilities)	2012-12-31	$984,098
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2012-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2012-12-31	No
Were any leases to which the plan was party in default or uncollectible	2012-12-31	No
Assets. partnership/joint venture interests at end of year	2012-12-31	$0
Assets. partnership/joint venture interests at beginning of year	2012-12-31	$0
Investment advisory and management fees	2012-12-31	$9,059
Value of interest in registered invesment companies (eg mutual funds) at end of year	2012-12-31	$1,058,381
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2012-12-31	$940,005
Interest on participant loans	2012-12-31	$1,773
Income. Interest from loans (other than to participants)	2012-12-31	$0
Interest earned on other investments	2012-12-31	$0
Income. Interest from US Government securities	2012-12-31	$0
Income. Interest from corporate debt instruments	2012-12-31	$0
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2012-12-31	$23,847
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2012-12-31	$22,053
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2012-12-31	$22,053
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2012-12-31	$36
Expenses. Payments to insurance carriers foe the provision of benefits	2012-12-31	$0
Asset value of US Government securities at end of year	2012-12-31	$0
Asset value of US Government securities at beginning of year	2012-12-31	$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2012-12-31	$99,847
Net investment gain/loss from pooled separate accounts	2012-12-31	$0
Net investment gain or loss from common/collective trusts	2012-12-31	$0
Net gain/loss from 103.12 investment entities	2012-12-31	$0
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2012-12-31	No
Was there a failure to transmit to the plan any participant contributions	2012-12-31	No
Has the plan failed to provide any benefit when due under the plan	2012-12-31	No
Assets. Invements in employer securities at end of year	2012-12-31	$0
Assets. Invements in employer securities at beginning of year	2012-12-31	$0
Assets. Value of employer real property at end of year	2012-12-31	$0
Assets. Value of employer real property at beginning of year	2012-12-31	$0
Contributions received in cash from employer	2012-12-31	$56,200
Employer contributions (assets) at end of year	2012-12-31	$0
Employer contributions (assets) at beginning of year	2012-12-31	$0
Income. Dividends from preferred stock	2012-12-31	$0
Income. Dividends from common stock	2012-12-31	$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2012-12-31	$116,175
Asset. Corporate debt instrument preferred debt at end of year	2012-12-31	$0
Asset. Corporate debt instrument preferred debt at beginning of year	2012-12-31	$0
Asset. Corporate debt instrument debt (other) at end of year	2012-12-31	$0
Asset. Corporate debt instrument debt (other) at beginning of year	2012-12-31	$0
Contract administrator fees	2012-12-31	$1,575
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	2012-12-31	No
Assets. Corporate common stocks other than exployer securities at end of year	2012-12-31	$0
Assets. Corporate common stocks other than exployer securities at beginning of year	2012-12-31	$0
Liabilities. Value of benefit claims payable at end of year	2012-12-31	$0
Liabilities. Value of benefit claims payable at beginning of year	2012-12-31	$0
Assets. Value of buildings and other operty used in plan operation at end of year	2012-12-31	$0
Assets. Value of buildings and other operty used in plan operation at beginning of year	2012-12-31	$0
Did the plan have assets held for investment	2012-12-31	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	2012-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2012-12-31	No
Aggregate proceeds on sale of assets	2012-12-31	$0
Aggregate carrying amount (costs) on sale of assets	2012-12-31	$0
Liabilities. Value of acquisition indebtedness at end of year	2012-12-31	$0
Liabilities. Value of acquisition indebtedness at beginning of year	2012-12-31	$0
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2012-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2012-12-31	Disclaimer
Accountancy firm name	2012-12-31	JPROPP CHRISTENSEN CANIGLIA LLP
Accountancy firm EIN	2012-12-31	262363334
2011 : DICK JAMES & ASSOCIATES INC 401K PLAN 2011 401k financial data
Unrealized appreciation/depreciation of real estate assets	2011-12-31	$0
Unrealized appreciation/depreciation of other (non real estate) assets	2011-12-31	$0
Total unrealized appreciation/depreciation of assets	2011-12-31	$0
Total transfer of assets to this plan	2011-12-31	$0
Total transfer of assets from this plan	2011-12-31	$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
Expenses. Interest paid	2011-12-31	$0
Amount of participant contributions which was failed to transmit to the plan within the time period described in 29 CFR 251.3-102	2011-12-31	$0
Total income from all sources (including contributions)	2011-12-31	$109,182
Total loss/gain on sale of assets	2011-12-31	$0
Total of all expenses incurred	2011-12-31	$58,102
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2011-12-31	$49,179
Expenses. Certain deemed distributions of participant loans	2011-12-31	$0
Value of total corrective distributions	2011-12-31	$0
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2011-12-31	$141,168
Value of total assets at end of year	2011-12-31	$984,098
Value of total assets at beginning of year	2011-12-31	$933,018
Total of administrative expenses incurred including professional, contract, advisory and management fees	2011-12-31	$8,923
Total income from rents	2011-12-31	$0
Total interest from all sources	2011-12-31	$1,173
Total dividends received (eg from common stock, registered investment company shares)	2011-12-31	$23,721
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2011-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2011-12-31	$23,721
Assets. Real estate other than employer real property at end of year	2011-12-31	$0
Assets. Real estate other than employer real property at beginning of year	2011-12-31	$0
Administrative expenses professional fees incurred	2011-12-31	$0
Assets. Corporate prefeered stocks other than exployer securities at end of year	2011-12-31	$0
Assets. Corporate prefeered stocks other than exployer securities at beginning of year	2011-12-31	$0
Was this plan covered by a fidelity bond	2011-12-31	Yes
Value of fidelity bond cover	2011-12-31	$70,000
If this is an individual account plan, was there a blackout period	2011-12-31	No
Were there any nonexempt tranactions with any party-in-interest	2011-12-31	No
Contributions received from participants	2011-12-31	$83,243
Participant contributions at end of year	2011-12-31	$22,040
Participant contributions at beginning of year	2011-12-31	$17,636
Participant contributions at end of year	2011-12-31	$0
Participant contributions at beginning of year	2011-12-31	$0
Assets. Other investments not covered elsewhere at end of year	2011-12-31	$0
Assets. Other investments not covered elsewhere at beginning of year	2011-12-31	$0
Income. Received or receivable in cash from other sources (including rollovers)	2011-12-31	$0
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)	2011-12-31	$0
Value of other receiveables (less allowance for doubtful accounts) at end of year	2011-12-31	$0
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2011-12-31	$0
Assets. Loans (other than to participants) at end of year	2011-12-31	$0
Assets. Loans (other than to participants) at beginning of year	2011-12-31	$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2011-12-31	$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2011-12-31	$0
Other income not declared elsewhere	2011-12-31	$0
Administrative expenses (other) incurred	2011-12-31	$0
Liabilities. Value of operating payables at end of year	2011-12-31	$0
Liabilities. Value of operating payables at beginning of year	2011-12-31	$0
Total non interest bearing cash at end of year	2011-12-31	$0
Total non interest bearing cash at beginning of year	2011-12-31	$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2011-12-31	No
Income. Non cash contributions	2011-12-31	$0
Value of net income/loss	2011-12-31	$51,080
Value of net assets at end of year (total assets less liabilities)	2011-12-31	$984,098
Value of net assets at beginning of year (total assets less liabilities)	2011-12-31	$933,018
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2011-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2011-12-31	No
Were any leases to which the plan was party in default or uncollectible	2011-12-31	No
Assets. partnership/joint venture interests at end of year	2011-12-31	$0
Assets. partnership/joint venture interests at beginning of year	2011-12-31	$0
Investment advisory and management fees	2011-12-31	$8,273
Value of interest in registered invesment companies (eg mutual funds) at end of year	2011-12-31	$940,005
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2011-12-31	$896,192
Interest on participant loans	2011-12-31	$1,141
Income. Interest from loans (other than to participants)	2011-12-31	$0
Interest earned on other investments	2011-12-31	$0
Income. Interest from US Government securities	2011-12-31	$0
Income. Interest from corporate debt instruments	2011-12-31	$0
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2011-12-31	$22,053
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2011-12-31	$19,190
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2011-12-31	$19,190
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2011-12-31	$32
Expenses. Payments to insurance carriers foe the provision of benefits	2011-12-31	$0
Asset value of US Government securities at end of year	2011-12-31	$0
Asset value of US Government securities at beginning of year	2011-12-31	$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2011-12-31	$-56,880
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2011-12-31	No
Was there a failure to transmit to the plan any participant contributions	2011-12-31	No
Has the plan failed to provide any benefit when due under the plan	2011-12-31	No
Assets. Invements in employer securities at end of year	2011-12-31	$0
Assets. Invements in employer securities at beginning of year	2011-12-31	$0
Assets. Value of employer real property at end of year	2011-12-31	$0
Assets. Value of employer real property at beginning of year	2011-12-31	$0
Contributions received in cash from employer	2011-12-31	$57,925
Employer contributions (assets) at end of year	2011-12-31	$0
Employer contributions (assets) at beginning of year	2011-12-31	$0
Income. Dividends from preferred stock	2011-12-31	$0
Income. Dividends from common stock	2011-12-31	$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2011-12-31	$49,179
Asset. Corporate debt instrument preferred debt at end of year	2011-12-31	$0
Asset. Corporate debt instrument preferred debt at beginning of year	2011-12-31	$0
Asset. Corporate debt instrument debt (other) at end of year	2011-12-31	$0
Asset. Corporate debt instrument debt (other) at beginning of year	2011-12-31	$0
Contract administrator fees	2011-12-31	$650
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	2011-12-31	No
Assets. Corporate common stocks other than exployer securities at end of year	2011-12-31	$0
Assets. Corporate common stocks other than exployer securities at beginning of year	2011-12-31	$0
Liabilities. Value of benefit claims payable at end of year	2011-12-31	$0
Liabilities. Value of benefit claims payable at beginning of year	2011-12-31	$0
Assets. Value of buildings and other operty used in plan operation at end of year	2011-12-31	$0
Assets. Value of buildings and other operty used in plan operation at beginning of year	2011-12-31	$0
Did the plan have assets held for investment	2011-12-31	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	2011-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2011-12-31	No
Aggregate proceeds on sale of assets	2011-12-31	$0
Aggregate carrying amount (costs) on sale of assets	2011-12-31	$0
Liabilities. Value of acquisition indebtedness at end of year	2011-12-31	$0
Liabilities. Value of acquisition indebtedness at beginning of year	2011-12-31	$0
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2011-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2011-12-31	Disclaimer
Accountancy firm name	2011-12-31	PROPP CHRISTENSEN CANIGLIA LLP
Accountancy firm EIN	2011-12-31	262363334

Form 5500 Responses for DICK JAMES & ASSOCIATES INC 401K PLAN

2020: DICK JAMES & ASSOCIATES INC 401K PLAN 2020 form 5500 responses
2020-01-01	Type of plan entity	Single employer plan
2020-01-01	Submission has been amended	Yes
2020-01-01	This submission is the final filing	Yes
2020-01-01	This return/report is a short plan year return/report (less than 12 months)	Yes
2020-01-01	Plan is a collectively bargained plan	No
2020-01-01	Plan funding arrangement – Trust	Yes
2020-01-01	Plan benefit arrangement - Trust	Yes
2018: DICK JAMES & ASSOCIATES INC 401K PLAN 2018 form 5500 responses
2018-01-01	Type of plan entity	Single employer plan
2018-01-01	Submission has been amended	No
2018-01-01	This submission is the final filing	No
2018-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2018-01-01	Plan is a collectively bargained plan	No
2018-01-01	Plan funding arrangement – Trust	Yes
2018-01-01	Plan benefit arrangement - Trust	Yes
2017: DICK JAMES & ASSOCIATES INC 401K PLAN 2017 form 5500 responses
2017-01-01	Type of plan entity	Single employer plan
2017-01-01	Submission has been amended	No
2017-01-01	This submission is the final filing	No
2017-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2017-01-01	Plan is a collectively bargained plan	No
2017-01-01	Plan funding arrangement – Trust	Yes
2017-01-01	Plan benefit arrangement - Trust	Yes
2016: DICK JAMES & ASSOCIATES INC 401K PLAN 2016 form 5500 responses
2016-01-01	Type of plan entity	Single employer plan
2016-01-01	Submission has been amended	No
2016-01-01	This submission is the final filing	No
2016-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2016-01-01	Plan is a collectively bargained plan	No
2016-01-01	Plan funding arrangement – Trust	Yes
2016-01-01	Plan benefit arrangement - Trust	Yes
2015: DICK JAMES & ASSOCIATES INC 401K PLAN 2015 form 5500 responses
2015-01-01	Type of plan entity	Single employer plan
2015-01-01	Submission has been amended	No
2015-01-01	This submission is the final filing	No
2015-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2015-01-01	Plan is a collectively bargained plan	No
2015-01-01	Plan funding arrangement – Trust	Yes
2015-01-01	Plan benefit arrangement - Trust	Yes
2014: DICK JAMES & ASSOCIATES INC 401K PLAN 2014 form 5500 responses
2014-01-01	Type of plan entity	Single employer plan
2014-01-01	Submission has been amended	No
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 – Trust	Yes
2014-01-01	Plan benefit arrangement - Trust	Yes
2013: DICK JAMES & ASSOCIATES INC 401K PLAN 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 – Trust	Yes
2013-01-01	Plan benefit arrangement - Trust	Yes
2012: DICK JAMES & ASSOCIATES INC 401K PLAN 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 – Trust	Yes
2012-01-01	Plan benefit arrangement - Trust	Yes
2011: DICK JAMES & ASSOCIATES INC 401K PLAN 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 – Trust	Yes
2011-01-01	Plan benefit arrangement - Trust	Yes

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Company Name:	DICK JAMES & ASSOCIATES, INC.
Employer identification number (EIN):	680411999
NAIC Classification:	531110
NAIC Description:	Lessors of Residential Buildings and Dwellings

Jurisdiction of Incorporation:	California Department of State
Incorporation Date:	1998-05-05
Company Identification Number:	C2107435
Legal Registered Office Address:	2260 Park Towne Circle, Suite 204 Sacramento United States of America (USA) 95825