401k Plan data: ALEXANDRA & JAMES, LLC plan

ALEXANDRA & JAMES, LLC 401k Plan overview

Plan Name	ALEXANDRA & JAMES, LLC
Plan identification number	001

ALEXANDRA & JAMES, LLC 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.
Total or partial participant-directed account plan - plan uses default investment account for participants who fail to direct assets in their account.
Master plan - A pension plan that is made available by a sponsor for adoption by employers; that is the subject of a favorable opinion letter; and for which a single funding medium (for example, a trust or custodial account) is established for the joint use of all adopting employers.
Plan sponsor(s) is (are) a member(s) of a controlled group (Code sections 414(b), (c), or (m)).

401k Sponsoring company profile

ALEXANDRA & JAMES, LLC has sponsored the creation of one or more 401k plans.

Company Name: ALEXANDRA & JAMES, LLC

Employer identification number (EIN): 770687945

NAIC Classification: 523120
NAIC Description: Securities Brokerage

Form 5500 Filing Information

Submission information for form 5500 for 401k plan ALEXANDRA & JAMES, LLC

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2018-01-01 KENNETH SILVERMAN 2018-08-27
001 2017-01-01 KENNETH SILVERMAN 2018-08-27
001 2016-01-01 STEVE COLLOPY 2017-10-16
001 2015-01-01 JAMES LEBENTHAL 2016-08-10
001 2014-01-01 JAMES LEBENTHAL 2015-05-18
001 2013-01-01 JAMES LEBENTHAL 2014-10-16
001 2012-01-01 JAMES LEBENTHAL 2013-07-01 JAMES LEBENTHAL 2013-07-01
001 2011-01-01 KRISTEN NIEBUHR 2012-07-27 KRISTEN NIEBUHR 2012-07-27

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed	Name of Company Sponsor	Date Sponsor Signed
001	2018-01-01	KENNETH SILVERMAN	2018-08-27
001	2017-01-01	KENNETH SILVERMAN	2018-08-27
001	2016-01-01	STEVE COLLOPY	2017-10-16
001	2015-01-01	JAMES LEBENTHAL	2016-08-10
001	2014-01-01	JAMES LEBENTHAL	2015-05-18
001	2013-01-01	JAMES LEBENTHAL	2014-10-16
001	2012-01-01	JAMES LEBENTHAL	2013-07-01	JAMES LEBENTHAL	2013-07-01
001	2011-01-01	KRISTEN NIEBUHR	2012-07-27	KRISTEN NIEBUHR	2012-07-27

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Company Name:	ALEXANDRA & JAMES, LLC
Employer identification number (EIN):	770687945
NAIC Classification:	523120
NAIC Description:	Securities Brokerage