401k Plan data: WINTHROP CAPITAL ADVISORS LLC 401(K)PLAN plan

WINTHROP CAPITAL ADVISORS LLC 401(K)PLAN 401k Plan overview

Plan Name	WINTHROP CAPITAL ADVISORS LLC 401(K)PLAN
Plan identification number	002

WINTHROP CAPITAL ADVISORS LLC 401(K)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.
Participant-directed brokerage accounts provided as an investment option under the plan.
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

WINTHROP CAPITAL ADVISORS LLC has sponsored the creation of one or more 401k plans.

Company Name: WINTHROP CAPITAL ADVISORS LLC

Employer identification number (EIN): 814158512

NAIC Classification: 531390
NAIC Description: Other Activities Related to Real Estate

Form 5500 Filing Information

Submission information for form 5500 for 401k plan WINTHROP CAPITAL ADVISORS LLC 401(K)PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
002 2022-01-01
002 2021-01-01
002 2020-01-01
002 2019-01-01
002 2018-01-01
002 2017-01-01 TRACEY MARTENSEN ERIC MONTAGUE 2018-08-17

Plan Statistics for WINTHROP CAPITAL ADVISORS LLC 401(K)PLAN

401k plan membership statisitcs for WINTHROP CAPITAL ADVISORS LLC 401(K)PLAN

Measure Date Value
2022: WINTHROP CAPITAL ADVISORS LLC 401(K)PLAN 2022 401k membership
Total participants, beginning-of-year 2022-01-01 260
Total number of active participants reported on line 7a of the Form 5500 2022-01-01 32
Number of retired or separated participants receiving benefits 2022-01-01 0
Number of other retired or separated participants entitled to future benefits 2022-01-01 27
Total of all active and inactive participants 2022-01-01 59
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2022-01-01 0
Total participants 2022-01-01 59
Number of participants with account balances 2022-01-01 56
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2022-01-01 0
2021: WINTHROP CAPITAL ADVISORS LLC 401(K)PLAN 2021 401k membership
Total participants, beginning-of-year 2021-01-01 277
Total number of active participants reported on line 7a of the Form 5500 2021-01-01 130
Number of retired or separated participants receiving benefits 2021-01-01 0
Number of other retired or separated participants entitled to future benefits 2021-01-01 110
Total of all active and inactive participants 2021-01-01 240
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2021-01-01 0
Total participants 2021-01-01 240
Number of participants with account balances 2021-01-01 183
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2021-01-01 0
2020: WINTHROP CAPITAL ADVISORS LLC 401(K)PLAN 2020 401k membership
Total participants, beginning-of-year 2020-01-01 298
Total number of active participants reported on line 7a of the Form 5500 2020-01-01 150
Number of retired or separated participants receiving benefits 2020-01-01 0
Number of other retired or separated participants entitled to future benefits 2020-01-01 115
Total of all active and inactive participants 2020-01-01 265
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2020-01-01 0
Total participants 2020-01-01 265
Number of participants with account balances 2020-01-01 201
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2020-01-01 0
2019: WINTHROP CAPITAL ADVISORS LLC 401(K)PLAN 2019 401k membership
Total participants, beginning-of-year 2019-01-01 279
Total number of active participants reported on line 7a of the Form 5500 2019-01-01 155
Number of retired or separated participants receiving benefits 2019-01-01 0
Number of other retired or separated participants entitled to future benefits 2019-01-01 132
Total of all active and inactive participants 2019-01-01 287
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2019-01-01 0
Total participants 2019-01-01 287
Number of participants with account balances 2019-01-01 213
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2019-01-01 0
2018: WINTHROP CAPITAL ADVISORS LLC 401(K)PLAN 2018 401k membership
Total participants, beginning-of-year 2018-01-01 285
Total number of active participants reported on line 7a of the Form 5500 2018-01-01 131
Number of retired or separated participants receiving benefits 2018-01-01 0
Number of other retired or separated participants entitled to future benefits 2018-01-01 136
Total of all active and inactive participants 2018-01-01 267
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2018-01-01 0
Total participants 2018-01-01 267
Number of participants with account balances 2018-01-01 222
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2018-01-01 0
2017: WINTHROP CAPITAL ADVISORS LLC 401(K)PLAN 2017 401k membership
Total participants, beginning-of-year 2017-01-01 300
Total number of active participants reported on line 7a of the Form 5500 2017-01-01 132
Number of retired or separated participants receiving benefits 2017-01-01 0
Number of other retired or separated participants entitled to future benefits 2017-01-01 140
Total of all active and inactive participants 2017-01-01 272
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2017-01-01 0
Total participants 2017-01-01 272
Number of participants with account balances 2017-01-01 237
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2017-01-01 0

Measure	Date	Value
2022: WINTHROP CAPITAL ADVISORS LLC 401(K)PLAN 2022 401k membership
Total participants, beginning-of-year	2022-01-01	260
Total number of active participants reported on line 7a of the Form 5500	2022-01-01	32
Number of retired or separated participants receiving benefits	2022-01-01	0
Number of other retired or separated participants entitled to future benefits	2022-01-01	27
Total of all active and inactive participants	2022-01-01	59
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2022-01-01	0
Total participants	2022-01-01	59
Number of participants with account balances	2022-01-01	56
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2022-01-01	0
2021: WINTHROP CAPITAL ADVISORS LLC 401(K)PLAN 2021 401k membership
Total participants, beginning-of-year	2021-01-01	277
Total number of active participants reported on line 7a of the Form 5500	2021-01-01	130
Number of retired or separated participants receiving benefits	2021-01-01	0
Number of other retired or separated participants entitled to future benefits	2021-01-01	110
Total of all active and inactive participants	2021-01-01	240
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2021-01-01	0
Total participants	2021-01-01	240
Number of participants with account balances	2021-01-01	183
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2021-01-01	0
2020: WINTHROP CAPITAL ADVISORS LLC 401(K)PLAN 2020 401k membership
Total participants, beginning-of-year	2020-01-01	298
Total number of active participants reported on line 7a of the Form 5500	2020-01-01	150
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	115
Total of all active and inactive participants	2020-01-01	265
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2020-01-01	0
Total participants	2020-01-01	265
Number of participants with account balances	2020-01-01	201
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2020-01-01	0
2019: WINTHROP CAPITAL ADVISORS LLC 401(K)PLAN 2019 401k membership
Total participants, beginning-of-year	2019-01-01	279
Total number of active participants reported on line 7a of the Form 5500	2019-01-01	155
Number of retired or separated participants receiving benefits	2019-01-01	0
Number of other retired or separated participants entitled to future benefits	2019-01-01	132
Total of all active and inactive participants	2019-01-01	287
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2019-01-01	0
Total participants	2019-01-01	287
Number of participants with account balances	2019-01-01	213
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2019-01-01	0
2018: WINTHROP CAPITAL ADVISORS LLC 401(K)PLAN 2018 401k membership
Total participants, beginning-of-year	2018-01-01	285
Total number of active participants reported on line 7a of the Form 5500	2018-01-01	131
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	136
Total of all active and inactive participants	2018-01-01	267
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2018-01-01	0
Total participants	2018-01-01	267
Number of participants with account balances	2018-01-01	222
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2018-01-01	0
2017: WINTHROP CAPITAL ADVISORS LLC 401(K)PLAN 2017 401k membership
Total participants, beginning-of-year	2017-01-01	300
Total number of active participants reported on line 7a of the Form 5500	2017-01-01	132
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	140
Total of all active and inactive participants	2017-01-01	272
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2017-01-01	0
Total participants	2017-01-01	272
Number of participants with account balances	2017-01-01	237
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2017-01-01	0

Financial Data on WINTHROP CAPITAL ADVISORS LLC 401(K)PLAN

Measure	Date	Value
2022 : WINTHROP CAPITAL ADVISORS LLC 401(K)PLAN 2022 401k financial data
Total unrealized appreciation/depreciation of assets	2022-12-31	$0
Total transfer of assets from this plan	2022-12-31	$4,599,006
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2022-12-31	$4,599,006
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2022-12-31	$0
Total income from all sources (including contributions)	2022-12-31	$-2,941,472
Total loss/gain on sale of assets	2022-12-31	$0
Total of all expenses incurred	2022-12-31	$4,772,209
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2022-12-31	$4,680,891
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2022-12-31	$1,272,522
Value of total assets at end of year	2022-12-31	$17,936,136
Value of total assets at beginning of year	2022-12-31	$25,649,817
Total of administrative expenses incurred including professional, contract, advisory and management fees	2022-12-31	$91,318
Total interest from all sources	2022-12-31	$4,506
Total dividends received (eg from common stock, registered investment company shares)	2022-12-31	$543,314
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2022-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2022-12-31	$543,314
Was this plan covered by a fidelity bond	2022-12-31	Yes
Value of fidelity bond cover	2022-12-31	$3,000,000
If this is an individual account plan, was there a blackout period	2022-12-31	No
Were there any nonexempt tranactions with any party-in-interest	2022-12-31	No
Contributions received from participants	2022-12-31	$926,066
Participant contributions at end of year	2022-12-31	$40,697
Participant contributions at beginning of year	2022-12-31	$139,534
Assets. Other investments not covered elsewhere at end of year	2022-12-31	$1,684,424
Assets. Other investments not covered elsewhere at beginning of year	2022-12-31	$1,919,828
Income. Received or receivable in cash from other sources (including rollovers)	2022-12-31	$38,549
Value of other receiveables (less allowance for doubtful accounts) at end of year	2022-12-31	$4,599,006
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2022-12-31	$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2022-12-31	$4,599,006
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2022-12-31	$0
Other income not declared elsewhere	2022-12-31	$-270,405
Administrative expenses (other) incurred	2022-12-31	$91,318
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2022-12-31	No
Value of net income/loss	2022-12-31	$-7,713,681
Value of net assets at end of year (total assets less liabilities)	2022-12-31	$13,337,130
Value of net assets at beginning of year (total assets less liabilities)	2022-12-31	$25,649,817
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2022-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2022-12-31	No
Were any leases to which the plan was party in default or uncollectible	2022-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2022-12-31	$11,158,305
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2022-12-31	$23,225,524
Interest on participant loans	2022-12-31	$4,506
Value of interest in common/collective trusts at end of year	2022-12-31	$453,704
Value of interest in common/collective trusts at beginning of year	2022-12-31	$364,931
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2022-12-31	$-4,499,502
Net investment gain or loss from common/collective trusts	2022-12-31	$8,093
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2022-12-31	No
Was there a failure to transmit to the plan any participant contributions	2022-12-31	No
Has the plan failed to provide any benefit when due under the plan	2022-12-31	No
Contributions received in cash from employer	2022-12-31	$307,907
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2022-12-31	$4,680,891
Liabilities. Value of benefit claims payable at end of year	2022-12-31	$0
Liabilities. Value of benefit claims payable at beginning of year	2022-12-31	$0
Did the plan have assets held for investment	2022-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2022-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2022-12-31	No
Opinion of an independent qualified public accountant for this plan	2022-12-31	Unqualified
Accountancy firm name	2022-12-31	EISNERAMPER LLP
Accountancy firm EIN	2022-12-31	871363769
2021 : WINTHROP CAPITAL ADVISORS LLC 401(K)PLAN 2021 401k financial data
Total unrealized appreciation/depreciation of assets	2021-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2021-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2021-12-31	$33,027
Total income from all sources (including contributions)	2021-12-31	$5,358,201
Total loss/gain on sale of assets	2021-12-31	$0
Total of all expenses incurred	2021-12-31	$3,857,658
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2021-12-31	$3,781,838
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2021-12-31	$1,386,325
Value of total assets at end of year	2021-12-31	$25,649,817
Value of total assets at beginning of year	2021-12-31	$24,182,301
Total of administrative expenses incurred including professional, contract, advisory and management fees	2021-12-31	$75,820
Total interest from all sources	2021-12-31	$5,409
Total dividends received (eg from common stock, registered investment company shares)	2021-12-31	$826,902
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2021-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2021-12-31	$826,902
Was this plan covered by a fidelity bond	2021-12-31	Yes
Value of fidelity bond cover	2021-12-31	$3,000,000
If this is an individual account plan, was there a blackout period	2021-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2021-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2021-12-31	No
Contributions received from participants	2021-12-31	$823,603
Participant contributions at end of year	2021-12-31	$139,534
Participant contributions at beginning of year	2021-12-31	$160,197
Assets. Other investments not covered elsewhere at end of year	2021-12-31	$1,919,828
Assets. Other investments not covered elsewhere at beginning of year	2021-12-31	$1,116,693
Income. Received or receivable in cash from other sources (including rollovers)	2021-12-31	$293,605
Other income not declared elsewhere	2021-12-31	$768,001
Administrative expenses (other) incurred	2021-12-31	$75,820
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2021-12-31	No
Value of net income/loss	2021-12-31	$1,500,543
Value of net assets at end of year (total assets less liabilities)	2021-12-31	$25,649,817
Value of net assets at beginning of year (total assets less liabilities)	2021-12-31	$24,149,274
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2021-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2021-12-31	No
Were any leases to which the plan was party in default or uncollectible	2021-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2021-12-31	$23,225,524
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2021-12-31	$22,498,990
Interest on participant loans	2021-12-31	$5,409
Value of interest in common/collective trusts at end of year	2021-12-31	$364,931
Value of interest in common/collective trusts at beginning of year	2021-12-31	$406,421
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2021-12-31	$2,363,891
Net investment gain or loss from common/collective trusts	2021-12-31	$7,673
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2021-12-31	No
Was there a failure to transmit to the plan any participant contributions	2021-12-31	No
Has the plan failed to provide any benefit when due under the plan	2021-12-31	No
Contributions received in cash from employer	2021-12-31	$269,117
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2021-12-31	$3,781,838
Liabilities. Value of benefit claims payable at end of year	2021-12-31	$0
Liabilities. Value of benefit claims payable at beginning of year	2021-12-31	$33,027
Did the plan have assets held for investment	2021-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2021-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2021-12-31	No
Opinion of an independent qualified public accountant for this plan	2021-12-31	Unqualified
Accountancy firm name	2021-12-31	EISNERAMPER LLP
Accountancy firm EIN	2021-12-31	871363769
2020 : WINTHROP CAPITAL ADVISORS LLC 401(K)PLAN 2020 401k financial data
Total unrealized appreciation/depreciation of assets	2020-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2020-12-31	$33,027
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2020-12-31	$67,059
Total income from all sources (including contributions)	2020-12-31	$3,863,026
Total loss/gain on sale of assets	2020-12-31	$0
Total of all expenses incurred	2020-12-31	$859,442
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2020-12-31	$792,345
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2020-12-31	$1,055,237
Value of total assets at end of year	2020-12-31	$24,182,301
Value of total assets at beginning of year	2020-12-31	$21,212,749
Total of administrative expenses incurred including professional, contract, advisory and management fees	2020-12-31	$67,097
Total interest from all sources	2020-12-31	$7,977
Total dividends received (eg from common stock, registered investment company shares)	2020-12-31	$744,655
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2020-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2020-12-31	$744,655
Was this plan covered by a fidelity bond	2020-12-31	Yes
Value of fidelity bond cover	2020-12-31	$500,000
If this is an individual account plan, was there a blackout period	2020-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2020-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2020-12-31	No
Contributions received from participants	2020-12-31	$779,839
Participant contributions at end of year	2020-12-31	$160,197
Participant contributions at beginning of year	2020-12-31	$181,050
Assets. Other investments not covered elsewhere at end of year	2020-12-31	$1,116,693
Assets. Other investments not covered elsewhere at beginning of year	2020-12-31	$1,170,425
Income. Received or receivable in cash from other sources (including rollovers)	2020-12-31	$36,214
Other income not declared elsewhere	2020-12-31	$-87,891
Administrative expenses (other) incurred	2020-12-31	$67,097
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2020-12-31	No
Value of net income/loss	2020-12-31	$3,003,584
Value of net assets at end of year (total assets less liabilities)	2020-12-31	$24,149,274
Value of net assets at beginning of year (total assets less liabilities)	2020-12-31	$21,145,690
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2020-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2020-12-31	No
Were any leases to which the plan was party in default or uncollectible	2020-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2020-12-31	$22,498,990
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2020-12-31	$19,762,312
Interest on participant loans	2020-12-31	$7,977
Value of interest in common/collective trusts at end of year	2020-12-31	$406,421
Value of interest in common/collective trusts at beginning of year	2020-12-31	$98,962
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2020-12-31	$2,135,686
Net investment gain or loss from common/collective trusts	2020-12-31	$7,362
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2020-12-31	No
Was there a failure to transmit to the plan any participant contributions	2020-12-31	No
Has the plan failed to provide any benefit when due under the plan	2020-12-31	No
Contributions received in cash from employer	2020-12-31	$239,184
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2020-12-31	$792,345
Liabilities. Value of benefit claims payable at end of year	2020-12-31	$33,027
Liabilities. Value of benefit claims payable at beginning of year	2020-12-31	$67,059
Did the plan have assets held for investment	2020-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2020-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2020-12-31	No
Opinion of an independent qualified public accountant for this plan	2020-12-31	Disclaimer
Accountancy firm name	2020-12-31	EISNERAMPER LLP
Accountancy firm EIN	2020-12-31	131639826
2019 : WINTHROP CAPITAL ADVISORS LLC 401(K)PLAN 2019 401k financial data
Total unrealized appreciation/depreciation of assets	2019-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2019-12-31	$67,059
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2019-12-31	$10,896
Total income from all sources (including contributions)	2019-12-31	$5,504,586
Total loss/gain on sale of assets	2019-12-31	$0
Total of all expenses incurred	2019-12-31	$4,220,434
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2019-12-31	$4,174,820
Expenses. Certain deemed distributions of participant loans	2019-12-31	$7,000
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2019-12-31	$1,066,538
Value of total assets at end of year	2019-12-31	$21,212,749
Value of total assets at beginning of year	2019-12-31	$19,872,434
Total of administrative expenses incurred including professional, contract, advisory and management fees	2019-12-31	$38,614
Total interest from all sources	2019-12-31	$8,250
Total dividends received (eg from common stock, registered investment company shares)	2019-12-31	$586,484
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2019-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2019-12-31	$586,484
Was this plan covered by a fidelity bond	2019-12-31	Yes
Value of fidelity bond cover	2019-12-31	$500,000
If this is an individual account plan, was there a blackout period	2019-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2019-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2019-12-31	No
Contributions received from participants	2019-12-31	$720,018
Participant contributions at end of year	2019-12-31	$181,050
Participant contributions at beginning of year	2019-12-31	$137,340
Assets. Other investments not covered elsewhere at end of year	2019-12-31	$1,170,425
Assets. Other investments not covered elsewhere at beginning of year	2019-12-31	$698,623
Income. Received or receivable in cash from other sources (including rollovers)	2019-12-31	$106,692
Other income not declared elsewhere	2019-12-31	$361,177
Administrative expenses (other) incurred	2019-12-31	$38,614
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2019-12-31	No
Value of net income/loss	2019-12-31	$1,284,152
Value of net assets at end of year (total assets less liabilities)	2019-12-31	$21,145,690
Value of net assets at beginning of year (total assets less liabilities)	2019-12-31	$19,861,538
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2019-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2019-12-31	No
Were any leases to which the plan was party in default or uncollectible	2019-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2019-12-31	$19,762,312
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2019-12-31	$19,036,471
Interest on participant loans	2019-12-31	$8,250
Value of interest in common/collective trusts at end of year	2019-12-31	$98,962
Value of interest in common/collective trusts at beginning of year	2019-12-31	$0
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2019-12-31	$0
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2019-12-31	$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2019-12-31	$1,097,959
Net investment gain/loss from pooled separate accounts	2019-12-31	$2,382,691
Net investment gain or loss from common/collective trusts	2019-12-31	$1,487
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2019-12-31	No
Was there a failure to transmit to the plan any participant contributions	2019-12-31	No
Has the plan failed to provide any benefit when due under the plan	2019-12-31	No
Contributions received in cash from employer	2019-12-31	$239,828
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2019-12-31	$4,174,820
Liabilities. Value of benefit claims payable at end of year	2019-12-31	$67,059
Liabilities. Value of benefit claims payable at beginning of year	2019-12-31	$10,896
Did the plan have assets held for investment	2019-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2019-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2019-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2019-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2019-12-31	Disclaimer
Accountancy firm name	2019-12-31	EISNERAMPER LLP
Accountancy firm EIN	2019-12-31	131639826
2018 : WINTHROP CAPITAL ADVISORS LLC 401(K)PLAN 2018 401k financial data
Total unrealized appreciation/depreciation of assets	2018-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2018-12-31	$10,896
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2018-12-31	$29,568
Total income from all sources (including contributions)	2018-12-31	$-564,583
Total loss/gain on sale of assets	2018-12-31	$0
Total of all expenses incurred	2018-12-31	$2,615,201
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2018-12-31	$2,586,117
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2018-12-31	$1,124,913
Value of total assets at end of year	2018-12-31	$19,872,434
Value of total assets at beginning of year	2018-12-31	$23,070,890
Total of administrative expenses incurred including professional, contract, advisory and management fees	2018-12-31	$29,084
Total interest from all sources	2018-12-31	$74,578
Total dividends received (eg from common stock, registered investment company shares)	2018-12-31	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2018-12-31	No
Was this plan covered by a fidelity bond	2018-12-31	Yes
Value of fidelity bond cover	2018-12-31	$500,000
If this is an individual account plan, was there a blackout period	2018-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2018-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2018-12-31	No
Contributions received from participants	2018-12-31	$842,546
Participant contributions at end of year	2018-12-31	$137,340
Participant contributions at beginning of year	2018-12-31	$151,388
Participant contributions at end of year	2018-12-31	$0
Participant contributions at beginning of year	2018-12-31	$23,021
Assets. Other investments not covered elsewhere at end of year	2018-12-31	$698,623
Assets. Other investments not covered elsewhere at beginning of year	2018-12-31	$929,240
Income. Received or receivable in cash from other sources (including rollovers)	2018-12-31	$30,380
Other income not declared elsewhere	2018-12-31	$-230,617
Administrative expenses (other) incurred	2018-12-31	$3,880
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2018-12-31	No
Value of net income/loss	2018-12-31	$-3,179,784
Value of net assets at end of year (total assets less liabilities)	2018-12-31	$19,861,538
Value of net assets at beginning of year (total assets less liabilities)	2018-12-31	$23,041,322
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
Investment advisory and management fees	2018-12-31	$25,000
Value of interest in registered invesment companies (eg mutual funds) at end of year	2018-12-31	$19,036,471
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2018-12-31	$21,967,241
Interest on participant loans	2018-12-31	$5,543
Interest earned on other investments	2018-12-31	$69,035
Net investment gain/loss from pooled separate accounts	2018-12-31	$-1,533,457
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
Contributions received in cash from employer	2018-12-31	$251,987
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2018-12-31	$2,586,117
Contract administrator fees	2018-12-31	$204
Liabilities. Value of benefit claims payable at end of year	2018-12-31	$10,896
Liabilities. Value of benefit claims payable at beginning of year	2018-12-31	$29,568
Did the plan have assets held for investment	2018-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2018-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2018-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2018-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2018-12-31	Disclaimer
Accountancy firm name	2018-12-31	IMOWITZ KOENIG & CO., LLP
Accountancy firm EIN	2018-12-31	132963250
2017 : WINTHROP CAPITAL ADVISORS LLC 401(K)PLAN 2017 401k financial data
Total unrealized appreciation/depreciation of assets	2017-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2017-12-31	$29,568
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2017-12-31	$0
Total income from all sources (including contributions)	2017-12-31	$4,387,962
Total loss/gain on sale of assets	2017-12-31	$0
Total of all expenses incurred	2017-12-31	$1,214,566
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2017-12-31	$1,185,830
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2017-12-31	$1,396,442
Value of total assets at end of year	2017-12-31	$23,070,890
Value of total assets at beginning of year	2017-12-31	$19,867,926
Total of administrative expenses incurred including professional, contract, advisory and management fees	2017-12-31	$28,736
Total interest from all sources	2017-12-31	$70,446
Total dividends received (eg from common stock, registered investment company shares)	2017-12-31	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2017-12-31	No
Was this plan covered by a fidelity bond	2017-12-31	Yes
Value of fidelity bond cover	2017-12-31	$500,000
If this is an individual account plan, was there a blackout period	2017-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2017-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2017-12-31	No
Contributions received from participants	2017-12-31	$856,330
Participant contributions at end of year	2017-12-31	$151,388
Participant contributions at beginning of year	2017-12-31	$155,242
Participant contributions at end of year	2017-12-31	$23,021
Participant contributions at beginning of year	2017-12-31	$0
Assets. Other investments not covered elsewhere at end of year	2017-12-31	$929,240
Assets. Other investments not covered elsewhere at beginning of year	2017-12-31	$934,539
Income. Received or receivable in cash from other sources (including rollovers)	2017-12-31	$267,099
Other income not declared elsewhere	2017-12-31	$-5,298
Administrative expenses (other) incurred	2017-12-31	$3,540
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
Value of net income/loss	2017-12-31	$3,173,396
Value of net assets at end of year (total assets less liabilities)	2017-12-31	$23,041,322
Value of net assets at beginning of year (total assets less liabilities)	2017-12-31	$19,867,926
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
Investment advisory and management fees	2017-12-31	$25,000
Value of interest in registered invesment companies (eg mutual funds) at end of year	2017-12-31	$21,967,241
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2017-12-31	$18,778,145
Interest on participant loans	2017-12-31	$5,456
Interest earned on other investments	2017-12-31	$64,990
Net investment gain/loss from pooled separate accounts	2017-12-31	$2,926,372
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
Contributions received in cash from employer	2017-12-31	$273,013
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2017-12-31	$1,185,830
Contract administrator fees	2017-12-31	$196
Liabilities. Value of benefit claims payable at end of year	2017-12-31	$29,568
Liabilities. Value of benefit claims payable 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
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	IMOWITZ KOENIG & CO., LLP
Accountancy firm EIN	2017-12-31	132963250

Form 5500 Responses for WINTHROP CAPITAL ADVISORS LLC 401(K)PLAN

2022: WINTHROP CAPITAL ADVISORS LLC 401(K)PLAN 2022 form 5500 responses
2022-01-01	Type of plan entity	Mulitple employer plan
2022-01-01	Submission has been amended	No
2022-01-01	This submission is the final filing	No
2022-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2022-01-01	Plan is a collectively bargained plan	No
2022-01-01	Plan funding arrangement – Trust	Yes
2022-01-01	Plan benefit arrangement - Trust	Yes
2021: WINTHROP CAPITAL ADVISORS LLC 401(K)PLAN 2021 form 5500 responses
2021-01-01	Type of plan entity	Mulitple employer plan
2021-01-01	Submission has been amended	No
2021-01-01	This submission is the final filing	No
2021-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2021-01-01	Plan is a collectively bargained plan	No
2021-01-01	Plan funding arrangement – Trust	Yes
2021-01-01	Plan benefit arrangement - Trust	Yes
2020: WINTHROP CAPITAL ADVISORS LLC 401(K)PLAN 2020 form 5500 responses
2020-01-01	Type of plan entity	Mulitple employer plan
2020-01-01	Submission has been amended	No
2020-01-01	This submission is the final filing	No
2020-01-01	This return/report is a short plan year return/report (less than 12 months)	No
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
2019: WINTHROP CAPITAL ADVISORS LLC 401(K)PLAN 2019 form 5500 responses
2019-01-01	Type of plan entity	Mulitple employer plan
2019-01-01	Submission has been amended	No
2019-01-01	This submission is the final filing	No
2019-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2019-01-01	Plan is a collectively bargained plan	No
2019-01-01	Plan funding arrangement – Insurance	Yes
2019-01-01	Plan funding arrangement – Trust	Yes
2019-01-01	Plan benefit arrangement – Insurance	Yes
2019-01-01	Plan benefit arrangement - Trust	Yes
2018: WINTHROP CAPITAL ADVISORS LLC 401(K)PLAN 2018 form 5500 responses
2018-01-01	Type of plan entity	Mulitple 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 – Insurance	Yes
2018-01-01	Plan funding arrangement – Trust	Yes
2018-01-01	Plan benefit arrangement – Insurance	Yes
2018-01-01	Plan benefit arrangement - Trust	Yes
2017: WINTHROP CAPITAL ADVISORS LLC 401(K)PLAN 2017 form 5500 responses
2017-01-01	Type of plan entity	Mulitple 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 – Insurance	Yes
2017-01-01	Plan funding arrangement – Trust	Yes
2017-01-01	Plan benefit arrangement – Insurance	Yes
2017-01-01	Plan benefit arrangement - Trust	Yes

Insurance Providers Used on plan

JOHN HANCOCK LIFE INSURANCE COMPANY (U.S.A.) (National Association of Insurance Commissioners NAIC id number: 65838 )

Policy contract number

26731

Policy instance

Insurance contract or identification number	26731
Number of Individuals Covered	0
Insurance policy start date	2019-01-01
Insurance policy end date	2019-12-31
Total amount of commissions paid to insurance broker	USD $0
Total amount of fees paid to insurance company	USD $3,342
Are there contracts with allocated funds for individual policies?	0
Are there contracts with allocated funds for group deferred annuity?	No
Are there contracts with allocated funds for types other than group deferred annuity or individual?	No
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Contracts With Unallocated Funds Deposit Administration	0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?	No
Are there contracts with unallocated funds for contracts of type guaranteed investment?	No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	No
Health Insurance Welfare Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
Were dividends or retroactive rate refunds paid in cash?	No
Were dividends or retroactive rate refunds paid as a credit?	No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No
Commission paid to Insurance Broker	USD $0
Amount paid for insurance broker fees	3342
Additional information about fees paid to insurance broker	TPA ADMINISTRATOR ALLOWANCE
Insurance broker organization code?	5

JOHN HANCOCK LIFE INSURANCE COMPANY (U.S.A.) (National Association of Insurance Commissioners NAIC id number: 65838 )

Policy contract number

26731

Policy instance

Insurance contract or identification number	26731
Number of Individuals Covered	237
Insurance policy start date	2017-01-01
Insurance policy end date	2017-12-31
Total amount of commissions paid to insurance broker	USD $0
Total amount of fees paid to insurance company	USD $10,208
Are there contracts with allocated funds for individual policies?	0
Are there contracts with allocated funds for group deferred annuity?	No
Are there contracts with allocated funds for types other than group deferred annuity or individual?	No
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Contracts With Unallocated Funds Deposit Administration	0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?	No
Are there contracts with unallocated funds for contracts of type guaranteed investment?	No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	Yes
Health Insurance Welfare Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
Were dividends or retroactive rate refunds paid in cash?	No
Were dividends or retroactive rate refunds paid as a credit?	No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No
Amount paid for insurance broker fees	10208
Additional information about fees paid to insurance broker	TPA ADMINISTRATOR ALLOWANCE
Insurance broker organization code?	5
Insurance broker name	THE ANGELL PENSION GROUP, INC.

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Company Name:	WINTHROP CAPITAL ADVISORS LLC
Employer identification number (EIN):	814158512
NAIC Classification:	531390
NAIC Description:	Other Activities Related to Real Estate