401k Plan data: LEAF & COLE, LLP 401(K) RETIREMENT SAVINGS PLAN plan

LEAF & COLE, LLP 401(K) RETIREMENT SAVINGS PLAN 401k Plan overview

Plan Name	LEAF & COLE, LLP 401(K) RETIREMENT SAVINGS PLAN
Plan identification number	002

LEAF & COLE, LLP 401(K) RETIREMENT SAVINGS PLAN Benefits

401k Plan Type

Defined Contribution Pension

Plan Features/Benefits

Age/Service Weighted or new comparability or similar plan - Age/Service Weighted Plan: Allocations are based on age, service, or age and service. New comparability or similar plan: Allocations are based on participant classifications and a classification(s) consists entirely or predominantly of highly compensated employees; or the plan provides an additional allocation rate on compensation above a specified threshold, and the theshold or additional rate exceeds the maximum threshold or rate allowed under the permitted disparity rules of section 401(l).
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.
Plan covering Self-Employed individuals.
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

LEAF & COLE, LLP has sponsored the creation of one or more 401k plans.

Company Name: LEAF & COLE, LLP

Employer identification number (EIN): 952076568

NAIC Classification: 541211
NAIC Description: Offices of Certified Public Accountants

Form 5500 Filing Information

Submission information for form 5500 for 401k plan LEAF & COLE, LLP 401(K) RETIREMENT SAVINGS PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
002 2022-01-01 NICHOLAS M GINES 2023-10-13
002 2021-01-01 NICHOLAS M GINES 2022-10-14
002 2020-01-01 NICHOLAS M GINES 2021-10-12
002 2019-01-01 NICHOLAS M GINES 2020-10-14
002 2018-01-01 NICHOLAS M GINES 2019-10-08
002 2017-01-01 NICK GINES 2018-10-15
002 2016-01-01 NICK GINES 2019-01-29
002 2015-01-01 NICHOLAS M GINES
002 2014-01-01 NICHOLAS M GINES
002 2013-01-01 NICHOLAS M GINES
002 2012-01-01 NICHOLAS GINES
002 2011-01-01 NICHOLAS GINES
002 2009-01-01 NICHOLAS GINES

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed
002	2022-01-01	NICHOLAS M GINES	2023-10-13
002	2021-01-01	NICHOLAS M GINES	2022-10-14
002	2020-01-01	NICHOLAS M GINES	2021-10-12
002	2019-01-01	NICHOLAS M GINES	2020-10-14
002	2018-01-01	NICHOLAS M GINES	2019-10-08
002	2017-01-01	NICK GINES	2018-10-15
002	2016-01-01	NICK GINES	2019-01-29
002	2015-01-01	NICHOLAS M GINES
002	2014-01-01	NICHOLAS M GINES
002	2013-01-01	NICHOLAS M GINES
002	2012-01-01	NICHOLAS GINES
002	2011-01-01	NICHOLAS GINES
002	2009-01-01	NICHOLAS GINES

Plan Statistics for LEAF & COLE, LLP 401(K) RETIREMENT SAVINGS PLAN

401k plan membership statisitcs for LEAF & COLE, LLP 401(K) RETIREMENT SAVINGS PLAN

Measure Date Value
2015: LEAF & COLE, LLP 401(K) RETIREMENT SAVINGS PLAN 2015 401k membership
Total participants, beginning-of-year 2015-01-01 0
Total number of active participants reported on line 7a of the Form 5500 2015-01-01 32
Number of retired or separated participants receiving benefits 2015-01-01 1
Number of other retired or separated participants entitled to future benefits 2015-01-01 3
Total of all active and inactive participants 2015-01-01 36
Total participants 2015-01-01 36
Number of participants with account balances 2015-01-01 32
2014: LEAF & COLE, LLP 401(K) RETIREMENT SAVINGS PLAN 2014 401k membership
Total participants, beginning-of-year 2014-01-01 29
Total number of active participants reported on line 7a of the Form 5500 2014-01-01 27
Number of retired or separated participants receiving benefits 2014-01-01 1
Number of other retired or separated participants entitled to future benefits 2014-01-01 4
Total of all active and inactive participants 2014-01-01 32
Total participants 2014-01-01 32
Number of participants with account balances 2014-01-01 27
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2014-01-01 1
2013: LEAF & COLE, LLP 401(K) RETIREMENT SAVINGS PLAN 2013 401k membership
Total participants, beginning-of-year 2013-01-01 27
Total number of active participants reported on line 7a of the Form 5500 2013-01-01 29
Number of retired or separated participants receiving benefits 2013-01-01 1
Number of other retired or separated participants entitled to future benefits 2013-01-01 2
Total of all active and inactive participants 2013-01-01 32
Total participants 2013-01-01 32
Number of participants with account balances 2013-01-01 29
2012: LEAF & COLE, LLP 401(K) RETIREMENT SAVINGS PLAN 2012 401k membership
Total participants, beginning-of-year 2012-01-01 27
Total number of active participants reported on line 7a of the Form 5500 2012-01-01 23
Number of retired or separated participants receiving benefits 2012-01-01 1
Number of other retired or separated participants entitled to future benefits 2012-01-01 3
Total of all active and inactive participants 2012-01-01 27
Total participants 2012-01-01 27
Number of participants with account balances 2012-01-01 27
2011: LEAF & COLE, LLP 401(K) RETIREMENT SAVINGS PLAN 2011 401k membership
Total participants, beginning-of-year 2011-01-01 33
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 30
Number of retired or separated participants receiving benefits 2011-01-01 1
Number of other retired or separated participants entitled to future benefits 2011-01-01 2
Total of all active and inactive participants 2011-01-01 33
Total participants 2011-01-01 33
2009: LEAF & COLE, LLP 401(K) RETIREMENT SAVINGS PLAN 2009 401k membership
Total participants, beginning-of-year 2009-01-01 33
Number of retired or separated participants receiving benefits 2009-01-01 1
Number of other retired or separated participants entitled to future benefits 2009-01-01 5
Total of all active and inactive participants 2009-01-01 6
Total participants 2009-01-01 6
Number of participants with account balances 2009-01-01 31

Measure	Date	Value
2015: LEAF & COLE, LLP 401(K) RETIREMENT SAVINGS PLAN 2015 401k membership
Total participants, beginning-of-year	2015-01-01	0
Total number of active participants reported on line 7a of the Form 5500	2015-01-01	32
Number of retired or separated participants receiving benefits	2015-01-01	1
Number of other retired or separated participants entitled to future benefits	2015-01-01	3
Total of all active and inactive participants	2015-01-01	36
Total participants	2015-01-01	36
Number of participants with account balances	2015-01-01	32
2014: LEAF & COLE, LLP 401(K) RETIREMENT SAVINGS PLAN 2014 401k membership
Total participants, beginning-of-year	2014-01-01	29
Total number of active participants reported on line 7a of the Form 5500	2014-01-01	27
Number of retired or separated participants receiving benefits	2014-01-01	1
Number of other retired or separated participants entitled to future benefits	2014-01-01	4
Total of all active and inactive participants	2014-01-01	32
Total participants	2014-01-01	32
Number of participants with account balances	2014-01-01	27
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2014-01-01	1
2013: LEAF & COLE, LLP 401(K) RETIREMENT SAVINGS PLAN 2013 401k membership
Total participants, beginning-of-year	2013-01-01	27
Total number of active participants reported on line 7a of the Form 5500	2013-01-01	29
Number of retired or separated participants receiving benefits	2013-01-01	1
Number of other retired or separated participants entitled to future benefits	2013-01-01	2
Total of all active and inactive participants	2013-01-01	32
Total participants	2013-01-01	32
Number of participants with account balances	2013-01-01	29
2012: LEAF & COLE, LLP 401(K) RETIREMENT SAVINGS PLAN 2012 401k membership
Total participants, beginning-of-year	2012-01-01	27
Total number of active participants reported on line 7a of the Form 5500	2012-01-01	23
Number of retired or separated participants receiving benefits	2012-01-01	1
Number of other retired or separated participants entitled to future benefits	2012-01-01	3
Total of all active and inactive participants	2012-01-01	27
Total participants	2012-01-01	27
Number of participants with account balances	2012-01-01	27
2011: LEAF & COLE, LLP 401(K) RETIREMENT SAVINGS PLAN 2011 401k membership
Total participants, beginning-of-year	2011-01-01	33
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	30
Number of retired or separated participants receiving benefits	2011-01-01	1
Number of other retired or separated participants entitled to future benefits	2011-01-01	2
Total of all active and inactive participants	2011-01-01	33
Total participants	2011-01-01	33
2009: LEAF & COLE, LLP 401(K) RETIREMENT SAVINGS PLAN 2009 401k membership
Total participants, beginning-of-year	2009-01-01	33
Number of retired or separated participants receiving benefits	2009-01-01	1
Number of other retired or separated participants entitled to future benefits	2009-01-01	5
Total of all active and inactive participants	2009-01-01	6
Total participants	2009-01-01	6
Number of participants with account balances	2009-01-01	31

Financial Data on LEAF & COLE, LLP 401(K) RETIREMENT SAVINGS PLAN

Measure	Date	Value
2015 : LEAF & COLE, LLP 401(K) RETIREMENT SAVINGS PLAN 2015 401k financial data
Total income from all sources	2015-12-31	$650,768
Expenses. Total of all expenses incurred	2015-12-31	$112,308
Benefits paid (including direct rollovers)	2015-12-31	$112,308
Total plan assets at end of year	2015-12-31	$9,946,057
Total plan assets at beginning of year	2015-12-31	$9,407,597
Total contributions received or receivable from participants	2015-12-31	$233,084
Other income received	2015-12-31	$135,594
Net income (gross income less expenses)	2015-12-31	$538,460
Net plan assets at end of year (total assets less liabilities)	2015-12-31	$9,946,057
Net plan assets at beginning of year (total assets less liabilities)	2015-12-31	$9,407,597
Assets. Value of participant loans	2015-12-31	$100,729
Assets. Value of assets in partnership/joint-venture interests	2015-12-31	$103,835
Total contributions received or receivable from employer(s)	2015-12-31	$282,090
2014 : LEAF & COLE, LLP 401(K) RETIREMENT SAVINGS PLAN 2014 401k financial data
Total income from all sources	2014-12-31	$1,001,304
Expenses. Total of all expenses incurred	2014-12-31	$161,217
Benefits paid (including direct rollovers)	2014-12-31	$161,217
Total plan assets at end of year	2014-12-31	$9,407,597
Total plan assets at beginning of year	2014-12-31	$8,567,510
Total contributions received or receivable from participants	2014-12-31	$221,492
Other income received	2014-12-31	$509,928
Net income (gross income less expenses)	2014-12-31	$840,087
Net plan assets at end of year (total assets less liabilities)	2014-12-31	$9,407,597
Net plan assets at beginning of year (total assets less liabilities)	2014-12-31	$8,567,510
Assets. Value of participant loans	2014-12-31	$103,667
Assets. Value of assets in partnership/joint-venture interests	2014-12-31	$103,835
Total contributions received or receivable from employer(s)	2014-12-31	$269,884
2013 : LEAF & COLE, LLP 401(K) RETIREMENT SAVINGS PLAN 2013 401k financial data
Total income from all sources	2013-12-31	$1,477,804
Expenses. Total of all expenses incurred	2013-12-31	$111,490
Benefits paid (including direct rollovers)	2013-12-31	$111,436
Total plan assets at end of year	2013-12-31	$8,567,510
Total plan assets at beginning of year	2013-12-31	$7,201,196
Total contributions received or receivable from participants	2013-12-31	$211,335
Expenses. Other expenses not covered elsewhere	2013-12-31	$54
Other income received	2013-12-31	$958,631
Net income (gross income less expenses)	2013-12-31	$1,366,314
Net plan assets at end of year (total assets less liabilities)	2013-12-31	$8,567,510
Net plan assets at beginning of year (total assets less liabilities)	2013-12-31	$7,201,196
Assets. Value of participant loans	2013-12-31	$137,898
Assets. Value of assets in partnership/joint-venture interests	2013-12-31	$123,759
Total contributions received or receivable from employer(s)	2013-12-31	$307,838
2012 : LEAF & COLE, LLP 401(K) RETIREMENT SAVINGS PLAN 2012 401k financial data
Transfers to/from the plan	2012-12-31	$20,980
Total income from all sources	2012-12-31	$1,006,696
Expenses. Total of all expenses incurred	2012-12-31	$613,637
Benefits paid (including direct rollovers)	2012-12-31	$613,532
Total plan assets at end of year	2012-12-31	$7,201,196
Total plan assets at beginning of year	2012-12-31	$6,787,157
Total contributions received or receivable from participants	2012-12-31	$182,090
Expenses. Other expenses not covered elsewhere	2012-12-31	$105
Other income received	2012-12-31	$563,043
Net income (gross income less expenses)	2012-12-31	$393,059
Net plan assets at end of year (total assets less liabilities)	2012-12-31	$7,201,196
Net plan assets at beginning of year (total assets less liabilities)	2012-12-31	$6,787,157
Assets. Value of participant loans	2012-12-31	$145,484
Assets. Value of assets in partnership/joint-venture interests	2012-12-31	$140,260
Total contributions received or receivable from employer(s)	2012-12-31	$261,563
2011 : LEAF & COLE, LLP 401(K) RETIREMENT SAVINGS PLAN 2011 401k financial data
Total income from all sources	2011-12-31	$534,724
Expenses. Total of all expenses incurred	2011-12-31	$77,420
Benefits paid (including direct rollovers)	2011-12-31	$77,300
Total plan assets at end of year	2011-12-31	$6,787,157
Total plan assets at beginning of year	2011-12-31	$6,329,853
Total contributions received or receivable from participants	2011-12-31	$180,871
Expenses. Other expenses not covered elsewhere	2011-12-31	$120
Other income received	2011-12-31	$116,351
Net income (gross income less expenses)	2011-12-31	$457,304
Net plan assets at end of year (total assets less liabilities)	2011-12-31	$6,787,157
Net plan assets at beginning of year (total assets less liabilities)	2011-12-31	$6,329,853
Assets. Value of participant loans	2011-12-31	$106,977
Assets. Value of assets in partnership/joint-venture interests	2011-12-31	$90,500
Total contributions received or receivable from employer(s)	2011-12-31	$237,502
2010 : LEAF & COLE, LLP 401(K) RETIREMENT SAVINGS PLAN 2010 401k financial data
Total income from all sources	2010-12-31	$843,777
Expenses. Total of all expenses incurred	2010-12-31	$377,557
Benefits paid (including direct rollovers)	2010-12-31	$377,357
Total plan assets at end of year	2010-12-31	$6,329,853
Total plan assets at beginning of year	2010-12-31	$5,863,633
Total contributions received or receivable from participants	2010-12-31	$112,115
Expenses. Other expenses not covered elsewhere	2010-12-31	$200
Other income received	2010-12-31	$347,487
Net income (gross income less expenses)	2010-12-31	$466,220
Net plan assets at end of year (total assets less liabilities)	2010-12-31	$6,329,853
Net plan assets at beginning of year (total assets less liabilities)	2010-12-31	$5,863,633
Assets. Value of participant loans	2010-12-31	$51,593
Assets. Value of assets in partnership/joint-venture interests	2010-12-31	$90,500
Total contributions received or receivable from employer(s)	2010-12-31	$384,175

Form 5500 Responses for LEAF & COLE, LLP 401(K) RETIREMENT SAVINGS PLAN

2015: LEAF & COLE, LLP 401(K) RETIREMENT SAVINGS PLAN 2015 form 5500 responses
2015-01-01	Type of plan entity	Single employer plan
2015-01-01	Plan funding arrangement – Trust	Yes
2015-01-01	Plan benefit arrangement - Trust	Yes
2014: LEAF & COLE, LLP 401(K) RETIREMENT SAVINGS PLAN 2014 form 5500 responses
2014-01-01	Type of plan entity	Single employer plan
2014-01-01	Plan funding arrangement – Trust	Yes
2014-01-01	Plan benefit arrangement - Trust	Yes
2013: LEAF & COLE, LLP 401(K) RETIREMENT SAVINGS PLAN 2013 form 5500 responses
2013-01-01	Type of plan entity	Single employer plan
2013-01-01	Plan funding arrangement – Trust	Yes
2013-01-01	Plan benefit arrangement - Trust	Yes
2012: LEAF & COLE, LLP 401(K) RETIREMENT SAVINGS 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: LEAF & COLE, LLP 401(K) RETIREMENT SAVINGS 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
2009: LEAF & COLE, LLP 401(K) RETIREMENT SAVINGS PLAN 2009 form 5500 responses
2009-01-01	Type of plan entity	Single employer plan
2009-01-01	Submission has been amended	No
2009-01-01	This submission is the final filing	No
2009-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2009-01-01	Plan is a collectively bargained plan	No
2009-01-01	Plan funding arrangement – Trust	Yes
2009-01-01	Plan benefit arrangement - Trust	Yes

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Company Name:	LEAF & COLE, LLP
Employer identification number (EIN):	952076568
NAIC Classification:	541211
NAIC Description:	Offices of Certified Public Accountants