401k Plan data: JOHN K. FLAHERTY & ASSOCIATES, LTD. 401(K) PROFIT SHARING PLAN & TRUST plan

JOHN K. FLAHERTY & ASSOCIATES, LTD. 401(K) PROFIT SHARING PLAN & TRUST 401k Plan overview

Plan Name	JOHN K. FLAHERTY & ASSOCIATES, LTD. 401(K) PROFIT SHARING PLAN & TRUST
Plan identification number	001

JOHN K. FLAHERTY & ASSOCIATES, LTD. 401(K) PROFIT SHARING PLAN & TRUST 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
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.
Partial participant-directed account plan - Participants have the opportunity to direct the investment of a portion of 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.
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

JOHN K. FLAHERTY & ASSOCIATES, LTD. has sponsored the creation of one or more 401k plans.

Company Name: JOHN K. FLAHERTY & ASSOCIATES, LTD.

Employer identification number (EIN): 363745114

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

Form 5500 Filing Information

Submission information for form 5500 for 401k plan JOHN K. FLAHERTY & ASSOCIATES, LTD. 401(K) PROFIT SHARING PLAN & TRUST

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2023-01-01 WILLIAM FLAHERTY 2024-10-01
001 2022-01-01 JOHN K FLAHERTY 2023-10-04 JOHN K FLAHERTY 2023-10-04
001 2021-01-01 JOHN K FLAHERTY 2022-10-04 JOHN K FLAHERTY 2022-10-04
001 2020-01-01 JOHN K FLAHERTY 2021-09-07 JOHN K FLAHERTY 2021-09-07
001 2019-01-01 JOHN K FLAHERTY 2020-10-02 JOHN K FLAHERTY 2020-10-02
001 2018-01-01 JOHN FLAHERTY 2019-09-30 JOHN FLAHERTY 2019-09-30
001 2017-01-01 JOHN FLAHERTY 2018-10-09 JOHN FLAHERTY 2018-10-09
001 2016-01-01 JOHN K. FLAHERTY 2017-09-21 JOHN K. FLAHERTY 2017-09-21
001 2015-01-01 JOHN FLAHERTY 2016-09-29 JOHN FLAHERTY 2016-09-29
001 2014-01-01 JOHN FLAHERTY 2015-10-06 JOHN FLAHERTY 2015-10-06
001 2013-01-01 PATRICIA JOHNSON 2014-10-06 PATRICIA JOHNSON 2014-10-06
001 2012-01-01 PATRICIA M. JOHNSON, TRUSTEE
001 2011-01-01 PATRICIA M. JOHNSON, TRUSTEE
001 2010-01-01 PATRICIA M. JOHNSON, TRUSTEE
001 2009-01-01 PATRICIA M. JOHNSON, TRUSTEE

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed	Name of Company Sponsor	Date Sponsor Signed
001	2023-01-01	WILLIAM FLAHERTY	2024-10-01
001	2022-01-01	JOHN K FLAHERTY	2023-10-04	JOHN K FLAHERTY	2023-10-04
001	2021-01-01	JOHN K FLAHERTY	2022-10-04	JOHN K FLAHERTY	2022-10-04
001	2020-01-01	JOHN K FLAHERTY	2021-09-07	JOHN K FLAHERTY	2021-09-07
001	2019-01-01	JOHN K FLAHERTY	2020-10-02	JOHN K FLAHERTY	2020-10-02
001	2018-01-01	JOHN FLAHERTY	2019-09-30	JOHN FLAHERTY	2019-09-30
001	2017-01-01	JOHN FLAHERTY	2018-10-09	JOHN FLAHERTY	2018-10-09
001	2016-01-01	JOHN K. FLAHERTY	2017-09-21	JOHN K. FLAHERTY	2017-09-21
001	2015-01-01	JOHN FLAHERTY	2016-09-29	JOHN FLAHERTY	2016-09-29
001	2014-01-01	JOHN FLAHERTY	2015-10-06	JOHN FLAHERTY	2015-10-06
001	2013-01-01	PATRICIA JOHNSON	2014-10-06	PATRICIA JOHNSON	2014-10-06
001	2012-01-01	PATRICIA M. JOHNSON, TRUSTEE
001	2011-01-01	PATRICIA M. JOHNSON, TRUSTEE
001	2010-01-01	PATRICIA M. JOHNSON, TRUSTEE
001	2009-01-01	PATRICIA M. JOHNSON, TRUSTEE

Plan Statistics for JOHN K. FLAHERTY & ASSOCIATES, LTD. 401(K) PROFIT SHARING PLAN & TRUST

401k plan membership statisitcs for JOHN K. FLAHERTY & ASSOCIATES, LTD. 401(K) PROFIT SHARING PLAN & TRUST

Measure Date Value
2012: JOHN K. FLAHERTY & ASSOCIATES, LTD. 401(K) PROFIT SHARING PLAN & TRUST 2012 401k membership
Total participants, beginning-of-year 2012-01-01 10
Total number of active participants reported on line 7a of the Form 5500 2012-01-01 9
Number of other retired or separated participants entitled to future benefits 2012-01-01 0
Total of all active and inactive participants 2012-01-01 9
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2012-01-01 0
Total participants 2012-01-01 9
Number of participants with account balances 2012-01-01 9
2011: JOHN K. FLAHERTY & ASSOCIATES, LTD. 401(K) PROFIT SHARING PLAN & TRUST 2011 401k membership
Total participants, beginning-of-year 2011-01-01 10
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 10
Total of all active and inactive participants 2011-01-01 10
Total participants 2011-01-01 10
Number of participants with account balances 2011-01-01 10
2010: JOHN K. FLAHERTY & ASSOCIATES, LTD. 401(K) PROFIT SHARING PLAN & TRUST 2010 401k membership
Total participants, beginning-of-year 2010-01-01 10
Total number of active participants reported on line 7a of the Form 5500 2010-01-01 10
Total of all active and inactive participants 2010-01-01 10
Total participants 2010-01-01 10
Number of participants with account balances 2010-01-01 10
2009: JOHN K. FLAHERTY & ASSOCIATES, LTD. 401(K) PROFIT SHARING PLAN & TRUST 2009 401k membership
Total participants, beginning-of-year 2009-01-01 10
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 10
Total of all active and inactive participants 2009-01-01 10
Total participants 2009-01-01 10
Number of participants with account balances 2009-01-01 10

Measure	Date	Value
2012: JOHN K. FLAHERTY & ASSOCIATES, LTD. 401(K) PROFIT SHARING PLAN & TRUST 2012 401k membership
Total participants, beginning-of-year	2012-01-01	10
Total number of active participants reported on line 7a of the Form 5500	2012-01-01	9
Number of other retired or separated participants entitled to future benefits	2012-01-01	0
Total of all active and inactive participants	2012-01-01	9
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2012-01-01	0
Total participants	2012-01-01	9
Number of participants with account balances	2012-01-01	9
2011: JOHN K. FLAHERTY & ASSOCIATES, LTD. 401(K) PROFIT SHARING PLAN & TRUST 2011 401k membership
Total participants, beginning-of-year	2011-01-01	10
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	10
Total of all active and inactive participants	2011-01-01	10
Total participants	2011-01-01	10
Number of participants with account balances	2011-01-01	10
2010: JOHN K. FLAHERTY & ASSOCIATES, LTD. 401(K) PROFIT SHARING PLAN & TRUST 2010 401k membership
Total participants, beginning-of-year	2010-01-01	10
Total number of active participants reported on line 7a of the Form 5500	2010-01-01	10
Total of all active and inactive participants	2010-01-01	10
Total participants	2010-01-01	10
Number of participants with account balances	2010-01-01	10
2009: JOHN K. FLAHERTY & ASSOCIATES, LTD. 401(K) PROFIT SHARING PLAN & TRUST 2009 401k membership
Total participants, beginning-of-year	2009-01-01	10
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	10
Total of all active and inactive participants	2009-01-01	10
Total participants	2009-01-01	10
Number of participants with account balances	2009-01-01	10

Financial Data on JOHN K. FLAHERTY & ASSOCIATES, LTD. 401(K) PROFIT SHARING PLAN & TRUST

Measure	Date	Value
2012 : JOHN K. FLAHERTY & ASSOCIATES, LTD. 401(K) PROFIT SHARING PLAN & TRUST 2012 401k financial data
Total income from all sources	2012-12-31	$140,315
Expenses. Total of all expenses incurred	2012-12-31	$23,447
Benefits paid (including direct rollovers)	2012-12-31	$23,447
Total plan assets at end of year	2012-12-31	$1,735,311
Total plan assets at beginning of year	2012-12-31	$1,618,443
Other income received	2012-12-31	$10,315
Net income (gross income less expenses)	2012-12-31	$116,868
Net plan assets at end of year (total assets less liabilities)	2012-12-31	$1,735,311
Net plan assets at beginning of year (total assets less liabilities)	2012-12-31	$1,618,443
Total contributions received or receivable from employer(s)	2012-12-31	$130,000
2011 : JOHN K. FLAHERTY & ASSOCIATES, LTD. 401(K) PROFIT SHARING PLAN & TRUST 2011 401k financial data
Total income from all sources	2011-12-31	$181,204
Total plan assets at end of year	2011-12-31	$1,618,443
Total plan assets at beginning of year	2011-12-31	$1,437,239
Other income received	2011-12-31	$56,204
Net income (gross income less expenses)	2011-12-31	$181,204
Net plan assets at end of year (total assets less liabilities)	2011-12-31	$1,618,443
Net plan assets at beginning of year (total assets less liabilities)	2011-12-31	$1,437,239
Total contributions received or receivable from employer(s)	2011-12-31	$125,000
2010 : JOHN K. FLAHERTY & ASSOCIATES, LTD. 401(K) PROFIT SHARING PLAN & TRUST 2010 401k financial data
Total income from all sources	2010-12-31	$160,213
Total plan assets at end of year	2010-12-31	$1,437,239
Total plan assets at beginning of year	2010-12-31	$1,277,026
Other income received	2010-12-31	$35,213
Net income (gross income less expenses)	2010-12-31	$160,213
Net plan assets at end of year (total assets less liabilities)	2010-12-31	$1,437,239
Net plan assets at beginning of year (total assets less liabilities)	2010-12-31	$1,277,026
Total contributions received or receivable from employer(s)	2010-12-31	$125,000

Form 5500 Responses for JOHN K. FLAHERTY & ASSOCIATES, LTD. 401(K) PROFIT SHARING PLAN & TRUST

2012: JOHN K. FLAHERTY & ASSOCIATES, LTD. 401(K) PROFIT SHARING PLAN & TRUST 2012 form 5500 responses
2012-01-01	Type of plan entity	Single employer plan
2012-01-01	Plan funding arrangement – Trust	Yes
2012-01-01	Plan benefit arrangement - Trust	Yes
2011: JOHN K. FLAHERTY & ASSOCIATES, LTD. 401(K) PROFIT SHARING PLAN & TRUST 2011 form 5500 responses
2011-01-01	Type of plan entity	Single employer plan
2011-01-01	Plan funding arrangement – Trust	Yes
2011-01-01	Plan benefit arrangement - Trust	Yes
2010: JOHN K. FLAHERTY & ASSOCIATES, LTD. 401(K) PROFIT SHARING PLAN & TRUST 2010 form 5500 responses
2010-01-01	Type of plan entity	Single employer plan
2010-01-01	Plan funding arrangement – Trust	Yes
2010-01-01	Plan benefit arrangement - Trust	Yes
2009: JOHN K. FLAHERTY & ASSOCIATES, LTD. 401(K) PROFIT SHARING PLAN & TRUST 2009 form 5500 responses
2009-01-01	Type of plan entity	Single employer plan
2009-01-01	This submission is the final filing	No
2009-01-01	Plan funding arrangement – Trust	Yes
2009-01-01	Plan benefit arrangement - Trust	Yes

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Company Name:	JOHN K. FLAHERTY & ASSOCIATES, LTD.
Employer identification number (EIN):	363745114
NAIC Classification:	541211
NAIC Description:	Offices of Certified Public Accountants