401k Plan data: UNION SQUARE ADVISORS, LLC RETIREMENT PLAN plan

UNION SQUARE ADVISORS, LLC RETIREMENT PLAN 401k Plan overview

Plan Name	UNION SQUARE ADVISORS, LLC RETIREMENT PLAN
Plan identification number	002

UNION SQUARE ADVISORS, LLC RETIREMENT 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.
Plan sponsor(s) is (are) a member(s) of a controlled group (Code sections 414(b), (c), or (m)).

401k Sponsoring company profile

UNION SQUARE ADVISORS LLC has sponsored the creation of one or more 401k plans.

Company Name: UNION SQUARE ADVISORS LLC

Employer identification number (EIN): 562592217

NAIC Classification: 523110
NAIC Description: Investment Banking and Securities Dealing

Additional information about UNION SQUARE ADVISORS LLC

Jurisdiction of Incorporation: New York Department of State

Incorporation Date: 2002-02-11

Company Identification Number: 2730116

Legal Registered Office Address: 1308 SECOND AVENUE
APARTMENT 4S
NEW YORK
United States of America (USA)
10021

More information about UNION SQUARE ADVISORS LLC

Form 5500 Filing Information

Submission information for form 5500 for 401k plan UNION SQUARE ADVISORS, LLC RETIREMENT PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
002 2023-01-01 HARRIET BRITT 2024-07-29
002 2022-01-01 HARRIET BRITT 2023-05-04
002 2021-01-01 HARRIET BRITT 2022-09-06
002 2020-01-01 HARRIET BRITT 2021-05-19
002 2019-01-01 HARRIET BRITT 2020-06-19
002 2018-01-01 HARRIET BRITT 2019-07-03
002 2017-01-01 HARRIET BRITT 2021-02-22
002 2016-09-01 DENNIS ARCILLA

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed
002	2023-01-01	HARRIET BRITT	2024-07-29
002	2022-01-01	HARRIET BRITT	2023-05-04
002	2021-01-01	HARRIET BRITT	2022-09-06
002	2020-01-01	HARRIET BRITT	2021-05-19
002	2019-01-01	HARRIET BRITT	2020-06-19
002	2018-01-01	HARRIET BRITT	2019-07-03
002	2017-01-01	HARRIET BRITT	2021-02-22
002	2016-09-01	DENNIS ARCILLA

Plan Statistics for UNION SQUARE ADVISORS, LLC RETIREMENT PLAN

401k plan membership statisitcs for UNION SQUARE ADVISORS, LLC RETIREMENT PLAN

Measure Date Value
2016: UNION SQUARE ADVISORS, LLC RETIREMENT PLAN 2016 401k membership
Total participants, beginning-of-year 2016-09-01 30
Total number of active participants reported on line 7a of the Form 5500 2016-09-01 30
Number of retired or separated participants receiving benefits 2016-09-01 0
Number of other retired or separated participants entitled to future benefits 2016-09-01 7
Total of all active and inactive participants 2016-09-01 37
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2016-09-01 0
Total participants 2016-09-01 37
Number of participants with account balances 2016-09-01 28
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2016-09-01 0

Measure	Date	Value
2016: UNION SQUARE ADVISORS, LLC RETIREMENT PLAN 2016 401k membership
Total participants, beginning-of-year	2016-09-01	30
Total number of active participants reported on line 7a of the Form 5500	2016-09-01	30
Number of retired or separated participants receiving benefits	2016-09-01	0
Number of other retired or separated participants entitled to future benefits	2016-09-01	7
Total of all active and inactive participants	2016-09-01	37
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2016-09-01	0
Total participants	2016-09-01	37
Number of participants with account balances	2016-09-01	28
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2016-09-01	0

Financial Data on UNION SQUARE ADVISORS, LLC RETIREMENT PLAN

Measure	Date	Value
2016 : UNION SQUARE ADVISORS, LLC RETIREMENT PLAN 2016 401k financial data
Transfers to/from the plan	2016-12-31	$2,172,075
Total plan liabilities at end of year	2016-12-31	$0
Total plan liabilities at beginning of year	2016-12-31	$0
Total income from all sources	2016-12-31	$119,321
Expenses. Total of all expenses incurred	2016-12-31	$72,336
Benefits paid (including direct rollovers)	2016-12-31	$69,286
Total plan assets at end of year	2016-12-31	$2,219,060
Total plan assets at beginning of year	2016-12-31	$0
Value of fidelity bond covering the plan	2016-12-31	$100,000
Total contributions received or receivable from participants	2016-12-31	$77,620
Expenses. Other expenses not covered elsewhere	2016-12-31	$0
Contributions received from other sources (not participants or employers)	2016-12-31	$0
Other income received	2016-12-31	$41,701
Noncash contributions received	2016-12-31	$0
Net income (gross income less expenses)	2016-12-31	$46,985
Net plan assets at end of year (total assets less liabilities)	2016-12-31	$2,219,060
Net plan assets at beginning of year (total assets less liabilities)	2016-12-31	$0
Assets. Value of participant loans	2016-12-31	$17,320
Value of participant contributions where there was a failure to transmit these to the plan within the time period described in 29 CFR 2510.3-102	2016-12-31	$0
Total contributions received or receivable from employer(s)	2016-12-31	$0
Value of certain deemed distributions of participant loans	2016-12-31	$0
Value of corrective distributions	2016-12-31	$2,954
Expenses. Administrative service providers (salaries,fees and commissions)	2016-12-31	$96

Form 5500 Responses for UNION SQUARE ADVISORS, LLC RETIREMENT PLAN

2016: UNION SQUARE ADVISORS, LLC RETIREMENT PLAN 2016 form 5500 responses
2016-09-01	Type of plan entity	Single employer plan
2016-09-01	First time form 5500 has been submitted	Yes
2016-09-01	Submission has been amended	No
2016-09-01	This submission is the final filing	No
2016-09-01	This return/report is a short plan year return/report (less than 12 months)	Yes
2016-09-01	Plan is a collectively bargained plan	No
2016-09-01	Plan funding arrangement – Trust	Yes
2016-09-01	Plan benefit arrangement - Trust	Yes

Potentially related plans

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Company Name:	UNION SQUARE ADVISORS LLC
Employer identification number (EIN):	562592217
NAIC Classification:	523110
NAIC Description:	Investment Banking and Securities Dealing

Jurisdiction of Incorporation:	New York Department of State
Incorporation Date:	2002-02-11
Company Identification Number:	2730116
Legal Registered Office Address:	1308 SECOND AVENUE APARTMENT 4S NEW YORK United States of America (USA) 10021