401k Plan data: SMALL & ASSOCIATES 401K PLAN & TRUST plan

SMALL & ASSOCIATES 401K PLAN & TRUST 401k Plan overview

Plan Name	SMALL & ASSOCIATES 401K PLAN & TRUST
Plan identification number	001

SMALL & ASSOCIATES 401K 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
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.
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.
Prototype plan - A pension plan that is made available by a sponsor for adoption by employers; that is the subject of a favorable opinion or notification letter; and under which a seperate funding medium (for example, a seperate trust or custodial account) is established for the use of each adopting employer.
Plan sponsor(s) is (are) a member(s) of a controlled group (Code sections 414(b), (c), or (m)).

401k Sponsoring company profile

JOSEPH A. SMALL DBA SMALL & ASSOCIATES has sponsored the creation of one or more 401k plans.

Company Name: JOSEPH A. SMALL DBA SMALL & ASSOCIATES

Employer identification number (EIN): 710846222

NAIC Classification: 523120
NAIC Description: Securities Brokerage

Form 5500 Filing Information

Submission information for form 5500 for 401k plan SMALL & ASSOCIATES 401K PLAN & TRUST

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2023-01-01
001 2022-01-01
001 2021-01-01
001 2020-01-01
001 2019-01-01
001 2018-01-01 JAMES FARYEWICZ
001 2017-01-01 JOSEPH A SMALL
001 2016-01-01 HOGANTAYLOR LLP PREPARER 2017-07-27 HOGANTAYLOR LLP PREPARER 2017-07-27
001 2015-01-01 HOGANTAYLOR LLP PREPARER 2016-08-30 HOGANTAYLOR LLP PREPARER 2016-08-30
001 2014-01-01 HOGANTAYLOR LLP PREPARER 2015-07-19 HOGANTAYLOR LLP PREPARER 2015-07-19
001 2013-01-01
001 2012-01-01 JOSEPH A. SMALL
001 2011-01-01 JOSEPH A SMALL
001 2010-01-01 JOSEPH A SMALL
001 2009-01-01 JOSEPH A SMALL

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed	Name of Company Sponsor	Date Sponsor Signed
001	2023-01-01
001	2022-01-01
001	2021-01-01
001	2020-01-01
001	2019-01-01
001	2018-01-01	JAMES FARYEWICZ
001	2017-01-01	JOSEPH A SMALL
001	2016-01-01	HOGANTAYLOR LLP PREPARER	2017-07-27	HOGANTAYLOR LLP PREPARER	2017-07-27
001	2015-01-01	HOGANTAYLOR LLP PREPARER	2016-08-30	HOGANTAYLOR LLP PREPARER	2016-08-30
001	2014-01-01	HOGANTAYLOR LLP PREPARER	2015-07-19	HOGANTAYLOR LLP PREPARER	2015-07-19
001	2013-01-01
001	2012-01-01	JOSEPH A. SMALL
001	2011-01-01	JOSEPH A SMALL
001	2010-01-01	JOSEPH A SMALL
001	2009-01-01	JOSEPH A SMALL

Plan Statistics for SMALL & ASSOCIATES 401K PLAN & TRUST

401k plan membership statisitcs for SMALL & ASSOCIATES 401K PLAN & TRUST

Measure Date Value
2023: SMALL & ASSOCIATES 401K PLAN & TRUST 2023 401k membership
Total participants, beginning-of-year 2023-01-01 16
Total number of active participants reported on line 7a of the Form 5500 2023-01-01 17
Number of retired or separated participants receiving benefits 2023-01-01 0
Number of other retired or separated participants entitled to future benefits 2023-01-01 0
Total of all active and inactive participants 2023-01-01 17
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2023-01-01 0
Total participants 2023-01-01 17
Number of participants with account balances 2023-01-01 17
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2023-01-01 0
2022: SMALL & ASSOCIATES 401K PLAN & TRUST 2022 401k membership
Total participants, beginning-of-year 2022-01-01 15
Total number of active participants reported on line 7a of the Form 5500 2022-01-01 14
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 0
Total of all active and inactive participants 2022-01-01 14
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2022-01-01 0
Total participants 2022-01-01 14
Number of participants with account balances 2022-01-01 14
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2022-01-01 0
2021: SMALL & ASSOCIATES 401K PLAN & TRUST 2021 401k membership
Total participants, beginning-of-year 2021-01-01 14
Total number of active participants reported on line 7a of the Form 5500 2021-01-01 15
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 0
Total of all active and inactive participants 2021-01-01 15
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2021-01-01 0
Total participants 2021-01-01 15
Number of participants with account balances 2021-01-01 15
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2021-01-01 0
2020: SMALL & ASSOCIATES 401K PLAN & TRUST 2020 401k membership
Total participants, beginning-of-year 2020-01-01 13
Total number of active participants reported on line 7a of the Form 5500 2020-01-01 14
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 0
Total of all active and inactive participants 2020-01-01 14
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2020-01-01 0
Total participants 2020-01-01 14
Number of participants with account balances 2020-01-01 14
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2020-01-01 2
2019: SMALL & ASSOCIATES 401K PLAN & TRUST 2019 401k membership
Total participants, beginning-of-year 2019-01-01 12
Total number of active participants reported on line 7a of the Form 5500 2019-01-01 13
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 0
Total of all active and inactive participants 2019-01-01 13
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2019-01-01 0
Total participants 2019-01-01 13
Number of participants with account balances 2019-01-01 12
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2019-01-01 0
2018: SMALL & ASSOCIATES 401K PLAN & TRUST 2018 401k membership
Total participants, beginning-of-year 2018-01-01 11
Total number of active participants reported on line 7a of the Form 5500 2018-01-01 12
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 0
Total of all active and inactive participants 2018-01-01 12
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2018-01-01 0
Total participants 2018-01-01 12
Number of participants with account balances 2018-01-01 12
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2018-01-01 0
2017: SMALL & ASSOCIATES 401K PLAN & TRUST 2017 401k membership
Total participants, beginning-of-year 2017-01-01 11
Total number of active participants reported on line 7a of the Form 5500 2017-01-01 11
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 0
Total of all active and inactive participants 2017-01-01 11
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2017-01-01 0
Total participants 2017-01-01 11
Number of participants with account balances 2017-01-01 11
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2017-01-01 0
2013: SMALL & ASSOCIATES 401K PLAN & TRUST 2013 401k membership
Total participants, beginning-of-year 2013-01-01 11
Total number of active participants reported on line 7a of the Form 5500 2013-01-01 12
Total of all active and inactive participants 2013-01-01 12
Total participants 2013-01-01 12
Number of participants with account balances 2013-01-01 12
2012: SMALL & ASSOCIATES 401K PLAN & TRUST 2012 401k membership
Total participants, beginning-of-year 2012-01-01 11
Total number of active participants reported on line 7a of the Form 5500 2012-01-01 11
Total of all active and inactive participants 2012-01-01 11
Total participants 2012-01-01 11
Number of participants with account balances 2012-01-01 11
2011: SMALL & ASSOCIATES 401K 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 11
Total of all active and inactive participants 2011-01-01 11
Total participants 2011-01-01 11
Number of participants with account balances 2011-01-01 11
2010: SMALL & ASSOCIATES 401K PLAN & TRUST 2010 401k membership
Total participants, beginning-of-year 2010-01-01 9
Total number of active participants reported on line 7a of the Form 5500 2010-01-01 10
Number of other retired or separated participants entitled to future benefits 2010-01-01 2
Total of all active and inactive participants 2010-01-01 12
Total participants 2010-01-01 12
Number of participants with account balances 2010-01-01 10
2009: SMALL & ASSOCIATES 401K PLAN & TRUST 2009 401k membership
Total participants, beginning-of-year 2009-01-01 9
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 8
Number of other retired or separated participants entitled to future benefits 2009-01-01 1
Total of all active and inactive participants 2009-01-01 9
Total participants 2009-01-01 9
Number of participants with account balances 2009-01-01 9

Measure	Date	Value
2023: SMALL & ASSOCIATES 401K PLAN & TRUST 2023 401k membership
Total participants, beginning-of-year	2023-01-01	16
Total number of active participants reported on line 7a of the Form 5500	2023-01-01	17
Number of retired or separated participants receiving benefits	2023-01-01	0
Number of other retired or separated participants entitled to future benefits	2023-01-01	0
Total of all active and inactive participants	2023-01-01	17
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2023-01-01	0
Total participants	2023-01-01	17
Number of participants with account balances	2023-01-01	17
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2023-01-01	0
2022: SMALL & ASSOCIATES 401K PLAN & TRUST 2022 401k membership
Total participants, beginning-of-year	2022-01-01	15
Total number of active participants reported on line 7a of the Form 5500	2022-01-01	14
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	0
Total of all active and inactive participants	2022-01-01	14
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2022-01-01	0
Total participants	2022-01-01	14
Number of participants with account balances	2022-01-01	14
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2022-01-01	0
2021: SMALL & ASSOCIATES 401K PLAN & TRUST 2021 401k membership
Total participants, beginning-of-year	2021-01-01	14
Total number of active participants reported on line 7a of the Form 5500	2021-01-01	15
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	0
Total of all active and inactive participants	2021-01-01	15
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2021-01-01	0
Total participants	2021-01-01	15
Number of participants with account balances	2021-01-01	15
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2021-01-01	0
2020: SMALL & ASSOCIATES 401K PLAN & TRUST 2020 401k membership
Total participants, beginning-of-year	2020-01-01	13
Total number of active participants reported on line 7a of the Form 5500	2020-01-01	14
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	0
Total of all active and inactive participants	2020-01-01	14
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2020-01-01	0
Total participants	2020-01-01	14
Number of participants with account balances	2020-01-01	14
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2020-01-01	2
2019: SMALL & ASSOCIATES 401K PLAN & TRUST 2019 401k membership
Total participants, beginning-of-year	2019-01-01	12
Total number of active participants reported on line 7a of the Form 5500	2019-01-01	13
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	0
Total of all active and inactive participants	2019-01-01	13
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2019-01-01	0
Total participants	2019-01-01	13
Number of participants with account balances	2019-01-01	12
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2019-01-01	0
2018: SMALL & ASSOCIATES 401K PLAN & TRUST 2018 401k membership
Total participants, beginning-of-year	2018-01-01	11
Total number of active participants reported on line 7a of the Form 5500	2018-01-01	12
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	0
Total of all active and inactive participants	2018-01-01	12
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2018-01-01	0
Total participants	2018-01-01	12
Number of participants with account balances	2018-01-01	12
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2018-01-01	0
2017: SMALL & ASSOCIATES 401K PLAN & TRUST 2017 401k membership
Total participants, beginning-of-year	2017-01-01	11
Total number of active participants reported on line 7a of the Form 5500	2017-01-01	11
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	0
Total of all active and inactive participants	2017-01-01	11
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2017-01-01	0
Total participants	2017-01-01	11
Number of participants with account balances	2017-01-01	11
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2017-01-01	0
2013: SMALL & ASSOCIATES 401K PLAN & TRUST 2013 401k membership
Total participants, beginning-of-year	2013-01-01	11
Total number of active participants reported on line 7a of the Form 5500	2013-01-01	12
Total of all active and inactive participants	2013-01-01	12
Total participants	2013-01-01	12
Number of participants with account balances	2013-01-01	12
2012: SMALL & ASSOCIATES 401K PLAN & TRUST 2012 401k membership
Total participants, beginning-of-year	2012-01-01	11
Total number of active participants reported on line 7a of the Form 5500	2012-01-01	11
Total of all active and inactive participants	2012-01-01	11
Total participants	2012-01-01	11
Number of participants with account balances	2012-01-01	11
2011: SMALL & ASSOCIATES 401K 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	11
Total of all active and inactive participants	2011-01-01	11
Total participants	2011-01-01	11
Number of participants with account balances	2011-01-01	11
2010: SMALL & ASSOCIATES 401K PLAN & TRUST 2010 401k membership
Total participants, beginning-of-year	2010-01-01	9
Total number of active participants reported on line 7a of the Form 5500	2010-01-01	10
Number of other retired or separated participants entitled to future benefits	2010-01-01	2
Total of all active and inactive participants	2010-01-01	12
Total participants	2010-01-01	12
Number of participants with account balances	2010-01-01	10
2009: SMALL & ASSOCIATES 401K PLAN & TRUST 2009 401k membership
Total participants, beginning-of-year	2009-01-01	9
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	8
Number of other retired or separated participants entitled to future benefits	2009-01-01	1
Total of all active and inactive participants	2009-01-01	9
Total participants	2009-01-01	9
Number of participants with account balances	2009-01-01	9

Financial Data on SMALL & ASSOCIATES 401K PLAN & TRUST

Measure	Date	Value
2023 : SMALL & ASSOCIATES 401K PLAN & TRUST 2023 401k financial data
Transfers to/from the plan	2023-12-31	$0
Total plan liabilities at end of year	2023-12-31	$0
Total plan liabilities at beginning of year	2023-12-31	$0
Total income from all sources	2023-12-31	$1,548,705
Expenses. Total of all expenses incurred	2023-12-31	$202,365
Benefits paid (including direct rollovers)	2023-12-31	$201,590
Total plan assets at end of year	2023-12-31	$5,207,182
Total plan assets at beginning of year	2023-12-31	$3,860,842
Value of fidelity bond covering the plan	2023-12-31	$0
Total contributions received or receivable from participants	2023-12-31	$210,856
Expenses. Other expenses not covered elsewhere	2023-12-31	$0
Contributions received from other sources (not participants or employers)	2023-12-31	$0
Other income received	2023-12-31	$1,230,659
Net income (gross income less expenses)	2023-12-31	$1,346,340
Net plan assets at end of year (total assets less liabilities)	2023-12-31	$5,207,182
Net plan assets at beginning of year (total assets less liabilities)	2023-12-31	$3,860,842
Assets. Value of participant loans	2023-12-31	$70,057
Total contributions received or receivable from employer(s)	2023-12-31	$107,190
Value of certain deemed distributions of participant loans	2023-12-31	$0
Value of corrective distributions	2023-12-31	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2023-12-31	$775
2022 : SMALL & ASSOCIATES 401K PLAN & TRUST 2022 401k financial data
Transfers to/from the plan	2022-12-31	$0
Total plan liabilities at end of year	2022-12-31	$0
Total plan liabilities at beginning of year	2022-12-31	$0
Total income from all sources	2022-12-31	$-891,793
Expenses. Total of all expenses incurred	2022-12-31	$32,694
Benefits paid (including direct rollovers)	2022-12-31	$32,219
Total plan assets at end of year	2022-12-31	$3,860,842
Total plan assets at beginning of year	2022-12-31	$4,785,329
Value of fidelity bond covering the plan	2022-12-31	$500,000
Assets. Value of tangible personal property	2022-12-31	$0
Total contributions received or receivable from participants	2022-12-31	$214,723
Assets. Value of loans (other than to participants)	2022-12-31	$0
Expenses. Other expenses not covered elsewhere	2022-12-31	$0
Contributions received from other sources (not participants or employers)	2022-12-31	$0
Other income received	2022-12-31	$-1,200,552
Noncash contributions received	2022-12-31	$0
Net income (gross income less expenses)	2022-12-31	$-924,487
Net plan assets at end of year (total assets less liabilities)	2022-12-31	$3,860,842
Net plan assets at beginning of year (total assets less liabilities)	2022-12-31	$4,785,329
Assets. Value of participant loans	2022-12-31	$47,500
Assets. Value of assets in partnership/joint-venture interests	2022-12-31	$0
Assets. Value of real-estate (other than employer real property)	2022-12-31	$0
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	2022-12-31	$0
Assets. Value of employer securities	2022-12-31	$0
Assets. Value of employer real property	2022-12-31	$0
Total contributions received or receivable from employer(s)	2022-12-31	$94,036
Value of certain deemed distributions of participant loans	2022-12-31	$0
Value of corrective distributions	2022-12-31	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2022-12-31	$475
2021 : SMALL & ASSOCIATES 401K PLAN & TRUST 2021 401k financial data
Transfers to/from the plan	2021-12-31	$0
Total plan liabilities at end of year	2021-12-31	$0
Total plan liabilities at beginning of year	2021-12-31	$0
Total income from all sources	2021-12-31	$1,046,010
Expenses. Total of all expenses incurred	2021-12-31	$1,003
Benefits paid (including direct rollovers)	2021-12-31	$465
Total plan assets at end of year	2021-12-31	$4,785,329
Total plan assets at beginning of year	2021-12-31	$3,740,322
Value of fidelity bond covering the plan	2021-12-31	$260,000
Assets. Value of tangible personal property	2021-12-31	$0
Total contributions received or receivable from participants	2021-12-31	$199,326
Assets. Value of loans (other than to participants)	2021-12-31	$0
Expenses. Other expenses not covered elsewhere	2021-12-31	$0
Contributions received from other sources (not participants or employers)	2021-12-31	$1
Other income received	2021-12-31	$759,150
Noncash contributions received	2021-12-31	$0
Net income (gross income less expenses)	2021-12-31	$1,045,007
Net plan assets at end of year (total assets less liabilities)	2021-12-31	$4,785,329
Net plan assets at beginning of year (total assets less liabilities)	2021-12-31	$3,740,322
Assets. Value of participant loans	2021-12-31	$64,428
Assets. Value of assets in partnership/joint-venture interests	2021-12-31	$0
Assets. Value of real-estate (other than employer real property)	2021-12-31	$0
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	2021-12-31	$0
Assets. Value of employer securities	2021-12-31	$0
Assets. Value of employer real property	2021-12-31	$0
Total contributions received or receivable from employer(s)	2021-12-31	$87,533
Value of certain deemed distributions of participant loans	2021-12-31	$0
Value of corrective distributions	2021-12-31	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2021-12-31	$538
2020 : SMALL & ASSOCIATES 401K PLAN & TRUST 2020 401k financial data
Transfers to/from the plan	2020-12-31	$0
Total plan liabilities at end of year	2020-12-31	$0
Total plan liabilities at beginning of year	2020-12-31	$0
Total income from all sources	2020-12-31	$773,222
Expenses. Total of all expenses incurred	2020-12-31	$2,395
Benefits paid (including direct rollovers)	2020-12-31	$2,145
Total plan assets at end of year	2020-12-31	$3,740,322
Total plan assets at beginning of year	2020-12-31	$2,969,495
Value of fidelity bond covering the plan	2020-12-31	$260,000
Assets. Value of tangible personal property	2020-12-31	$0
Total contributions received or receivable from participants	2020-12-31	$182,558
Assets. Value of loans (other than to participants)	2020-12-31	$0
Expenses. Other expenses not covered elsewhere	2020-12-31	$0
Contributions received from other sources (not participants or employers)	2020-12-31	$19,086
Other income received	2020-12-31	$488,251
Noncash contributions received	2020-12-31	$0
Net income (gross income less expenses)	2020-12-31	$770,827
Net plan assets at end of year (total assets less liabilities)	2020-12-31	$3,740,322
Net plan assets at beginning of year (total assets less liabilities)	2020-12-31	$2,969,495
Assets. Value of participant loans	2020-12-31	$20,085
Assets. Value of assets in partnership/joint-venture interests	2020-12-31	$0
Assets. Value of real-estate (other than employer real property)	2020-12-31	$0
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	2020-12-31	$0
Assets. Value of employer securities	2020-12-31	$0
Assets. Value of employer real property	2020-12-31	$0
Total contributions received or receivable from employer(s)	2020-12-31	$83,327
Value of certain deemed distributions of participant loans	2020-12-31	$0
Value of corrective distributions	2020-12-31	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2020-12-31	$250
2019 : SMALL & ASSOCIATES 401K PLAN & TRUST 2019 401k financial data
Transfers to/from the plan	2019-12-31	$0
Total plan liabilities at end of year	2019-12-31	$0
Total plan liabilities at beginning of year	2019-12-31	$0
Total income from all sources	2019-12-31	$995,193
Expenses. Total of all expenses incurred	2019-12-31	$213
Benefits paid (including direct rollovers)	2019-12-31	$0
Total plan assets at end of year	2019-12-31	$2,969,495
Total plan assets at beginning of year	2019-12-31	$1,974,515
Value of fidelity bond covering the plan	2019-12-31	$250,000
Total contributions received or receivable from participants	2019-12-31	$167,649
Expenses. Other expenses not covered elsewhere	2019-12-31	$0
Contributions received from other sources (not participants or employers)	2019-12-31	$0
Other income received	2019-12-31	$738,850
Noncash contributions received	2019-12-31	$0
Net income (gross income less expenses)	2019-12-31	$994,980
Net plan assets at end of year (total assets less liabilities)	2019-12-31	$2,969,495
Net plan assets at beginning of year (total assets less liabilities)	2019-12-31	$1,974,515
Assets. Value of participant loans	2019-12-31	$25,633
Total contributions received or receivable from employer(s)	2019-12-31	$88,694
Value of certain deemed distributions of participant loans	2019-12-31	$0
Value of corrective distributions	2019-12-31	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2019-12-31	$213
2018 : SMALL & ASSOCIATES 401K PLAN & TRUST 2018 401k financial data
Transfers to/from the plan	2018-12-31	$0
Total plan liabilities at end of year	2018-12-31	$0
Total plan liabilities at beginning of year	2018-12-31	$0
Total income from all sources	2018-12-31	$12,857
Expenses. Total of all expenses incurred	2018-12-31	$181
Benefits paid (including direct rollovers)	2018-12-31	$0
Total plan assets at end of year	2018-12-31	$1,974,515
Total plan assets at beginning of year	2018-12-31	$1,961,839
Value of fidelity bond covering the plan	2018-12-31	$250,000
Total contributions received or receivable from participants	2018-12-31	$123,408
Expenses. Other expenses not covered elsewhere	2018-12-31	$0
Contributions received from other sources (not participants or employers)	2018-12-31	$18
Other income received	2018-12-31	$-181,645
Noncash contributions received	2018-12-31	$0
Net income (gross income less expenses)	2018-12-31	$12,676
Net plan assets at end of year (total assets less liabilities)	2018-12-31	$1,974,515
Net plan assets at beginning of year (total assets less liabilities)	2018-12-31	$1,961,839
Assets. Value of participant loans	2018-12-31	$10,000
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	2018-12-31	$0
Total contributions received or receivable from employer(s)	2018-12-31	$71,076
Value of certain deemed distributions of participant loans	2018-12-31	$0
Value of corrective distributions	2018-12-31	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2018-12-31	$181
2017 : SMALL & ASSOCIATES 401K PLAN & TRUST 2017 401k financial data
Transfers to/from the plan	2017-12-31	$0
Total plan liabilities at end of year	2017-12-31	$0
Total plan liabilities at beginning of year	2017-12-31	$0
Total income from all sources	2017-12-31	$496,660
Expenses. Total of all expenses incurred	2017-12-31	$0
Benefits paid (including direct rollovers)	2017-12-31	$0
Total plan assets at end of year	2017-12-31	$1,961,839
Total plan assets at beginning of year	2017-12-31	$1,465,179
Value of fidelity bond covering the plan	2017-12-31	$100,000
Total contributions received or receivable from participants	2017-12-31	$96,787
Expenses. Other expenses not covered elsewhere	2017-12-31	$0
Contributions received from other sources (not participants or employers)	2017-12-31	$0
Other income received	2017-12-31	$365,334
Noncash contributions received	2017-12-31	$0
Net income (gross income less expenses)	2017-12-31	$496,660
Net plan assets at end of year (total assets less liabilities)	2017-12-31	$1,961,839
Net plan assets at beginning of year (total assets less liabilities)	2017-12-31	$1,465,179
Total contributions received or receivable from employer(s)	2017-12-31	$34,539
Value of certain deemed distributions of participant loans	2017-12-31	$0
Value of corrective distributions	2017-12-31	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2017-12-31	$0
2013 : SMALL & ASSOCIATES 401K PLAN & TRUST 2013 401k financial data
Total income from all sources	2013-12-31	$260,863
Total plan assets at end of year	2013-12-31	$875,692
Total plan assets at beginning of year	2013-12-31	$614,829
Value of fidelity bond covering the plan	2013-12-31	$100,000
Total contributions received or receivable from participants	2013-12-31	$84,563
Other income received	2013-12-31	$109,681
Net income (gross income less expenses)	2013-12-31	$260,863
Net plan assets at end of year (total assets less liabilities)	2013-12-31	$875,692
Net plan assets at beginning of year (total assets less liabilities)	2013-12-31	$614,829
Total contributions received or receivable from employer(s)	2013-12-31	$66,619
2012 : SMALL & ASSOCIATES 401K PLAN & TRUST 2012 401k financial data
Total income from all sources	2012-12-31	$184,946
Total plan assets at end of year	2012-12-31	$614,829
Total plan assets at beginning of year	2012-12-31	$429,883
Value of fidelity bond covering the plan	2012-12-31	$100,000
Total contributions received or receivable from participants	2012-12-31	$68,712
Other income received	2012-12-31	$55,265
Net income (gross income less expenses)	2012-12-31	$184,946
Net plan assets at end of year (total assets less liabilities)	2012-12-31	$614,829
Net plan assets at beginning of year (total assets less liabilities)	2012-12-31	$429,883
Total contributions received or receivable from employer(s)	2012-12-31	$60,969
2011 : SMALL & ASSOCIATES 401K PLAN & TRUST 2011 401k financial data
Total income from all sources	2011-12-31	$50,409
Expenses. Total of all expenses incurred	2011-12-31	$4,877
Benefits paid (including direct rollovers)	2011-12-31	$4,877
Total plan assets at end of year	2011-12-31	$429,883
Total plan assets at beginning of year	2011-12-31	$384,351
Value of fidelity bond covering the plan	2011-12-31	$100,000
Total contributions received or receivable from participants	2011-12-31	$63,581
Other income received	2011-12-31	$-69,709
Net income (gross income less expenses)	2011-12-31	$45,532
Net plan assets at end of year (total assets less liabilities)	2011-12-31	$429,883
Net plan assets at beginning of year (total assets less liabilities)	2011-12-31	$384,351
Total contributions received or receivable from employer(s)	2011-12-31	$56,537
2010 : SMALL & ASSOCIATES 401K PLAN & TRUST 2010 401k financial data
Total income from all sources	2010-12-31	$137,629
Total plan assets at end of year	2010-12-31	$384,351
Total plan assets at beginning of year	2010-12-31	$246,722
Value of fidelity bond covering the plan	2010-12-31	$35,000
Total contributions received or receivable from participants	2010-12-31	$39,226
Other income received	2010-12-31	$54,809
Net income (gross income less expenses)	2010-12-31	$137,629
Net plan assets at end of year (total assets less liabilities)	2010-12-31	$384,351
Net plan assets at beginning of year (total assets less liabilities)	2010-12-31	$246,722
Total contributions received or receivable from employer(s)	2010-12-31	$43,594

Form 5500 Responses for SMALL & ASSOCIATES 401K PLAN & TRUST

2023: SMALL & ASSOCIATES 401K PLAN & TRUST 2023 form 5500 responses
2023-01-01	Type of plan entity	Single employer plan
2023-01-01	Submission has been amended	No
2023-01-01	This submission is the final filing	No
2023-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2023-01-01	Plan is a collectively bargained plan	No
2023-01-01	Plan funding arrangement – Trust	Yes
2023-01-01	Plan benefit arrangement - Trust	Yes
2022: SMALL & ASSOCIATES 401K PLAN & TRUST 2022 form 5500 responses
2022-01-01	Type of plan entity	Single employer plan
2022-01-01	This submission is the final filing	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: SMALL & ASSOCIATES 401K PLAN & TRUST 2021 form 5500 responses
2021-01-01	Type of plan entity	Single employer plan
2021-01-01	This submission is the final filing	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: SMALL & ASSOCIATES 401K PLAN & TRUST 2020 form 5500 responses
2020-01-01	Type of plan entity	Single 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: SMALL & ASSOCIATES 401K PLAN & TRUST 2019 form 5500 responses
2019-01-01	Type of plan entity	Single 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 – Trust	Yes
2019-01-01	Plan benefit arrangement - Trust	Yes
2018: SMALL & ASSOCIATES 401K PLAN & TRUST 2018 form 5500 responses
2018-01-01	Type of plan entity	Single 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 – Trust	Yes
2018-01-01	Plan benefit arrangement - Trust	Yes
2017: SMALL & ASSOCIATES 401K PLAN & TRUST 2017 form 5500 responses
2017-01-01	Type of plan entity	Single 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 – Trust	Yes
2017-01-01	Plan benefit arrangement - Trust	Yes
2013: SMALL & ASSOCIATES 401K PLAN & TRUST 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: SMALL & ASSOCIATES 401K 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: SMALL & ASSOCIATES 401K 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: SMALL & ASSOCIATES 401K 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: SMALL & ASSOCIATES 401K PLAN & TRUST 2009 form 5500 responses
2009-01-01	Type of plan entity	Single employer plan
2009-01-01	Plan funding arrangement – Trust	Yes
2009-01-01	Plan benefit arrangement - Trust	Yes

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Company Name:	JOSEPH A. SMALL DBA SMALL & ASSOCIATES
Employer identification number (EIN):	710846222
NAIC Classification:	523120
NAIC Description:	Securities Brokerage