401k Plan data: WESTWIND CAPITAL 401(K) PROFIT SHARING PLAN & TRUST plan

WESTWIND CAPITAL 401(K) PROFIT SHARING PLAN & TRUST 401k Plan overview

Plan Name	WESTWIND CAPITAL 401(K) PROFIT SHARING PLAN & TRUST
Plan identification number	001

WESTWIND CAPITAL 401(K) PROFIT SHARING PLAN & TRUST Benefits

401k Plan Type

Defined Contribution Pension

Plan Features/Benefits

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.
Plan sponsor(s) received services of leased employees, as defined in Code section 414(n), during the plan year.

401k Sponsoring company profile

WESTWIND CAPITAL, INC. has sponsored the creation of one or more 401k plans.

Company Name: WESTWIND CAPITAL, INC.

Employer identification number (EIN): 850408533

NAIC Classification: 523120
NAIC Description: Securities Brokerage

Form 5500 Filing Information

Submission information for form 5500 for 401k plan WESTWIND CAPITAL 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 ERIC WALTON 2024-08-29 ERIC WALTON 2024-08-30
001 2022-01-01 ERIC WALTON 2023-07-21
001 2021-01-01 ERIC WALTON 2022-08-10
001 2020-01-01 ERIC WALTON 2021-08-02
001 2019-01-01 ERIC WALTON 2020-06-15
001 2018-01-01 ERIC WALTON 2019-07-16
001 2017-01-01 ERIC WALTON 2018-07-11
001 2016-01-01 ERIC WALTON 2017-10-03
001 2015-01-01 ERIC WALTON
001 2014-01-01 SHEILA WALTON
001 2013-01-01 SHEILA WALTON
001 2012-01-01 SHIELA WALTON
001 2011-01-01 SHIELA WALTON

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed	Name of Company Sponsor	Date Sponsor Signed
001	2023-01-01	ERIC WALTON	2024-08-29	ERIC WALTON	2024-08-30
001	2022-01-01	ERIC WALTON	2023-07-21
001	2021-01-01	ERIC WALTON	2022-08-10
001	2020-01-01	ERIC WALTON	2021-08-02
001	2019-01-01	ERIC WALTON	2020-06-15
001	2018-01-01	ERIC WALTON	2019-07-16
001	2017-01-01	ERIC WALTON	2018-07-11
001	2016-01-01	ERIC WALTON	2017-10-03
001	2015-01-01	ERIC WALTON
001	2014-01-01	SHEILA WALTON
001	2013-01-01	SHEILA WALTON
001	2012-01-01	SHIELA WALTON
001	2011-01-01	SHIELA WALTON

Plan Statistics for WESTWIND CAPITAL 401(K) PROFIT SHARING PLAN & TRUST

401k plan membership statisitcs for WESTWIND CAPITAL 401(K) PROFIT SHARING PLAN & TRUST

Measure Date Value
2015: WESTWIND CAPITAL 401(K) PROFIT SHARING PLAN & TRUST 2015 401k membership
Total participants, beginning-of-year 2015-01-01 6
Total number of active participants reported on line 7a of the Form 5500 2015-01-01 5
Number of retired or separated participants receiving benefits 2015-01-01 0
Number of other retired or separated participants entitled to future benefits 2015-01-01 1
Total of all active and inactive participants 2015-01-01 6
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2015-01-01 0
Total participants 2015-01-01 6
Number of participants with account balances 2015-01-01 6
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2015-01-01 0
2014: WESTWIND CAPITAL 401(K) PROFIT SHARING PLAN & TRUST 2014 401k membership
Total participants, beginning-of-year 2014-01-01 6
Total number of active participants reported on line 7a of the Form 5500 2014-01-01 5
Number of retired or separated participants receiving benefits 2014-01-01 0
Number of other retired or separated participants entitled to future benefits 2014-01-01 1
Total of all active and inactive participants 2014-01-01 6
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2014-01-01 0
Total participants 2014-01-01 6
Number of participants with account balances 2014-01-01 6
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2014-01-01 0
2013: WESTWIND CAPITAL 401(K) PROFIT SHARING PLAN & TRUST 2013 401k membership
Total participants, beginning-of-year 2013-01-01 6
Total number of active participants reported on line 7a of the Form 5500 2013-01-01 5
Number of retired or separated participants receiving benefits 2013-01-01 0
Number of other retired or separated participants entitled to future benefits 2013-01-01 1
Total of all active and inactive participants 2013-01-01 6
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2013-01-01 0
Total participants 2013-01-01 6
Number of participants with account balances 2013-01-01 6
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2013-01-01 0
2012: WESTWIND CAPITAL 401(K) PROFIT SHARING 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 5
Number of retired or separated participants receiving benefits 2012-01-01 0
Number of other retired or separated participants entitled to future benefits 2012-01-01 1
Total of all active and inactive participants 2012-01-01 6
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2012-01-01 0
Total participants 2012-01-01 6
Number of participants with account balances 2012-01-01 6
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2012-01-01 0
2011: WESTWIND CAPITAL 401(K) PROFIT SHARING PLAN & TRUST 2011 401k membership
Total participants, beginning-of-year 2011-01-01 13
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 6
Number of retired or separated participants receiving benefits 2011-01-01 0
Number of other retired or separated participants entitled to future benefits 2011-01-01 5
Total of all active and inactive participants 2011-01-01 11
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-01-01 0
Total participants 2011-01-01 11
Number of participants with account balances 2011-01-01 10
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-01-01 0

Measure	Date	Value
2015: WESTWIND CAPITAL 401(K) PROFIT SHARING PLAN & TRUST 2015 401k membership
Total participants, beginning-of-year	2015-01-01	6
Total number of active participants reported on line 7a of the Form 5500	2015-01-01	5
Number of retired or separated participants receiving benefits	2015-01-01	0
Number of other retired or separated participants entitled to future benefits	2015-01-01	1
Total of all active and inactive participants	2015-01-01	6
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2015-01-01	0
Total participants	2015-01-01	6
Number of participants with account balances	2015-01-01	6
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2015-01-01	0
2014: WESTWIND CAPITAL 401(K) PROFIT SHARING PLAN & TRUST 2014 401k membership
Total participants, beginning-of-year	2014-01-01	6
Total number of active participants reported on line 7a of the Form 5500	2014-01-01	5
Number of retired or separated participants receiving benefits	2014-01-01	0
Number of other retired or separated participants entitled to future benefits	2014-01-01	1
Total of all active and inactive participants	2014-01-01	6
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2014-01-01	0
Total participants	2014-01-01	6
Number of participants with account balances	2014-01-01	6
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2014-01-01	0
2013: WESTWIND CAPITAL 401(K) PROFIT SHARING PLAN & TRUST 2013 401k membership
Total participants, beginning-of-year	2013-01-01	6
Total number of active participants reported on line 7a of the Form 5500	2013-01-01	5
Number of retired or separated participants receiving benefits	2013-01-01	0
Number of other retired or separated participants entitled to future benefits	2013-01-01	1
Total of all active and inactive participants	2013-01-01	6
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2013-01-01	0
Total participants	2013-01-01	6
Number of participants with account balances	2013-01-01	6
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2013-01-01	0
2012: WESTWIND CAPITAL 401(K) PROFIT SHARING 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	5
Number of retired or separated participants receiving benefits	2012-01-01	0
Number of other retired or separated participants entitled to future benefits	2012-01-01	1
Total of all active and inactive participants	2012-01-01	6
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2012-01-01	0
Total participants	2012-01-01	6
Number of participants with account balances	2012-01-01	6
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2012-01-01	0
2011: WESTWIND CAPITAL 401(K) PROFIT SHARING PLAN & TRUST 2011 401k membership
Total participants, beginning-of-year	2011-01-01	13
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	6
Number of retired or separated participants receiving benefits	2011-01-01	0
Number of other retired or separated participants entitled to future benefits	2011-01-01	5
Total of all active and inactive participants	2011-01-01	11
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-01-01	0
Total participants	2011-01-01	11
Number of participants with account balances	2011-01-01	10
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-01-01	0

Financial Data on WESTWIND CAPITAL 401(K) PROFIT SHARING PLAN & TRUST

Measure	Date	Value
2015 : WESTWIND CAPITAL 401(K) PROFIT SHARING PLAN & TRUST 2015 401k financial data
Total income from all sources	2015-12-31	$113,333
Total plan assets at end of year	2015-12-31	$1,538,758
Total plan assets at beginning of year	2015-12-31	$1,425,425
Value of fidelity bond covering the plan	2015-12-31	$150,000
Total contributions received or receivable from participants	2015-12-31	$82,165
Other income received	2015-12-31	$5,615
Net income (gross income less expenses)	2015-12-31	$113,333
Net plan assets at end of year (total assets less liabilities)	2015-12-31	$1,538,758
Net plan assets at beginning of year (total assets less liabilities)	2015-12-31	$1,425,425
Total contributions received or receivable from employer(s)	2015-12-31	$25,553
2014 : WESTWIND CAPITAL 401(K) PROFIT SHARING PLAN & TRUST 2014 401k financial data
Total income from all sources	2014-12-31	$153,104
Total plan assets at end of year	2014-12-31	$1,425,425
Total plan assets at beginning of year	2014-12-31	$1,272,321
Value of fidelity bond covering the plan	2014-12-31	$95,000
Total contributions received or receivable from participants	2014-12-31	$79,812
Other income received	2014-12-31	$48,903
Net income (gross income less expenses)	2014-12-31	$153,104
Net plan assets at end of year (total assets less liabilities)	2014-12-31	$1,425,425
Net plan assets at beginning of year (total assets less liabilities)	2014-12-31	$1,272,321
Total contributions received or receivable from employer(s)	2014-12-31	$24,389
2013 : WESTWIND CAPITAL 401(K) PROFIT SHARING PLAN & TRUST 2013 401k financial data
Total income from all sources	2013-12-31	$372,667
Expenses. Total of all expenses incurred	2013-12-31	$76
Total plan assets at end of year	2013-12-31	$1,272,321
Total plan assets at beginning of year	2013-12-31	$899,730
Value of fidelity bond covering the plan	2013-12-31	$95,000
Total contributions received or receivable from participants	2013-12-31	$79,629
Other income received	2013-12-31	$269,764
Net income (gross income less expenses)	2013-12-31	$372,591
Net plan assets at end of year (total assets less liabilities)	2013-12-31	$1,272,321
Net plan assets at beginning of year (total assets less liabilities)	2013-12-31	$899,730
Total contributions received or receivable from employer(s)	2013-12-31	$23,274
Value of corrective distributions	2013-12-31	$76
2012 : WESTWIND CAPITAL 401(K) PROFIT SHARING PLAN & TRUST 2012 401k financial data
Total income from all sources	2012-12-31	$163,262
Expenses. Total of all expenses incurred	2012-12-31	$115,392
Benefits paid (including direct rollovers)	2012-12-31	$115,392
Total plan assets at end of year	2012-12-31	$899,730
Total plan assets at beginning of year	2012-12-31	$851,860
Value of fidelity bond covering the plan	2012-12-31	$95,000
Total contributions received or receivable from participants	2012-12-31	$75,109
Other income received	2012-12-31	$67,539
Net income (gross income less expenses)	2012-12-31	$47,870
Net plan assets at end of year (total assets less liabilities)	2012-12-31	$899,730
Net plan assets at beginning of year (total assets less liabilities)	2012-12-31	$851,860
Total contributions received or receivable from employer(s)	2012-12-31	$20,614
2011 : WESTWIND CAPITAL 401(K) PROFIT SHARING PLAN & TRUST 2011 401k financial data
Total income from all sources	2011-12-31	$181,003
Expenses. Total of all expenses incurred	2011-12-31	$254,246
Benefits paid (including direct rollovers)	2011-12-31	$254,246
Total plan assets at end of year	2011-12-31	$851,860
Total plan assets at beginning of year	2011-12-31	$925,103
Value of fidelity bond covering the plan	2011-12-31	$95,000
Total contributions received or receivable from participants	2011-12-31	$69,360
Other income received	2011-12-31	$95,103
Net income (gross income less expenses)	2011-12-31	$-73,243
Net plan assets at end of year (total assets less liabilities)	2011-12-31	$851,860
Net plan assets at beginning of year (total assets less liabilities)	2011-12-31	$925,103
Total contributions received or receivable from employer(s)	2011-12-31	$16,540
2010 : WESTWIND CAPITAL 401(K) PROFIT SHARING PLAN & TRUST 2010 401k financial data
Total income from all sources	2010-12-31	$246,030
Total plan assets at end of year	2010-12-31	$925,103
Total plan assets at beginning of year	2010-12-31	$679,073
Value of fidelity bond covering the plan	2010-12-31	$75,000
Total contributions received or receivable from participants	2010-12-31	$61,237
Contributions received from other sources (not participants or employers)	2010-12-31	$79,102
Other income received	2010-12-31	$85,083
Net income (gross income less expenses)	2010-12-31	$246,030
Net plan assets at end of year (total assets less liabilities)	2010-12-31	$925,103
Net plan assets at beginning of year (total assets less liabilities)	2010-12-31	$679,073
Total contributions received or receivable from employer(s)	2010-12-31	$20,608

Form 5500 Responses for WESTWIND CAPITAL 401(K) PROFIT SHARING PLAN & TRUST

2015: WESTWIND CAPITAL 401(K) PROFIT SHARING PLAN & TRUST 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: WESTWIND CAPITAL 401(K) PROFIT SHARING PLAN & TRUST 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: WESTWIND CAPITAL 401(K) PROFIT SHARING 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: WESTWIND CAPITAL 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: WESTWIND CAPITAL 401(K) PROFIT SHARING PLAN & TRUST 2011 form 5500 responses
2011-01-01	Type of plan entity	Single employer plan
2011-01-01	Submission has been amended	Yes
2011-01-01	Plan funding arrangement – Trust	Yes
2011-01-01	Plan benefit arrangement - Trust	Yes

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WESTWIND CAPITAL LLC CASH BALANCE PLAN [EIN = 921544523]

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Company Name:	WESTWIND CAPITAL, INC.
Employer identification number (EIN):	850408533
NAIC Classification:	523120
NAIC Description:	Securities Brokerage