401k Plan data: NATIONAL WEALTH MANAGEMENT LLC 401(K) PROFIT SHARING PLAN & TRUST plan

NATIONAL WEALTH MANAGEMENT LLC 401(K) PROFIT SHARING PLAN & TRUST 401k Plan overview

Plan Name	NATIONAL WEALTH MANAGEMENT LLC 401(K) PROFIT SHARING PLAN & TRUST
Plan identification number	001

NATIONAL WEALTH MANAGEMENT LLC 401(K) PROFIT SHARING PLAN & TRUST Benefits

401k Plan Type

Defined Contribution Pension

Plan Features/Benefits

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.
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

NATIONAL WEALTH MANAGEMENT LLC has sponsored the creation of one or more 401k plans.

Company Name: NATIONAL WEALTH MANAGEMENT LLC

Employer identification number (EIN): 203063471

NAIC Classification: 523900

Form 5500 Filing Information

Submission information for form 5500 for 401k plan NATIONAL WEALTH MANAGEMENT LLC 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 2022-01-01 DAVID COTTAM 2023-04-10
001 2021-01-01 DAVID COTTAM 2022-05-23
001 2020-01-01 DAVID COTTAM 2021-07-06
001 2019-01-01 DAVID COTTAM 2020-07-16
001 2018-01-01 DAVID COTTAM 2019-05-28
001 2017-01-01 DAVID COTTAM 2018-06-19
001 2016-01-01 DAVID COTTAM
001 2015-01-01 SILVIA VADALA
001 2014-01-01 DAVID COTTAM
001 2013-01-01 DAVID COTTAM 2014-06-04
001 2012-01-01 DAVID COTTAM 2013-07-22
001 2011-01-01 DAVID COTTAM 2012-06-18
001 2010-01-01 DAVID COTTAM 2011-06-17
001 2009-01-01 DAVID COTTAM
001 2007-01-01 DAVID COTTAM

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed
001	2022-01-01	DAVID COTTAM	2023-04-10
001	2021-01-01	DAVID COTTAM	2022-05-23
001	2020-01-01	DAVID COTTAM	2021-07-06
001	2019-01-01	DAVID COTTAM	2020-07-16
001	2018-01-01	DAVID COTTAM	2019-05-28
001	2017-01-01	DAVID COTTAM	2018-06-19
001	2016-01-01	DAVID COTTAM
001	2015-01-01	SILVIA VADALA
001	2014-01-01	DAVID COTTAM
001	2013-01-01	DAVID COTTAM	2014-06-04
001	2012-01-01	DAVID COTTAM	2013-07-22
001	2011-01-01	DAVID COTTAM	2012-06-18
001	2010-01-01	DAVID COTTAM	2011-06-17
001	2009-01-01	DAVID COTTAM
001	2007-01-01	DAVID COTTAM

Plan Statistics for NATIONAL WEALTH MANAGEMENT LLC 401(K) PROFIT SHARING PLAN & TRUST

401k plan membership statisitcs for NATIONAL WEALTH MANAGEMENT LLC 401(K) PROFIT SHARING PLAN & TRUST

Measure Date Value
2016: NATIONAL WEALTH MANAGEMENT LLC 401(K) PROFIT SHARING PLAN & TRUST 2016 401k membership
Total participants, beginning-of-year 2016-01-01 4
Total number of active participants reported on line 7a of the Form 5500 2016-01-01 4
Number of retired or separated participants receiving benefits 2016-01-01 0
Number of other retired or separated participants entitled to future benefits 2016-01-01 0
Total of all active and inactive participants 2016-01-01 4
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2016-01-01 0
Total participants 2016-01-01 4
Number of participants with account balances 2016-01-01 2
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2016-01-01 0
2015: NATIONAL WEALTH MANAGEMENT LLC 401(K) PROFIT SHARING PLAN & TRUST 2015 401k membership
Total participants, beginning-of-year 2015-01-01 4
Total number of active participants reported on line 7a of the Form 5500 2015-01-01 4
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 0
Total of all active and inactive participants 2015-01-01 4
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2015-01-01 0
Total participants 2015-01-01 4
Number of participants with account balances 2015-01-01 2
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2015-01-01 0
2014: NATIONAL WEALTH MANAGEMENT LLC 401(K) PROFIT SHARING PLAN & TRUST 2014 401k membership
Total participants, beginning-of-year 2014-01-01 4
Total number of active participants reported on line 7a of the Form 5500 2014-01-01 4
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 0
Total of all active and inactive participants 2014-01-01 4
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2014-01-01 0
Total participants 2014-01-01 4
Number of participants with account balances 2014-01-01 2
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2014-01-01 0
2009: NATIONAL WEALTH MANAGEMENT LLC 401(K) PROFIT SHARING PLAN & TRUST 2009 401k membership
Total participants, beginning-of-year 2009-01-01 4
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 3
Number of retired or separated participants receiving benefits 2009-01-01 0
Number of other retired or separated participants entitled to future benefits 2009-01-01 0
Total of all active and inactive participants 2009-01-01 3
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-01-01 0
Total participants 2009-01-01 3
Number of participants with account balances 2009-01-01 2
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-01-01 0
2007: NATIONAL WEALTH MANAGEMENT LLC 401(K) PROFIT SHARING PLAN & TRUST 2007 401k membership
Total participants, beginning-of-year 2007-01-01 0
Total number of active participants reported on line 7a of the Form 5500 2007-01-01 2
Number of retired or separated participants receiving benefits 2007-01-01 0
Number of other retired or separated participants entitled to future benefits 2007-01-01 1
Total of all active and inactive participants 2007-01-01 3
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2007-01-01 0
Total participants 2007-01-01 3
Number of participants with account balances 2007-01-01 2
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2007-01-01 0

Measure	Date	Value
2016: NATIONAL WEALTH MANAGEMENT LLC 401(K) PROFIT SHARING PLAN & TRUST 2016 401k membership
Total participants, beginning-of-year	2016-01-01	4
Total number of active participants reported on line 7a of the Form 5500	2016-01-01	4
Number of retired or separated participants receiving benefits	2016-01-01	0
Number of other retired or separated participants entitled to future benefits	2016-01-01	0
Total of all active and inactive participants	2016-01-01	4
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2016-01-01	0
Total participants	2016-01-01	4
Number of participants with account balances	2016-01-01	2
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2016-01-01	0
2015: NATIONAL WEALTH MANAGEMENT LLC 401(K) PROFIT SHARING PLAN & TRUST 2015 401k membership
Total participants, beginning-of-year	2015-01-01	4
Total number of active participants reported on line 7a of the Form 5500	2015-01-01	4
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	0
Total of all active and inactive participants	2015-01-01	4
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2015-01-01	0
Total participants	2015-01-01	4
Number of participants with account balances	2015-01-01	2
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2015-01-01	0
2014: NATIONAL WEALTH MANAGEMENT LLC 401(K) PROFIT SHARING PLAN & TRUST 2014 401k membership
Total participants, beginning-of-year	2014-01-01	4
Total number of active participants reported on line 7a of the Form 5500	2014-01-01	4
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	0
Total of all active and inactive participants	2014-01-01	4
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2014-01-01	0
Total participants	2014-01-01	4
Number of participants with account balances	2014-01-01	2
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2014-01-01	0
2009: NATIONAL WEALTH MANAGEMENT LLC 401(K) PROFIT SHARING PLAN & TRUST 2009 401k membership
Total participants, beginning-of-year	2009-01-01	4
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	3
Number of retired or separated participants receiving benefits	2009-01-01	0
Number of other retired or separated participants entitled to future benefits	2009-01-01	0
Total of all active and inactive participants	2009-01-01	3
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-01-01	0
Total participants	2009-01-01	3
Number of participants with account balances	2009-01-01	2
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-01-01	0
2007: NATIONAL WEALTH MANAGEMENT LLC 401(K) PROFIT SHARING PLAN & TRUST 2007 401k membership
Total participants, beginning-of-year	2007-01-01	0
Total number of active participants reported on line 7a of the Form 5500	2007-01-01	2
Number of retired or separated participants receiving benefits	2007-01-01	0
Number of other retired or separated participants entitled to future benefits	2007-01-01	1
Total of all active and inactive participants	2007-01-01	3
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2007-01-01	0
Total participants	2007-01-01	3
Number of participants with account balances	2007-01-01	2
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2007-01-01	0

Financial Data on NATIONAL WEALTH MANAGEMENT LLC 401(K) PROFIT SHARING PLAN & TRUST

Measure	Date	Value
2016 : NATIONAL WEALTH MANAGEMENT LLC 401(K) PROFIT SHARING PLAN & TRUST 2016 401k financial data
Transfers to/from the plan	2016-12-31	$0
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	$47,124
Expenses. Total of all expenses incurred	2016-12-31	$0
Benefits paid (including direct rollovers)	2016-12-31	$0
Total plan assets at end of year	2016-12-31	$244,132
Total plan assets at beginning of year	2016-12-31	$197,008
Value of fidelity bond covering the plan	2016-12-31	$20,000
Total contributions received or receivable from participants	2016-12-31	$27,719
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	$14,478
Net income (gross income less expenses)	2016-12-31	$47,124
Net plan assets at end of year (total assets less liabilities)	2016-12-31	$244,132
Net plan assets at beginning of year (total assets less liabilities)	2016-12-31	$197,008
Total contributions received or receivable from employer(s)	2016-12-31	$4,927
Value of certain deemed distributions of participant loans	2016-12-31	$0
Value of corrective distributions	2016-12-31	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2016-12-31	$0
2015 : NATIONAL WEALTH MANAGEMENT LLC 401(K) PROFIT SHARING PLAN & TRUST 2015 401k financial data
Transfers to/from the plan	2015-12-31	$0
Total plan liabilities at end of year	2015-12-31	$0
Total plan liabilities at beginning of year	2015-12-31	$0
Total income from all sources	2015-12-31	$5,129
Expenses. Total of all expenses incurred	2015-12-31	$0
Benefits paid (including direct rollovers)	2015-12-31	$0
Total plan assets at end of year	2015-12-31	$197,008
Total plan assets at beginning of year	2015-12-31	$191,879
Value of fidelity bond covering the plan	2015-12-31	$20,000
Total contributions received or receivable from participants	2015-12-31	$8,625
Expenses. Other expenses not covered elsewhere	2015-12-31	$0
Contributions received from other sources (not participants or employers)	2015-12-31	$0
Other income received	2015-12-31	$-5,796
Net income (gross income less expenses)	2015-12-31	$5,129
Net plan assets at end of year (total assets less liabilities)	2015-12-31	$197,008
Net plan assets at beginning of year (total assets less liabilities)	2015-12-31	$191,879
Total contributions received or receivable from employer(s)	2015-12-31	$2,300
Value of certain deemed distributions of participant loans	2015-12-31	$0
Value of corrective distributions	2015-12-31	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2015-12-31	$0
2014 : NATIONAL WEALTH MANAGEMENT LLC 401(K) PROFIT SHARING PLAN & TRUST 2014 401k financial data
Transfers to/from the plan	2014-12-31	$0
Total plan liabilities at end of year	2014-12-31	$0
Total plan liabilities at beginning of year	2014-12-31	$0
Total income from all sources	2014-12-31	$35,718
Expenses. Total of all expenses incurred	2014-12-31	$0
Benefits paid (including direct rollovers)	2014-12-31	$0
Total plan assets at end of year	2014-12-31	$191,879
Total plan assets at beginning of year	2014-12-31	$156,161
Value of fidelity bond covering the plan	2014-12-31	$20,000
Total contributions received or receivable from participants	2014-12-31	$8,147
Expenses. Other expenses not covered elsewhere	2014-12-31	$0
Contributions received from other sources (not participants or employers)	2014-12-31	$0
Other income received	2014-12-31	$25,399
Net income (gross income less expenses)	2014-12-31	$35,718
Net plan assets at end of year (total assets less liabilities)	2014-12-31	$191,879
Net plan assets at beginning of year (total assets less liabilities)	2014-12-31	$156,161
Total contributions received or receivable from employer(s)	2014-12-31	$2,172
Value of certain deemed distributions of participant loans	2014-12-31	$0
Value of corrective distributions	2014-12-31	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2014-12-31	$0
2009 : NATIONAL WEALTH MANAGEMENT LLC 401(K) PROFIT SHARING PLAN & TRUST 2009 401k financial data
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2009-12-31	$0
2007 : NATIONAL WEALTH MANAGEMENT LLC 401(K) PROFIT SHARING PLAN & TRUST 2007 401k financial data
Transfers to/from the plan	2007-12-31	$0
Total plan liabilities at end of year	2007-12-31	$0
Total plan liabilities at beginning of year	2007-12-31	$0
Total income from all sources	2007-12-31	$6,003
Expenses. Total of all expenses incurred	2007-12-31	$0
Benefits paid (including direct rollovers)	2007-12-31	$0
Total plan assets at end of year	2007-12-31	$6,003
Total plan assets at beginning of year	2007-12-31	$0
Total contributions received or receivable from participants	2007-12-31	$4,395
Expenses. Other expenses not covered elsewhere	2007-12-31	$0
Contributions received from other sources (not participants or employers)	2007-12-31	$0
Other income received	2007-12-31	$-150
Noncash contributions received	2007-12-31	$0
Net income (gross income less expenses)	2007-12-31	$6,003
Net plan assets at end of year (total assets less liabilities)	2007-12-31	$6,003
Net plan assets at beginning of year (total assets less liabilities)	2007-12-31	$0
Total contributions received or receivable from employer(s)	2007-12-31	$1,758
Value of certain deemed distributions of participant loans	2007-12-31	$0
Value of corrective distributions	2007-12-31	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2007-12-31	$0

Form 5500 Responses for NATIONAL WEALTH MANAGEMENT LLC 401(K) PROFIT SHARING PLAN & TRUST

2016: NATIONAL WEALTH MANAGEMENT LLC 401(K) PROFIT SHARING PLAN & TRUST 2016 form 5500 responses
2016-01-01	Type of plan entity	Single employer plan
2016-01-01	Submission has been amended	No
2016-01-01	This submission is the final filing	No
2016-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2016-01-01	Plan is a collectively bargained plan	No
2016-01-01	Plan funding arrangement – Trust	Yes
2016-01-01	Plan benefit arrangement - Trust	Yes
2015: NATIONAL WEALTH MANAGEMENT LLC 401(K) PROFIT SHARING PLAN & TRUST 2015 form 5500 responses
2015-01-01	Type of plan entity	Single employer plan
2015-01-01	Submission has been amended	No
2015-01-01	This submission is the final filing	No
2015-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2015-01-01	Plan is a collectively bargained plan	No
2015-01-01	Plan funding arrangement – Trust	Yes
2015-01-01	Plan benefit arrangement - Trust	Yes
2014: NATIONAL WEALTH MANAGEMENT LLC 401(K) PROFIT SHARING PLAN & TRUST 2014 form 5500 responses
2014-01-01	Type of plan entity	Single employer plan
2014-01-01	Submission has been amended	No
2014-01-01	This submission is the final filing	No
2014-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2014-01-01	Plan is a collectively bargained plan	No
2014-01-01	Plan funding arrangement – Trust	Yes
2014-01-01	Plan benefit arrangement - Trust	Yes
2009: NATIONAL WEALTH MANAGEMENT LLC 401(K) PROFIT SHARING PLAN & TRUST 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
2007: NATIONAL WEALTH MANAGEMENT LLC 401(K) PROFIT SHARING PLAN & TRUST 2007 form 5500 responses
2007-01-01	Type of plan entity	Single employer plan
2007-01-01	First time form 5500 has been submitted	Yes
2007-01-01	Submission has been amended	No
2007-01-01	This submission is the final filing	No
2007-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2007-01-01	Plan is a collectively bargained plan	No
2007-01-01	Plan funding arrangement – Trust	Yes
2007-01-01	Plan benefit arrangement - Trust	Yes

Potentially related plans

NATIONAL WEALTH MANAGEMENT LLC 401(K) PROFIT SHARING PLAN & TRUST [EIN = 200341458]

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Company Name:	NATIONAL WEALTH MANAGEMENT LLC
Employer identification number (EIN):	203063471
NAIC Classification:	523900