S. ROTHSCHILD & CO., INC. has sponsored the creation of one or more 401k plans.
Additional information about S. ROTHSCHILD & CO., INC.
Submission information for form 5500 for 401k plan S. ROTHSCHILD & CO., INC. 401(K) SAVINGS PLAN
401k plan membership statisitcs for S. ROTHSCHILD & CO., INC. 401(K) SAVINGS PLAN
Measure | Date | Value |
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2022 : S. ROTHSCHILD & CO., INC. 401(K) SAVINGS PLAN 2022 401k financial data |
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Unrealized appreciation/depreciation of other (non real estate) assets | 2022-12-31 | $-646,098 |
Total unrealized appreciation/depreciation of assets | 2022-12-31 | $-646,098 |
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2022-12-31 | $29,376 |
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2022-12-31 | $5,664 |
Total income from all sources (including contributions) | 2022-12-31 | $-1,977,278 |
Total loss/gain on sale of assets | 2022-12-31 | $0 |
Total of all expenses incurred | 2022-12-31 | $146,239 |
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others | 2022-12-31 | $87,572 |
Total contributions o plan (from employers,participants, others, non cash contrinutions) | 2022-12-31 | $889,863 |
Value of total assets at end of year | 2022-12-31 | $12,932,352 |
Value of total assets at beginning of year | 2022-12-31 | $15,032,157 |
Total of administrative expenses incurred including professional, contract, advisory and management fees | 2022-12-31 | $58,667 |
Total interest from all sources | 2022-12-31 | $10,936 |
Total dividends received (eg from common stock, registered investment company shares) | 2022-12-31 | $0 |
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year | 2022-12-31 | No |
Was this plan covered by a fidelity bond | 2022-12-31 | Yes |
Value of fidelity bond cover | 2022-12-31 | $500,000 |
If this is an individual account plan, was there a blackout period | 2022-12-31 | No |
Were there any nonexempt tranactions with any party-in-interest | 2022-12-31 | No |
Contributions received from participants | 2022-12-31 | $667,979 |
Participant contributions at end of year | 2022-12-31 | $260,927 |
Participant contributions at beginning of year | 2022-12-31 | $237,394 |
Participant contributions at end of year | 2022-12-31 | $8,030 |
Participant contributions at beginning of year | 2022-12-31 | $359 |
Assets. Other investments not covered elsewhere at end of year | 2022-12-31 | $753,902 |
Assets. Other investments not covered elsewhere at beginning of year | 2022-12-31 | $0 |
Income. Received or receivable in cash from other sources (including rollovers) | 2022-12-31 | $96,610 |
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year | 2022-12-31 | $29,376 |
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year | 2022-12-31 | $5,664 |
Total non interest bearing cash at end of year | 2022-12-31 | $5,992 |
Total non interest bearing cash at beginning of year | 2022-12-31 | $508 |
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser | 2022-12-31 | No |
Value of net income/loss | 2022-12-31 | $-2,123,517 |
Value of net assets at end of year (total assets less liabilities) | 2022-12-31 | $12,902,976 |
Value of net assets at beginning of year (total assets less liabilities) | 2022-12-31 | $15,026,493 |
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond) | 2022-12-31 | No |
Were any loans by the plan or fixed income obligations due to the plan in default | 2022-12-31 | No |
Were any leases to which the plan was party in default or uncollectible | 2022-12-31 | No |
Investment advisory and management fees | 2022-12-31 | $27,695 |
Value of interest in pooled separate accounts at end of year | 2022-12-31 | $11,778,227 |
Value of interest in pooled separate accounts at beginning of year | 2022-12-31 | $14,709,693 |
Interest on participant loans | 2022-12-31 | $10,936 |
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year | 2022-12-31 | $0 |
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year | 2022-12-31 | $0 |
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year | 2022-12-31 | $0 |
Net investment gain/loss from registered investment companies (e.g. mutual funds) | 2022-12-31 | $0 |
Net investment gain/loss from pooled separate accounts | 2022-12-31 | $-2,231,979 |
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets | 2022-12-31 | No |
Was there a failure to transmit to the plan any participant contributions | 2022-12-31 | Yes |
Has the plan failed to provide any benefit when due under the plan | 2022-12-31 | No |
Contributions received in cash from employer | 2022-12-31 | $125,274 |
Employer contributions (assets) at end of year | 2022-12-31 | $125,274 |
Employer contributions (assets) at beginning of year | 2022-12-31 | $84,203 |
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers | 2022-12-31 | $87,572 |
Contract administrator fees | 2022-12-31 | $30,972 |
Did the plan have assets held for investment | 2022-12-31 | Yes |
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser | 2022-12-31 | No |
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC | 2022-12-31 | No |
Opinion of an independent qualified public accountant for this plan | 2022-12-31 | Unqualified |
Accountancy firm name | 2022-12-31 | MAYER HOFFMAN MCCANN CPAS |
Accountancy firm EIN | 2022-12-31 | 431947695 |
2021 : S. ROTHSCHILD & CO., INC. 401(K) SAVINGS PLAN 2021 401k financial data |
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Total unrealized appreciation/depreciation of assets | 2021-12-31 | $0 |
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2021-12-31 | $5,664 |
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2021-12-31 | $75,428 |
Total income from all sources (including contributions) | 2021-12-31 | $2,570,107 |
Total loss/gain on sale of assets | 2021-12-31 | $0 |
Total of all expenses incurred | 2021-12-31 | $509,858 |
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others | 2021-12-31 | $417,826 |
Value of total corrective distributions | 2021-12-31 | $16,419 |
Total contributions o plan (from employers,participants, others, non cash contrinutions) | 2021-12-31 | $855,504 |
Value of total assets at end of year | 2021-12-31 | $15,032,157 |
Value of total assets at beginning of year | 2021-12-31 | $13,041,672 |
Total of administrative expenses incurred including professional, contract, advisory and management fees | 2021-12-31 | $75,613 |
Total interest from all sources | 2021-12-31 | $11,056 |
Total dividends received (eg from common stock, registered investment company shares) | 2021-12-31 | $0 |
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year | 2021-12-31 | No |
Was this plan covered by a fidelity bond | 2021-12-31 | Yes |
Value of fidelity bond cover | 2021-12-31 | $500,000 |
If this is an individual account plan, was there a blackout period | 2021-12-31 | No |
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities | 2021-12-31 | $0 |
Were there any nonexempt tranactions with any party-in-interest | 2021-12-31 | No |
Contributions received from participants | 2021-12-31 | $511,284 |
Participant contributions at end of year | 2021-12-31 | $237,394 |
Participant contributions at beginning of year | 2021-12-31 | $271,495 |
Participant contributions at end of year | 2021-12-31 | $359 |
Participant contributions at beginning of year | 2021-12-31 | $98 |
Income. Received or receivable in cash from other sources (including rollovers) | 2021-12-31 | $260,017 |
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year | 2021-12-31 | $5,664 |
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year | 2021-12-31 | $75,428 |
Total non interest bearing cash at end of year | 2021-12-31 | $508 |
Total non interest bearing cash at beginning of year | 2021-12-31 | $4,928 |
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser | 2021-12-31 | No |
Value of net income/loss | 2021-12-31 | $2,060,249 |
Value of net assets at end of year (total assets less liabilities) | 2021-12-31 | $15,026,493 |
Value of net assets at beginning of year (total assets less liabilities) | 2021-12-31 | $12,966,244 |
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond) | 2021-12-31 | No |
Were any loans by the plan or fixed income obligations due to the plan in default | 2021-12-31 | No |
Were any leases to which the plan was party in default or uncollectible | 2021-12-31 | No |
Value of interest in pooled separate accounts at end of year | 2021-12-31 | $14,709,693 |
Value of interest in pooled separate accounts at beginning of year | 2021-12-31 | $12,701,790 |
Interest on participant loans | 2021-12-31 | $11,056 |
Net investment gain/loss from pooled separate accounts | 2021-12-31 | $1,703,547 |
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets | 2021-12-31 | No |
Was there a failure to transmit to the plan any participant contributions | 2021-12-31 | Yes |
Has the plan failed to provide any benefit when due under the plan | 2021-12-31 | No |
Contributions received in cash from employer | 2021-12-31 | $84,203 |
Employer contributions (assets) at end of year | 2021-12-31 | $84,203 |
Employer contributions (assets) at beginning of year | 2021-12-31 | $63,361 |
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers | 2021-12-31 | $417,826 |
Contract administrator fees | 2021-12-31 | $75,613 |
Did the plan have assets held for investment | 2021-12-31 | Yes |
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser | 2021-12-31 | No |
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC | 2021-12-31 | No |
Opinion of an independent qualified public accountant for this plan | 2021-12-31 | Unqualified |
Accountancy firm name | 2021-12-31 | MAYER HOFFMAN MCCANN CPAS |
Accountancy firm EIN | 2021-12-31 | 431947695 |
2020 : S. ROTHSCHILD & CO., INC. 401(K) SAVINGS PLAN 2020 401k financial data |
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Total unrealized appreciation/depreciation of assets | 2020-12-31 | $0 |
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2020-12-31 | $75,428 |
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2020-12-31 | $0 |
Total income from all sources (including contributions) | 2020-12-31 | $2,631,334 |
Total loss/gain on sale of assets | 2020-12-31 | $0 |
Total of all expenses incurred | 2020-12-31 | $831,245 |
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others | 2020-12-31 | $719,669 |
Value of total corrective distributions | 2020-12-31 | $50,853 |
Total contributions o plan (from employers,participants, others, non cash contrinutions) | 2020-12-31 | $799,735 |
Value of total assets at end of year | 2020-12-31 | $13,041,672 |
Value of total assets at beginning of year | 2020-12-31 | $11,166,155 |
Total of administrative expenses incurred including professional, contract, advisory and management fees | 2020-12-31 | $60,723 |
Total interest from all sources | 2020-12-31 | $12,545 |
Total dividends received (eg from common stock, registered investment company shares) | 2020-12-31 | $0 |
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year | 2020-12-31 | No |
Total dividends received from registered investment company shares (eg mutual funds) | 2020-12-31 | $0 |
Was this plan covered by a fidelity bond | 2020-12-31 | Yes |
Value of fidelity bond cover | 2020-12-31 | $500,000 |
If this is an individual account plan, was there a blackout period | 2020-12-31 | Yes |
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities | 2020-12-31 | $0 |
Were there any nonexempt tranactions with any party-in-interest | 2020-12-31 | No |
Contributions received from participants | 2020-12-31 | $434,927 |
Participant contributions at end of year | 2020-12-31 | $271,495 |
Participant contributions at beginning of year | 2020-12-31 | $275,359 |
Participant contributions at end of year | 2020-12-31 | $98 |
Participant contributions at beginning of year | 2020-12-31 | $17,281 |
Income. Received or receivable in cash from other sources (including rollovers) | 2020-12-31 | $301,642 |
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year | 2020-12-31 | $75,428 |
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year | 2020-12-31 | $0 |
Total non interest bearing cash at end of year | 2020-12-31 | $4,928 |
Total non interest bearing cash at beginning of year | 2020-12-31 | $4,928 |
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser | 2020-12-31 | No |
Value of net income/loss | 2020-12-31 | $1,800,089 |
Value of net assets at end of year (total assets less liabilities) | 2020-12-31 | $12,966,244 |
Value of net assets at beginning of year (total assets less liabilities) | 2020-12-31 | $11,166,155 |
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond) | 2020-12-31 | No |
Were any loans by the plan or fixed income obligations due to the plan in default | 2020-12-31 | No |
Were any leases to which the plan was party in default or uncollectible | 2020-12-31 | No |
Value of interest in pooled separate accounts at end of year | 2020-12-31 | $12,701,790 |
Value of interest in pooled separate accounts at beginning of year | 2020-12-31 | $10,772,851 |
Interest on participant loans | 2020-12-31 | $12,545 |
Net investment gain/loss from pooled separate accounts | 2020-12-31 | $1,819,054 |
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets | 2020-12-31 | No |
Was there a failure to transmit to the plan any participant contributions | 2020-12-31 | Yes |
Has the plan failed to provide any benefit when due under the plan | 2020-12-31 | No |
Contributions received in cash from employer | 2020-12-31 | $63,166 |
Employer contributions (assets) at end of year | 2020-12-31 | $63,361 |
Employer contributions (assets) at beginning of year | 2020-12-31 | $95,736 |
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers | 2020-12-31 | $719,669 |
Contract administrator fees | 2020-12-31 | $60,723 |
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-3 | 2020-12-31 | Yes |
Did the plan have assets held for investment | 2020-12-31 | Yes |
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser | 2020-12-31 | No |
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC | 2020-12-31 | No |
Opinion of an independent qualified public accountant for this plan | 2020-12-31 | Unqualified |
Accountancy firm name | 2020-12-31 | MAYER HOFFMAN MCCANN CPAS |
Accountancy firm EIN | 2020-12-31 | 431947695 |