401k Plan data: ALVARADOSMITH A PROF CORP 401(K) SHARING PLAN plan

ALVARADOSMITH A PROF CORP 401(K) SHARING PLAN 401k Plan overview

Plan Name	ALVARADOSMITH A PROF CORP 401(K) SHARING PLAN
Plan identification number	001

ALVARADOSMITH A PROF CORP 401(K) SHARING PLAN Benefits

401k Plan Type

Defined Contribution Pension

Plan Features/Benefits

Age/Service Weighted or new comparability or similar plan - Age/Service Weighted Plan: Allocations are based on age, service, or age and service. New comparability or similar plan: Allocations are based on participant classifications and a classification(s) consists entirely or predominantly of highly compensated employees; or the plan provides an additional allocation rate on compensation above a specified threshold, and the theshold or additional rate exceeds the maximum threshold or rate allowed under the permitted disparity rules of section 401(l).
Profit-sharing
ERISA section 404(c) Plan - This plan, or any part of it is intended to meet the conditions of 29 CFR 2550.404c-1.
Total participant-directed account plan - Participants have the opportunity to direct the investment of all the assets allocated to their individual accounts, regardless of whether 29 CFR 2550.404c-1 is intended to be met.
Code section 401(k) feature - A cash or deferred arrangement described in Code section 401(k) that is part of a qualified defined contribution plan that provides for an election by employees to defer part of their compensation or receive these amounts in cash.
Code section 401(m) arrangement - Employee contributions are allocated to separate accounts under the plan or employer contributions are based, in whole or in part, on employee deferrals or contribtions to the plan. Not applicable if plan is 401(k) plan with only QNECs and/or QMACs. Also not applicable if Code section 403(b)(1), 403(b)(7) or 408 arrangements/accounts/annuities.
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.

401k Sponsoring company profile

ALVARADOSMITH, A PROFESSIONAL CORPORATION has sponsored the creation of one or more 401k plans.

Company Name: ALVARADOSMITH, A PROFESSIONAL CORPORATION

Employer identification number (EIN): 330545440

NAIC Classification: 541110
NAIC Description: Offices of Lawyers

Form 5500 Filing Information

Submission information for form 5500 for 401k plan ALVARADOSMITH A PROF CORP 401(K) SHARING PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2023-01-01 RUBEN SMITH 2023-07-06 RUBEN SMITH 2023-07-06
001 2022-01-01 RUBEN SMITH 2023-07-06 RUBEN SMITH 2023-07-06
001 2021-01-01 RUBEN SMITH 2022-06-13 RUBEN SMITH 2022-06-13
001 2020-01-01 RUBEN SMITH 2021-06-04 RUBEN SMITH 2021-06-04
001 2019-01-01 RUBEN SMITH 2020-05-08
001 2018-01-01 RUBEN SMITH 2019-05-02
001 2017-01-01 RUBEN SMITH 2018-07-10
001 2016-01-01 RUBEN SMITH 2017-08-31
001 2015-01-01 RUBEN SMITH 2016-10-11
001 2014-01-01 RUBEN SMITH
001 2013-01-01 RUBEN SMITH
001 2012-01-01 JOYCE A. KOPENSKI 2013-08-05
001 2011-01-01 JOYCE KOPENSKI 2012-08-15 JOYCE KOPENSKI 2012-08-15
001 2010-01-01 JOYCE KOPENSKI 2011-08-29

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed	Name of Company Sponsor	Date Sponsor Signed
001	2023-01-01	RUBEN SMITH	2023-07-06	RUBEN SMITH	2023-07-06
001	2022-01-01	RUBEN SMITH	2023-07-06	RUBEN SMITH	2023-07-06
001	2021-01-01	RUBEN SMITH	2022-06-13	RUBEN SMITH	2022-06-13
001	2020-01-01	RUBEN SMITH	2021-06-04	RUBEN SMITH	2021-06-04
001	2019-01-01	RUBEN SMITH	2020-05-08
001	2018-01-01	RUBEN SMITH	2019-05-02
001	2017-01-01	RUBEN SMITH	2018-07-10
001	2016-01-01	RUBEN SMITH	2017-08-31
001	2015-01-01	RUBEN SMITH	2016-10-11
001	2014-01-01	RUBEN SMITH
001	2013-01-01	RUBEN SMITH
001	2012-01-01	JOYCE A. KOPENSKI	2013-08-05
001	2011-01-01	JOYCE KOPENSKI	2012-08-15	JOYCE KOPENSKI	2012-08-15
001	2010-01-01	JOYCE KOPENSKI	2011-08-29

Plan Statistics for ALVARADOSMITH A PROF CORP 401(K) SHARING PLAN

401k plan membership statisitcs for ALVARADOSMITH A PROF CORP 401(K) SHARING PLAN

Measure Date Value
2014: ALVARADOSMITH A PROF CORP 401(K) SHARING PLAN 2014 401k membership
Total participants, beginning-of-year 2014-01-01 101
Total number of active participants reported on line 7a of the Form 5500 2014-01-01 81
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 15
Total of all active and inactive participants 2014-01-01 96
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2014-01-01 0
Total participants 2014-01-01 96
Number of participants with account balances 2014-01-01 69
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2014-01-01 3
2013: ALVARADOSMITH A PROF CORP 401(K) SHARING PLAN 2013 401k membership
Total participants, beginning-of-year 2013-01-01 135
Total number of active participants reported on line 7a of the Form 5500 2013-01-01 85
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 19
Total of all active and inactive participants 2013-01-01 104
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2013-01-01 0
Total participants 2013-01-01 104
Number of participants with account balances 2013-01-01 74
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2013-01-01 6

Measure	Date	Value
2014: ALVARADOSMITH A PROF CORP 401(K) SHARING PLAN 2014 401k membership
Total participants, beginning-of-year	2014-01-01	101
Total number of active participants reported on line 7a of the Form 5500	2014-01-01	81
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	15
Total of all active and inactive participants	2014-01-01	96
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2014-01-01	0
Total participants	2014-01-01	96
Number of participants with account balances	2014-01-01	69
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2014-01-01	3
2013: ALVARADOSMITH A PROF CORP 401(K) SHARING PLAN 2013 401k membership
Total participants, beginning-of-year	2013-01-01	135
Total number of active participants reported on line 7a of the Form 5500	2013-01-01	85
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	19
Total of all active and inactive participants	2013-01-01	104
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2013-01-01	0
Total participants	2013-01-01	104
Number of participants with account balances	2013-01-01	74
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2013-01-01	6

Financial Data on ALVARADOSMITH A PROF CORP 401(K) SHARING PLAN

Measure	Date	Value
2014 : ALVARADOSMITH A PROF CORP 401(K) SHARING PLAN 2014 401k financial data
Unrealized appreciation/depreciation of real estate assets	2014-12-31	$0
Unrealized appreciation/depreciation of other (non real estate) assets	2014-12-31	$39,985
Total unrealized appreciation/depreciation of assets	2014-12-31	$39,985
Total transfer of assets to this plan	2014-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2014-12-31	$0
Expenses. Interest paid	2014-12-31	$0
Amount of participant contributions which was failed to transmit to the plan within the time period described in 29 CFR 251.3-102	2014-12-31	$0
Total income from all sources (including contributions)	2014-12-31	$965,659
Total loss/gain on sale of assets	2014-12-31	$68
Total of all expenses incurred	2014-12-31	$251,889
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2014-12-31	$227,774
Expenses. Certain deemed distributions of participant loans	2014-12-31	$0
Value of total corrective distributions	2014-12-31	$0
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2014-12-31	$623,066
Value of total assets at end of year	2014-12-31	$6,676,951
Value of total assets at beginning of year	2014-12-31	$5,963,181
Total of administrative expenses incurred including professional, contract, advisory and management fees	2014-12-31	$24,115
Total income from rents	2014-12-31	$0
Total interest from all sources	2014-12-31	$11,296
Total dividends received (eg from common stock, registered investment company shares)	2014-12-31	$58,612
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2014-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2014-12-31	$58,612
Administrative expenses professional fees incurred	2014-12-31	$5,500
Was this plan covered by a fidelity bond	2014-12-31	Yes
Value of fidelity bond cover	2014-12-31	$500,000
If this is an individual account plan, was there a blackout period	2014-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2014-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2014-12-31	No
Contributions received from participants	2014-12-31	$503,523
Participant contributions at end of year	2014-12-31	$102,423
Participant contributions at beginning of year	2014-12-31	$129,579
Participant contributions at end of year	2014-12-31	$12,924
Participant contributions at beginning of year	2014-12-31	$18,718
Income. Received or receivable in cash from other sources (including rollovers)	2014-12-31	$58,636
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)	2014-12-31	$0
Value of other receiveables (less allowance for doubtful accounts) at end of year	2014-12-31	$0
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2014-12-31	$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2014-12-31	$0
Other income not declared elsewhere	2014-12-31	$196
Administrative expenses (other) incurred	2014-12-31	$38
Liabilities. Value of operating payables at beginning of year	2014-12-31	$0
Total non interest bearing cash at end of year	2014-12-31	$0
Total non interest bearing cash at beginning of year	2014-12-31	$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2014-12-31	No
Income. Non cash contributions	2014-12-31	$0
Value of net income/loss	2014-12-31	$713,770
Value of net assets at end of year (total assets less liabilities)	2014-12-31	$6,676,951
Value of net assets at beginning of year (total assets less liabilities)	2014-12-31	$5,963,181
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2014-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2014-12-31	No
Were any leases to which the plan was party in default or uncollectible	2014-12-31	No
Investment advisory and management fees	2014-12-31	$14,605
Value of interest in registered invesment companies (eg mutual funds) at end of year	2014-12-31	$3,030,593
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2014-12-31	$3,175,036
Value of interest in pooled separate accounts at end of year	2014-12-31	$2,916,665
Value of interest in pooled separate accounts at beginning of year	2014-12-31	$2,175,692
Interest on participant loans	2014-12-31	$5,000
Income. Interest from loans (other than to participants)	2014-12-31	$0
Interest earned on other investments	2014-12-31	$6,296
Income. Interest from US Government securities	2014-12-31	$0
Income. Interest from corporate debt instruments	2014-12-31	$0
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2014-12-31	$1,126
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2014-12-31	$0
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2014-12-31	$441,246
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2014-12-31	$462,345
Expenses. Payments to insurance carriers foe the provision of benefits	2014-12-31	$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2014-12-31	$13,386
Net investment gain/loss from pooled separate accounts	2014-12-31	$219,050
Net investment gain or loss from common/collective trusts	2014-12-31	$0
Net gain/loss from 103.12 investment entities	2014-12-31	$0
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2014-12-31	No
Was there a failure to transmit to the plan any participant contributions	2014-12-31	No
Has the plan failed to provide any benefit when due under the plan	2014-12-31	No
Contributions received in cash from employer	2014-12-31	$60,907
Employer contributions (assets) at end of year	2014-12-31	$1,712
Employer contributions (assets) at beginning of year	2014-12-31	$1,811
Income. Dividends from preferred stock	2014-12-31	$0
Income. Dividends from common stock	2014-12-31	$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2014-12-31	$227,774
Contract administrator fees	2014-12-31	$3,972
Assets. Corporate common stocks other than exployer securities at end of year	2014-12-31	$170,262
Liabilities. Value of benefit claims payable at beginning of year	2014-12-31	$0
Did the plan have assets held for investment	2014-12-31	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	2014-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2014-12-31	No
Aggregate proceeds on sale of assets	2014-12-31	$50,711
Aggregate carrying amount (costs) on sale of assets	2014-12-31	$50,643
Liabilities. Value of acquisition indebtedness at beginning of year	2014-12-31	$0
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2014-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2014-12-31	Disclaimer
Accountancy firm name	2014-12-31	VASQUEZ & COMPANY LLP
Accountancy firm EIN	2014-12-31	330700332
2013 : ALVARADOSMITH A PROF CORP 401(K) SHARING PLAN 2013 401k financial data
Total income from all sources (including contributions)	2013-12-31	$1,517,820
Total of all expenses incurred	2013-12-31	$213,178
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2013-12-31	$209,458
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2013-12-31	$657,544
Value of total assets at end of year	2013-12-31	$5,963,181
Value of total assets at beginning of year	2013-12-31	$4,658,539
Total of administrative expenses incurred including professional, contract, advisory and management fees	2013-12-31	$3,720
Total interest from all sources	2013-12-31	$4,433
Total dividends received (eg from common stock, registered investment company shares)	2013-12-31	$19,349
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2013-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2013-12-31	$19,349
Was this plan covered by a fidelity bond	2013-12-31	Yes
Value of fidelity bond cover	2013-12-31	$350,000
If this is an individual account plan, was there a blackout period	2013-12-31	Yes
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2013-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2013-12-31	No
Contributions received from participants	2013-12-31	$522,428
Participant contributions at end of year	2013-12-31	$129,579
Participant contributions at beginning of year	2013-12-31	$137,974
Participant contributions at end of year	2013-12-31	$18,718
Income. Received or receivable in cash from other sources (including rollovers)	2013-12-31	$68,527
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2013-12-31	No
Value of net income/loss	2013-12-31	$1,304,642
Value of net assets at end of year (total assets less liabilities)	2013-12-31	$5,963,181
Value of net assets at beginning of year (total assets less liabilities)	2013-12-31	$4,658,539
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2013-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2013-12-31	No
Were any leases to which the plan was party in default or uncollectible	2013-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2013-12-31	$3,175,036
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2013-12-31	$4,520,565
Value of interest in pooled separate accounts at end of year	2013-12-31	$2,175,692
Value of interest in pooled separate accounts at beginning of year	2013-12-31	$0
Interest on participant loans	2013-12-31	$4,433
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2013-12-31	$462,345
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2013-12-31	$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2013-12-31	$618,006
Net investment gain/loss from pooled separate accounts	2013-12-31	$218,488
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2013-12-31	No
Was there a failure to transmit to the plan any participant contributions	2013-12-31	No
Has the plan failed to provide any benefit when due under the plan	2013-12-31	No
Contributions received in cash from employer	2013-12-31	$66,589
Employer contributions (assets) at end of year	2013-12-31	$1,811
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2013-12-31	$209,458
Contract administrator fees	2013-12-31	$3,720
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	2013-12-31	Yes
Did the plan have assets held for investment	2013-12-31	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	2013-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2013-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2013-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2013-12-31	Disclaimer
Accountancy firm name	2013-12-31	VASQUEZ & COMPANY LLP
Accountancy firm EIN	2013-12-31	330700332

Form 5500 Responses for ALVARADOSMITH A PROF CORP 401(K) SHARING PLAN

2014: ALVARADOSMITH A PROF CORP 401(K) SHARING PLAN 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 – Insurance	Yes
2014-01-01	Plan funding arrangement – Trust	Yes
2014-01-01	Plan benefit arrangement – Insurance	Yes
2014-01-01	Plan benefit arrangement - Trust	Yes
2013: ALVARADOSMITH A PROF CORP 401(K) SHARING PLAN 2013 form 5500 responses
2013-01-01	Type of plan entity	Single employer plan
2013-01-01	Submission has been amended	No
2013-01-01	This submission is the final filing	No
2013-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2013-01-01	Plan is a collectively bargained plan	No
2013-01-01	Plan funding arrangement – Insurance	Yes
2013-01-01	Plan funding arrangement – Trust	Yes
2013-01-01	Plan benefit arrangement – Insurance	Yes
2013-01-01	Plan benefit arrangement - Trust	Yes

Insurance Providers Used on plan

PRINCIPAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 61271 )

Policy contract number

619713

Policy instance

Insurance contract or identification number	619713
Number of Individuals Covered	94
Insurance policy start date	2014-01-01
Insurance policy end date	2014-12-31
Total amount of commissions paid to insurance broker	USD $3,952
Total amount of fees paid to insurance company	USD $2,293
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No
Commission paid to Insurance Broker	USD $3,952
Amount paid for insurance broker fees	0
Insurance broker organization code?	3
Additional information about fees paid to insurance broker	REFERRAL / SERVICE FEE
Insurance broker name	MERRILL LYNCH PIERCE FENNER & SMITH

PRINCIPAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 61271 )

Policy contract number

613953

Policy instance

Insurance contract or identification number	613953
Number of Individuals Covered	94
Insurance policy start date	2014-01-01
Insurance policy end date	2014-12-31
Total amount of commissions paid to insurance broker	USD $325
Total amount of fees paid to insurance company	USD $423
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No
Commission paid to Insurance Broker	USD $325
Amount paid for insurance broker fees	0
Insurance broker organization code?	3
Additional information about fees paid to insurance broker	REFERRAL/SERVICE FEE
Insurance broker name	MERRILL LYNCH PIERCE FENNER & SMITH

PRINCIPAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 61271 )

Policy contract number

613953

Policy instance

Insurance contract or identification number	613953
Number of Individuals Covered	108
Insurance policy start date	2013-07-15
Insurance policy end date	2013-12-31
Total amount of commissions paid to insurance broker	USD $11,669
Total amount of fees paid to insurance company	USD $14,663
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No
Commission paid to Insurance Broker	USD $11,669
Amount paid for insurance broker fees	11895
Additional information about fees paid to insurance broker	REFERRAL / SERVICE FEE
Insurance broker organization code?	3
Insurance broker name	MERRILL LYNCH PIERCE FENNER & SMITH

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Company Name:	ALVARADOSMITH, A PROFESSIONAL CORPORATION
Employer identification number (EIN):	330545440
NAIC Classification:	541110
NAIC Description:	Offices of Lawyers