401k Plan data: DJ WARREN & ASSOCIATES INC 401(K) PROFIT SHARING PLAN plan

DJ WARREN & ASSOCIATES INC 401(K) PROFIT SHARING PLAN 401k Plan overview

Plan Name	DJ WARREN & ASSOCIATES INC 401(K) PROFIT SHARING PLAN
Plan identification number	001

DJ WARREN & ASSOCIATES INC 401(K) PROFIT SHARING PLAN 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.
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

DJ WARREN & ASSOCIATES INC has sponsored the creation of one or more 401k plans.

Company Name: DJ WARREN & ASSOCIATES INC

Employer identification number (EIN): 421584889

NAIC Classification: 541600

Form 5500 Filing Information

Submission information for form 5500 for 401k plan DJ WARREN & ASSOCIATES INC 401(K) PROFIT SHARING PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2020-01-01
001 2019-01-01
001 2018-01-01 DANIEL WARREN DANIEL WARREN 2019-07-03
001 2017-01-01 DANIEL WARREN DANIEL WARREN 2018-07-03
001 2016-01-01 DANIEL WARREN DANIEL WARREN 2017-08-25
001 2015-01-01 DANIEL WARREN DANIEL WARREN 2016-02-29

Plan id#	Filing Submission Date	Name of Administrator	Name of Company Sponsor	Date Sponsor Signed
001	2020-01-01
001	2019-01-01
001	2018-01-01	DANIEL WARREN	DANIEL WARREN	2019-07-03
001	2017-01-01	DANIEL WARREN	DANIEL WARREN	2018-07-03
001	2016-01-01	DANIEL WARREN	DANIEL WARREN	2017-08-25
001	2015-01-01	DANIEL WARREN	DANIEL WARREN	2016-02-29

Plan Statistics for DJ WARREN & ASSOCIATES INC 401(K) PROFIT SHARING PLAN

401k plan membership statisitcs for DJ WARREN & ASSOCIATES INC 401(K) PROFIT SHARING PLAN

Measure Date Value
2020: DJ WARREN & ASSOCIATES INC 401(K) PROFIT SHARING PLAN 2020 401k membership
Total participants, beginning-of-year 2020-01-01 5
Total number of active participants reported on line 7a of the Form 5500 2020-01-01 0
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 0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2020-01-01 0
Total participants 2020-01-01 0
Number of participants with account balances 2020-01-01 0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2020-01-01 0
2019: DJ WARREN & ASSOCIATES INC 401(K) PROFIT SHARING PLAN 2019 401k membership
Total participants, beginning-of-year 2019-01-01 7
Total number of active participants reported on line 7a of the Form 5500 2019-01-01 5
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 1
Total of all active and inactive participants 2019-01-01 6
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2019-01-01 0
Total participants 2019-01-01 6
Number of participants with account balances 2019-01-01 6
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2019-01-01 0
2018: DJ WARREN & ASSOCIATES INC 401(K) PROFIT SHARING PLAN 2018 401k membership
Total participants, beginning-of-year 2018-01-01 7
Total number of active participants reported on line 7a of the Form 5500 2018-01-01 7
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 7
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2018-01-01 0
Total participants 2018-01-01 7
Number of participants with account balances 2018-01-01 7
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2018-01-01 0
2017: DJ WARREN & ASSOCIATES INC 401(K) PROFIT SHARING PLAN 2017 401k membership
Total participants, beginning-of-year 2017-01-01 8
Total number of active participants reported on line 7a of the Form 5500 2017-01-01 7
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 7
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2017-01-01 0
Total participants 2017-01-01 7
Number of participants with account balances 2017-01-01 7
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2017-01-01 0
2016: DJ WARREN & ASSOCIATES INC 401(K) PROFIT SHARING PLAN 2016 401k membership
Total participants, beginning-of-year 2016-01-01 7
Total number of active participants reported on line 7a of the Form 5500 2016-01-01 8
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 8
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2016-01-01 0
Total participants 2016-01-01 8
Number of participants with account balances 2016-01-01 8
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2016-01-01 0
2015: DJ WARREN & ASSOCIATES INC 401(K) PROFIT SHARING PLAN 2015 401k membership
Total participants, beginning-of-year 2015-01-01 0
Total number of active participants reported on line 7a of the Form 5500 2015-01-01 7
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 7
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2015-01-01 0
Total participants 2015-01-01 7
Number of participants with account balances 2015-01-01 7
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2015-01-01 0

Measure	Date	Value
2020: DJ WARREN & ASSOCIATES INC 401(K) PROFIT SHARING PLAN 2020 401k membership
Total participants, beginning-of-year	2020-01-01	5
Total number of active participants reported on line 7a of the Form 5500	2020-01-01	0
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	0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2020-01-01	0
Total participants	2020-01-01	0
Number of participants with account balances	2020-01-01	0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2020-01-01	0
2019: DJ WARREN & ASSOCIATES INC 401(K) PROFIT SHARING PLAN 2019 401k membership
Total participants, beginning-of-year	2019-01-01	7
Total number of active participants reported on line 7a of the Form 5500	2019-01-01	5
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	1
Total of all active and inactive participants	2019-01-01	6
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2019-01-01	0
Total participants	2019-01-01	6
Number of participants with account balances	2019-01-01	6
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2019-01-01	0
2018: DJ WARREN & ASSOCIATES INC 401(K) PROFIT SHARING PLAN 2018 401k membership
Total participants, beginning-of-year	2018-01-01	7
Total number of active participants reported on line 7a of the Form 5500	2018-01-01	7
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	7
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2018-01-01	0
Total participants	2018-01-01	7
Number of participants with account balances	2018-01-01	7
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2018-01-01	0
2017: DJ WARREN & ASSOCIATES INC 401(K) PROFIT SHARING PLAN 2017 401k membership
Total participants, beginning-of-year	2017-01-01	8
Total number of active participants reported on line 7a of the Form 5500	2017-01-01	7
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	7
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2017-01-01	0
Total participants	2017-01-01	7
Number of participants with account balances	2017-01-01	7
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2017-01-01	0
2016: DJ WARREN & ASSOCIATES INC 401(K) PROFIT SHARING PLAN 2016 401k membership
Total participants, beginning-of-year	2016-01-01	7
Total number of active participants reported on line 7a of the Form 5500	2016-01-01	8
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	8
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2016-01-01	0
Total participants	2016-01-01	8
Number of participants with account balances	2016-01-01	8
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2016-01-01	0
2015: DJ WARREN & ASSOCIATES INC 401(K) PROFIT SHARING PLAN 2015 401k membership
Total participants, beginning-of-year	2015-01-01	0
Total number of active participants reported on line 7a of the Form 5500	2015-01-01	7
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	7
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2015-01-01	0
Total participants	2015-01-01	7
Number of participants with account balances	2015-01-01	7
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2015-01-01	0

Financial Data on DJ WARREN & ASSOCIATES INC 401(K) PROFIT SHARING PLAN

Measure	Date	Value
2020 : DJ WARREN & ASSOCIATES INC 401(K) PROFIT SHARING PLAN 2020 401k financial data
Total income from all sources	2020-12-31	$84,005
Expenses. Total of all expenses incurred	2020-12-31	$564,782
Benefits paid (including direct rollovers)	2020-12-31	$564,782
Total plan assets at end of year	2020-12-31	$0
Total plan assets at beginning of year	2020-12-31	$480,777
Value of fidelity bond covering the plan	2020-12-31	$16,500
Total contributions received or receivable from participants	2020-12-31	$27,165
Other income received	2020-12-31	$55,260
Net income (gross income less expenses)	2020-12-31	$-480,777
Net plan assets at end of year (total assets less liabilities)	2020-12-31	$0
Net plan assets at beginning of year (total assets less liabilities)	2020-12-31	$480,777
Total contributions received or receivable from employer(s)	2020-12-31	$1,580
2019 : DJ WARREN & ASSOCIATES INC 401(K) PROFIT SHARING PLAN 2019 401k financial data
Total income from all sources	2019-12-31	$139,938
Expenses. Total of all expenses incurred	2019-12-31	$21,846
Benefits paid (including direct rollovers)	2019-12-31	$21,846
Total plan assets at end of year	2019-12-31	$480,777
Total plan assets at beginning of year	2019-12-31	$362,685
Value of fidelity bond covering the plan	2019-12-31	$16,500
Total contributions received or receivable from participants	2019-12-31	$41,277
Other income received	2019-12-31	$92,750
Net income (gross income less expenses)	2019-12-31	$118,092
Net plan assets at end of year (total assets less liabilities)	2019-12-31	$480,777
Net plan assets at beginning of year (total assets less liabilities)	2019-12-31	$362,685
Total contributions received or receivable from employer(s)	2019-12-31	$5,911
2018 : DJ WARREN & ASSOCIATES INC 401(K) PROFIT SHARING PLAN 2018 401k financial data
Total income from all sources	2018-12-31	$31,298
Expenses. Total of all expenses incurred	2018-12-31	$2,573
Total plan assets at end of year	2018-12-31	$362,685
Total plan assets at beginning of year	2018-12-31	$333,960
Value of fidelity bond covering the plan	2018-12-31	$16,500
Total contributions received or receivable from participants	2018-12-31	$43,524
Other income received	2018-12-31	$-20,387
Net income (gross income less expenses)	2018-12-31	$28,725
Net plan assets at end of year (total assets less liabilities)	2018-12-31	$362,685
Net plan assets at beginning of year (total assets less liabilities)	2018-12-31	$333,960
Total contributions received or receivable from employer(s)	2018-12-31	$8,161
Expenses. Administrative service providers (salaries,fees and commissions)	2018-12-31	$2,573
2017 : DJ WARREN & ASSOCIATES INC 401(K) PROFIT SHARING PLAN 2017 401k financial data
Total income from all sources	2017-12-31	$122,767
Expenses. Total of all expenses incurred	2017-12-31	$80,419
Benefits paid (including direct rollovers)	2017-12-31	$80,419
Total plan assets at end of year	2017-12-31	$333,960
Total plan assets at beginning of year	2017-12-31	$291,612
Value of fidelity bond covering the plan	2017-12-31	$16,500
Total contributions received or receivable from participants	2017-12-31	$73,808
Other income received	2017-12-31	$37,332
Net income (gross income less expenses)	2017-12-31	$42,348
Net plan assets at end of year (total assets less liabilities)	2017-12-31	$333,960
Net plan assets at beginning of year (total assets less liabilities)	2017-12-31	$291,612
Total contributions received or receivable from employer(s)	2017-12-31	$11,627
2016 : DJ WARREN & ASSOCIATES INC 401(K) PROFIT SHARING PLAN 2016 401k financial data
Total income from all sources	2016-12-31	$131,463
Total plan assets at end of year	2016-12-31	$291,612
Total plan assets at beginning of year	2016-12-31	$160,149
Value of fidelity bond covering the plan	2016-12-31	$16,500
Total contributions received or receivable from participants	2016-12-31	$99,880
Other income received	2016-12-31	$15,353
Net income (gross income less expenses)	2016-12-31	$131,463
Net plan assets at end of year (total assets less liabilities)	2016-12-31	$291,612
Net plan assets at beginning of year (total assets less liabilities)	2016-12-31	$160,149
Total contributions received or receivable from employer(s)	2016-12-31	$16,230
2015 : DJ WARREN & ASSOCIATES INC 401(K) PROFIT SHARING PLAN 2015 401k financial data
Total income from all sources	2015-12-31	$160,149
Total plan assets at end of year	2015-12-31	$160,149
Total plan assets at beginning of year	2015-12-31	$0
Value of fidelity bond covering the plan	2015-12-31	$16,500
Total contributions received or receivable from participants	2015-12-31	$96,359
Contributions received from other sources (not participants or employers)	2015-12-31	$43,411
Other income received	2015-12-31	$1,596
Net income (gross income less expenses)	2015-12-31	$160,149
Net plan assets at end of year (total assets less liabilities)	2015-12-31	$160,149
Net plan assets at beginning of year (total assets less liabilities)	2015-12-31	$0
Total contributions received or receivable from employer(s)	2015-12-31	$18,783

Form 5500 Responses for DJ WARREN & ASSOCIATES INC 401(K) PROFIT SHARING PLAN

2020: DJ WARREN & ASSOCIATES INC 401(K) PROFIT SHARING PLAN 2020 form 5500 responses
2020-01-01	Type of plan entity	Single employer plan
2020-01-01	This submission is the final filing	Yes
2020-01-01	Plan funding arrangement – Trust	Yes
2020-01-01	Plan benefit arrangement - Trust	Yes
2019: DJ WARREN & ASSOCIATES INC 401(K) PROFIT SHARING PLAN 2019 form 5500 responses
2019-01-01	Type of plan entity	Single employer plan
2019-01-01	Plan funding arrangement – Trust	Yes
2019-01-01	Plan benefit arrangement - Trust	Yes
2018: DJ WARREN & ASSOCIATES INC 401(K) PROFIT SHARING PLAN 2018 form 5500 responses
2018-01-01	Type of plan entity	Single employer plan
2018-01-01	Plan funding arrangement – Trust	Yes
2018-01-01	Plan benefit arrangement - Trust	Yes
2017: DJ WARREN & ASSOCIATES INC 401(K) PROFIT SHARING PLAN 2017 form 5500 responses
2017-01-01	Type of plan entity	Single employer plan
2017-01-01	Plan funding arrangement – Trust	Yes
2017-01-01	Plan benefit arrangement - Trust	Yes
2016: DJ WARREN & ASSOCIATES INC 401(K) PROFIT SHARING PLAN 2016 form 5500 responses
2016-01-01	Type of plan entity	Single employer plan
2016-01-01	Plan funding arrangement – Trust	Yes
2016-01-01	Plan benefit arrangement - Trust	Yes
2015: DJ WARREN & ASSOCIATES INC 401(K) PROFIT SHARING PLAN 2015 form 5500 responses
2015-01-01	Type of plan entity	Single employer plan
2015-01-01	First time form 5500 has been submitted	Yes
2015-01-01	Plan funding arrangement – Trust	Yes
2015-01-01	Plan benefit arrangement - Trust	Yes

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Company Name:	DJ WARREN & ASSOCIATES INC
Employer identification number (EIN):	421584889
NAIC Classification:	541600