401k Plan data: INVESTORS CAPITAL HOLDINGS, LLC 401(K) PROFIT SHARING PLAN plan

INVESTORS CAPITAL HOLDINGS, LLC 401(K) PROFIT SHARING PLAN 401k Plan overview

Plan Name	INVESTORS CAPITAL HOLDINGS, LLC 401(K) PROFIT SHARING PLAN
Plan identification number	001

INVESTORS CAPITAL HOLDINGS, LLC 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.
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.
Plan provides for automatic enrollment in plan that has employee contributions deducted from payroll.
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.
Plan sponsor(s) is (are) a member(s) of a controlled group (Code sections 414(b), (c), or (m)).

401k Sponsoring company profile

INVESTORS CAPITAL HOLDINGS, LLC has sponsored the creation of one or more 401k plans.

Company Name: INVESTORS CAPITAL HOLDINGS, LLC

Employer identification number (EIN): 463893131

NAIC Classification: 523900

Additional information about INVESTORS CAPITAL HOLDINGS, LLC

Jurisdiction of Incorporation: State of Delaware Division of Corporations

Incorporation Date:

Company Identification Number: 5415066

More information about INVESTORS CAPITAL HOLDINGS, LLC

Form 5500 Filing Information

Submission information for form 5500 for 401k plan INVESTORS CAPITAL HOLDINGS, LLC 401(K) PROFIT SHARING PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2018-01-01 JAMIE TIANO 2018-09-17
001 2017-01-01 JAMIE TIANO 2018-08-29
001 2016-01-01 JAMIE TIANO 2017-10-03
001 2015-01-01 TIMOTHY MURPHY
001 2014-01-01 JEN RYAN KATHLEEN DONNELLY 2015-07-15

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed	Name of Company Sponsor	Date Sponsor Signed
001	2018-01-01	JAMIE TIANO	2018-09-17
001	2017-01-01	JAMIE TIANO	2018-08-29
001	2016-01-01	JAMIE TIANO	2017-10-03
001	2015-01-01	TIMOTHY MURPHY
001	2014-01-01	JEN RYAN		KATHLEEN DONNELLY	2015-07-15

Plan Statistics for INVESTORS CAPITAL HOLDINGS, LLC 401(K) PROFIT SHARING PLAN

401k plan membership statisitcs for INVESTORS CAPITAL HOLDINGS, LLC 401(K) PROFIT SHARING PLAN

Measure Date Value
2015: INVESTORS CAPITAL HOLDINGS, LLC 401(K) PROFIT SHARING PLAN 2015 401k membership
Total participants, beginning-of-year 2015-01-01 86
Total number of active participants reported on line 7a of the Form 5500 2015-01-01 45
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 35
Total of all active and inactive participants 2015-01-01 80
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2015-01-01 0
Total participants 2015-01-01 80
Number of participants with account balances 2015-01-01 79
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2015-01-01 3
2014: INVESTORS CAPITAL HOLDINGS, LLC 401(K) PROFIT SHARING PLAN 2014 401k membership
Total participants, beginning-of-year 2014-01-01 82
Total number of active participants reported on line 7a of the Form 5500 2014-01-01 59
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 26
Total of all active and inactive participants 2014-01-01 85
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2014-01-01 0
Total participants 2014-01-01 85
Number of participants with account balances 2014-01-01 85
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2014-01-01 7

Measure	Date	Value
2015: INVESTORS CAPITAL HOLDINGS, LLC 401(K) PROFIT SHARING PLAN 2015 401k membership
Total participants, beginning-of-year	2015-01-01	86
Total number of active participants reported on line 7a of the Form 5500	2015-01-01	45
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	35
Total of all active and inactive participants	2015-01-01	80
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2015-01-01	0
Total participants	2015-01-01	80
Number of participants with account balances	2015-01-01	79
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2015-01-01	3
2014: INVESTORS CAPITAL HOLDINGS, LLC 401(K) PROFIT SHARING PLAN 2014 401k membership
Total participants, beginning-of-year	2014-01-01	82
Total number of active participants reported on line 7a of the Form 5500	2014-01-01	59
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	26
Total of all active and inactive participants	2014-01-01	85
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2014-01-01	0
Total participants	2014-01-01	85
Number of participants with account balances	2014-01-01	85
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2014-01-01	7

Financial Data on INVESTORS CAPITAL HOLDINGS, LLC 401(K) PROFIT SHARING PLAN

Measure	Date	Value
2015 : INVESTORS CAPITAL HOLDINGS, LLC 401(K) PROFIT SHARING PLAN 2015 401k financial data
Total income from all sources	2015-12-31	$-781,024
Expenses. Total of all expenses incurred	2015-12-31	$236,723
Benefits paid (including direct rollovers)	2015-12-31	$235,462
Total plan assets at end of year	2015-12-31	$2,558,145
Total plan assets at beginning of year	2015-12-31	$3,575,892
Value of fidelity bond covering the plan	2015-12-31	$4,000,000
Total contributions received or receivable from participants	2015-12-31	$307,868
Expenses. Other expenses not covered elsewhere	2015-12-31	$46
Contributions received from other sources (not participants or employers)	2015-12-31	$114
Other income received	2015-12-31	$-1,250,217
Net income (gross income less expenses)	2015-12-31	$-1,017,747
Net plan assets at end of year (total assets less liabilities)	2015-12-31	$2,558,145
Net plan assets at beginning of year (total assets less liabilities)	2015-12-31	$3,575,892
Assets. Value of participant loans	2015-12-31	$100,589
Assets. Value of employer securities	2015-12-31	$36,801
Total contributions received or receivable from employer(s)	2015-12-31	$161,211
Expenses. Administrative service providers (salaries,fees and commissions)	2015-12-31	$1,215
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2015-12-31	$0
2014 : INVESTORS CAPITAL HOLDINGS, LLC 401(K) PROFIT SHARING PLAN 2014 401k financial data
Total income from all sources	2014-12-31	$-294,033
Expenses. Total of all expenses incurred	2014-12-31	$56,153
Benefits paid (including direct rollovers)	2014-12-31	$46,458
Total plan assets at end of year	2014-12-31	$3,575,892
Total plan assets at beginning of year	2014-12-31	$3,926,078
Value of fidelity bond covering the plan	2014-12-31	$4,000,000
Total contributions received or receivable from participants	2014-12-31	$281,363
Contributions received from other sources (not participants or employers)	2014-12-31	$12,785
Other income received	2014-12-31	$-741,219
Net income (gross income less expenses)	2014-12-31	$-350,186
Net plan assets at end of year (total assets less liabilities)	2014-12-31	$3,575,892
Net plan assets at beginning of year (total assets less liabilities)	2014-12-31	$3,926,078
Assets. Value of participant loans	2014-12-31	$82,754
Assets. Value of employer securities	2014-12-31	$1,247,786
Total contributions received or receivable from employer(s)	2014-12-31	$153,038
Value of certain deemed distributions of participant loans	2014-12-31	$1,111
Value of corrective distributions	2014-12-31	$8,584
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2014-12-31	$0

Form 5500 Responses for INVESTORS CAPITAL HOLDINGS, LLC 401(K) PROFIT SHARING PLAN

2015: INVESTORS CAPITAL HOLDINGS, LLC 401(K) PROFIT SHARING PLAN 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: INVESTORS CAPITAL HOLDINGS, LLC 401(K) PROFIT 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 – Trust	Yes
2014-01-01	Plan benefit arrangement - Trust	Yes

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Company Name:	INVESTORS CAPITAL HOLDINGS, LLC
Employer identification number (EIN):	463893131
NAIC Classification:	523900

Jurisdiction of Incorporation:	State of Delaware Division of Corporations
Incorporation Date:
Company Identification Number:	5415066