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SLEPIAN & SCHWARTZ, LLC 401(K) PLAN 401k Plan overview

Plan NameSLEPIAN & SCHWARTZ, LLC 401(K) PLAN
Plan identification number 001

SLEPIAN & SCHWARTZ, LLC 401(K) PLAN Benefits

401k Plan TypeDefined 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.
  • 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

SLEPIAN & SCHWARTZ, LLC has sponsored the creation of one or more 401k plans.

Company Name:SLEPIAN & SCHWARTZ, LLC
Employer identification number (EIN):582449683
NAIC Classification:541110
NAIC Description:Offices of Lawyers

Form 5500 Filing Information

Submission information for form 5500 for 401k plan SLEPIAN & SCHWARTZ, LLC 401(K) PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator SignedName of Company SponsorDate Sponsor Signed
0012022-01-01ERIC SLEPIAN2023-06-09 ERIC SLEPIAN2023-06-09
0012021-01-01ERIC SLEPIAN2022-05-20 ERIC SLEPIAN2022-05-20
0012020-01-01JULIE S POSKE2021-06-01
0012019-01-01JULIE S POSKE2020-10-05
0012018-01-01JULIE S POSKE2019-06-10
0012017-01-01JULIE S POSKE2018-07-26
0012017-01-01JULIE S POSKE2019-06-10
0012016-01-01JULIE S POSKE2017-07-24
0012015-01-01JULIE S POSKE2016-10-12
0012014-01-01JULIE S POSKE2015-10-14
0012013-01-01JULIE S POSKE2014-10-15
0012012-01-01ERIC A. SLEPIAN
0012011-01-01ERIC A. SLEPIAN
0012009-01-01ERIC A. SLEPIAN

Plan Statistics for SLEPIAN & SCHWARTZ, LLC 401(K) PLAN

401k plan membership statisitcs for SLEPIAN & SCHWARTZ, LLC 401(K) PLAN

Measure Date Value
2012: SLEPIAN & SCHWARTZ, LLC 401(K) PLAN 2012 401k membership
Total participants, beginning-of-year2012-01-019
Total number of active participants reported on line 7a of the Form 55002012-01-019
Total of all active and inactive participants2012-01-019
Total participants2012-01-019
Number of participants with account balances2012-01-019
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2012-01-012
2011: SLEPIAN & SCHWARTZ, LLC 401(K) PLAN 2011 401k membership
Total participants, beginning-of-year2011-01-019
Total number of active participants reported on line 7a of the Form 55002011-01-018
Number of retired or separated participants receiving benefits2011-01-010
Number of other retired or separated participants entitled to future benefits2011-01-010
Total of all active and inactive participants2011-01-018
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2011-01-010
Total participants2011-01-018
Number of participants with account balances2011-01-018
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2011-01-013
2009: SLEPIAN & SCHWARTZ, LLC 401(K) PLAN 2009 401k membership
Total participants, beginning-of-year2009-01-0113
Total number of active participants reported on line 7a of the Form 55002009-01-0111
Number of retired or separated participants receiving benefits2009-01-010
Number of other retired or separated participants entitled to future benefits2009-01-010
Total of all active and inactive participants2009-01-0111
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2009-01-010
Total participants2009-01-0111
Number of participants with account balances2009-01-0111
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2009-01-012

Financial Data on SLEPIAN & SCHWARTZ, LLC 401(K) PLAN

Measure Date Value
2012 : SLEPIAN & SCHWARTZ, LLC 401(K) PLAN 2012 401k financial data
Total income from all sources2012-12-31$137,513
Expenses. Total of all expenses incurred2012-12-31$44,640
Benefits paid (including direct rollovers)2012-12-31$44,640
Total plan assets at end of year2012-12-31$718,301
Total plan assets at beginning of year2012-12-31$625,428
Value of fidelity bond covering the plan2012-12-31$250,000
Total contributions received or receivable from participants2012-12-31$49,498
Other income received2012-12-31$70,532
Net income (gross income less expenses)2012-12-31$92,873
Net plan assets at end of year (total assets less liabilities)2012-12-31$718,301
Net plan assets at beginning of year (total assets less liabilities)2012-12-31$625,428
Assets. Value of participant loans2012-12-31$7,396
Value of participant contributions where there was a failure to transmit these to the plan within the time period described in 29 CFR 2510.3-1022012-12-31$26,442
Total contributions received or receivable from employer(s)2012-12-31$17,483
2011 : SLEPIAN & SCHWARTZ, LLC 401(K) PLAN 2011 401k financial data
Transfers to/from the plan2011-12-31$-100,045
Total income from all sources2011-12-31$60,410
Expenses. Total of all expenses incurred2011-12-31$8,155
Benefits paid (including direct rollovers)2011-12-31$8,155
Total plan assets at end of year2011-12-31$625,428
Total plan assets at beginning of year2011-12-31$673,218
Value of fidelity bond covering the plan2011-12-31$250,000
Total contributions received or receivable from participants2011-12-31$49,531
Contributions received from other sources (not participants or employers)2011-12-31$3,229
Other income received2011-12-31$-9,221
Net income (gross income less expenses)2011-12-31$52,255
Net plan assets at end of year (total assets less liabilities)2011-12-31$625,428
Net plan assets at beginning of year (total assets less liabilities)2011-12-31$673,218
Assets. Value of participant loans2011-12-31$9,432
Total contributions received or receivable from employer(s)2011-12-31$16,871
2010 : SLEPIAN & SCHWARTZ, LLC 401(K) PLAN 2010 401k financial data
Total income from all sources2010-12-31$149,920
Expenses. Total of all expenses incurred2010-12-31$21,605
Benefits paid (including direct rollovers)2010-12-31$21,290
Total plan assets at end of year2010-12-31$673,218
Total plan assets at beginning of year2010-12-31$544,903
Value of fidelity bond covering the plan2010-12-31$250,000
Total contributions received or receivable from participants2010-12-31$49,887
Contributions received from other sources (not participants or employers)2010-12-31$616
Other income received2010-12-31$82,565
Noncash contributions received2010-12-31$0
Net income (gross income less expenses)2010-12-31$128,315
Net plan assets at end of year (total assets less liabilities)2010-12-31$673,218
Net plan assets at beginning of year (total assets less liabilities)2010-12-31$544,903
Assets. Value of participant loans2010-12-31$12,386
Total contributions received or receivable from employer(s)2010-12-31$16,852
Value of corrective distributions2010-12-31$0
Expenses. Administrative service providers (salaries,fees and commissions)2010-12-31$315
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2010-12-31$0
2009 : SLEPIAN & SCHWARTZ, LLC 401(K) PLAN 2009 401k financial data
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2009-12-31$0

Form 5500 Responses for SLEPIAN & SCHWARTZ, LLC 401(K) PLAN

2012: SLEPIAN & SCHWARTZ, LLC 401(K) PLAN 2012 form 5500 responses
2012-01-01Type of plan entitySingle employer plan
2012-01-01Plan funding arrangement – InsuranceYes
2012-01-01Plan benefit arrangement – InsuranceYes
2011: SLEPIAN & SCHWARTZ, LLC 401(K) PLAN 2011 form 5500 responses
2011-01-01Type of plan entitySingle employer plan
2011-01-01Plan funding arrangement – InsuranceYes
2011-01-01Plan benefit arrangement – InsuranceYes
2009: SLEPIAN & SCHWARTZ, LLC 401(K) PLAN 2009 form 5500 responses
2009-01-01Type of plan entitySingle employer plan
2009-01-01Plan funding arrangement – InsuranceYes
2009-01-01Plan benefit arrangement – InsuranceYes

Insurance Providers Used on plan

VOYA RETIRIEMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 86509 )
Policy contract numberPHM870
Policy instance 1
Insurance contract or identification numberPHM870
Number of Individuals Covered24
Insurance policy start date2012-01-01
Insurance policy end date2012-12-31
Total amount of commissions paid to insurance brokerUSD $1,693
Total amount of fees paid to insurance companyUSD $0
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 BrokerUSD $1,188
Amount paid for insurance broker fees0
Insurance broker organization code?3
Insurance broker nameFINANCIAL TELESIS JHW FINANCIAL
VOYA RETIRIEMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 86509 )
Policy contract numberPHM870
Policy instance 1
Insurance contract or identification numberPHM870
Number of Individuals Covered22
Insurance policy start date2011-01-01
Insurance policy end date2011-12-31
Total amount of commissions paid to insurance brokerUSD $1,516
Are there contracts with unallocated funds for contracts of type guaranteed investment?Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
AXA EQUITABLE LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 66944 )
Policy contract number308624050
Policy instance 2
Insurance contract or identification number308624050
Number of Individuals Covered1
Insurance policy start date2011-01-01
Insurance policy end date2011-12-31
Total amount of commissions paid to insurance brokerUSD $0
Are there contracts with unallocated funds for contracts of type guaranteed investment?Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
VOYA RETIRIEMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 86509 )
Policy contract numberPHM870
Policy instance 1
Insurance contract or identification numberPHM870
Number of Individuals Covered11
Insurance policy start date2010-01-01
Insurance policy end date2010-12-31
Total amount of commissions paid to insurance brokerUSD $1,225
Total amount of fees paid to insurance companyUSD $0
Are there contracts with unallocated funds for contracts of type 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 BrokerUSD $1,225
Amount paid for insurance broker fees0
Insurance broker organization code?3
Insurance broker nameAXA NETWORK, LLC
AXA EQUITABLE LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 66944 )
Policy contract number308624050
Policy instance 2
Insurance contract or identification number308624050
Number of Individuals Covered1
Insurance policy start date2010-01-01
Insurance policy end date2010-12-31
Are there contracts with unallocated funds for contracts of type guaranteed investment?Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No

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