401k Plan data: WALLER & WAX ADVISORS INC. 401(K) plan

WALLER & WAX ADVISORS INC. 401(K) 401k Plan overview

Plan Name	WALLER & WAX ADVISORS INC. 401(K)
Plan identification number	001

WALLER & WAX ADVISORS INC. 401(K) 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
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.
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

WALLER & WAX ADVISORS, INC. has sponsored the creation of one or more 401k plans.

Company Name: WALLER & WAX ADVISORS, INC.

Employer identification number (EIN): 592449554

NAIC Classification: 541990
NAIC Description: All Other Professional, Scientific, and Technical Services

Additional information about WALLER & WAX ADVISORS, INC.

Jurisdiction of Incorporation: Florida Department of State Division of Corporations

Incorporation Date: 1984-08-29

Company Identification Number: H18725

Legal Registered Office Address: 100 NORTH TAMPA ST.

TAMPA

33602

More information about WALLER & WAX ADVISORS, INC.

Form 5500 Filing Information

Submission information for form 5500 for 401k plan WALLER & WAX ADVISORS INC. 401(K)

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2019-01-01
001 2018-01-01 JON WAX 2019-06-04
001 2017-01-01 JON WAX 2018-04-11
001 2016-01-01 JON WAX 2017-08-22
001 2016-01-01 JON WAX 2017-08-14
001 2015-01-01 JON WAX 2016-07-14
001 2014-01-01 JON WAX 2015-10-06
001 2013-01-01 JON WAX 2014-07-18
001 2012-01-01 JONATHAN D. WAX
001 2011-01-01 JONATHAN D. WAX

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed
001	2019-01-01
001	2018-01-01	JON WAX	2019-06-04
001	2017-01-01	JON WAX	2018-04-11
001	2016-01-01	JON WAX	2017-08-22
001	2016-01-01	JON WAX	2017-08-14
001	2015-01-01	JON WAX	2016-07-14
001	2014-01-01	JON WAX	2015-10-06
001	2013-01-01	JON WAX	2014-07-18
001	2012-01-01	JONATHAN D. WAX
001	2011-01-01	JONATHAN D. WAX

Plan Statistics for WALLER & WAX ADVISORS INC. 401(K)

401k plan membership statisitcs for WALLER & WAX ADVISORS INC. 401(K)

Measure Date Value
2012: WALLER & WAX ADVISORS INC. 401(K) 2012 401k membership
Total participants, beginning-of-year 2012-01-01 5
Total number of active participants reported on line 7a of the Form 5500 2012-01-01 4
Number of retired or separated participants receiving benefits 2012-01-01 0
Number of other retired or separated participants entitled to future benefits 2012-01-01 0
Total of all active and inactive participants 2012-01-01 4
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2012-01-01 0
Total participants 2012-01-01 4
Number of participants with account balances 2012-01-01 4
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2012-01-01 0
2011: WALLER & WAX ADVISORS INC. 401(K) 2011 401k membership
Total participants, beginning-of-year 2011-01-01 0
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 5
Number of retired or separated participants receiving benefits 2011-01-01 0
Number of other retired or separated participants entitled to future benefits 2011-01-01 0
Total of all active and inactive participants 2011-01-01 5
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-01-01 0
Total participants 2011-01-01 5
Number of participants with account balances 2011-01-01 5
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-01-01 0

Measure	Date	Value
2012: WALLER & WAX ADVISORS INC. 401(K) 2012 401k membership
Total participants, beginning-of-year	2012-01-01	5
Total number of active participants reported on line 7a of the Form 5500	2012-01-01	4
Number of retired or separated participants receiving benefits	2012-01-01	0
Number of other retired or separated participants entitled to future benefits	2012-01-01	0
Total of all active and inactive participants	2012-01-01	4
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2012-01-01	0
Total participants	2012-01-01	4
Number of participants with account balances	2012-01-01	4
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2012-01-01	0
2011: WALLER & WAX ADVISORS INC. 401(K) 2011 401k membership
Total participants, beginning-of-year	2011-01-01	0
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	5
Number of retired or separated participants receiving benefits	2011-01-01	0
Number of other retired or separated participants entitled to future benefits	2011-01-01	0
Total of all active and inactive participants	2011-01-01	5
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-01-01	0
Total participants	2011-01-01	5
Number of participants with account balances	2011-01-01	5
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-01-01	0

Financial Data on WALLER & WAX ADVISORS INC. 401(K)

Measure	Date	Value
2012 : WALLER & WAX ADVISORS INC. 401(K) 2012 401k financial data
Total income from all sources	2012-12-31	$20,317
Expenses. Total of all expenses incurred	2012-12-31	$25,097
Benefits paid (including direct rollovers)	2012-12-31	$25,045
Total plan assets at end of year	2012-12-31	$73,768
Total plan assets at beginning of year	2012-12-31	$78,548
Total contributions received or receivable from participants	2012-12-31	$11,589
Expenses. Other expenses not covered elsewhere	2012-12-31	$52
Other income received	2012-12-31	$3,139
Net income (gross income less expenses)	2012-12-31	$-4,780
Net plan assets at end of year (total assets less liabilities)	2012-12-31	$73,768
Net plan assets at beginning of year (total assets less liabilities)	2012-12-31	$78,548
Total contributions received or receivable from employer(s)	2012-12-31	$5,589
2011 : WALLER & WAX ADVISORS INC. 401(K) 2011 401k financial data
Total income from all sources	2011-12-31	$78,548
Total plan assets at end of year	2011-12-31	$78,548
Total plan assets at beginning of year	2011-12-31	$0
Total contributions received or receivable from participants	2011-12-31	$51,768
Contributions received from other sources (not participants or employers)	2011-12-31	$4,358
Other income received	2011-12-31	$624
Net income (gross income less expenses)	2011-12-31	$78,548
Net plan assets at end of year (total assets less liabilities)	2011-12-31	$78,548
Net plan assets at beginning of year (total assets less liabilities)	2011-12-31	$0
Total contributions received or receivable from employer(s)	2011-12-31	$21,798

Form 5500 Responses for WALLER & WAX ADVISORS INC. 401(K)

2012: WALLER & WAX ADVISORS INC. 401(K) 2012 form 5500 responses
2012-01-01	Type of plan entity	Single employer plan
2012-01-01	Plan funding arrangement – Trust	Yes
2012-01-01	Plan benefit arrangement - Trust	Yes
2011: WALLER & WAX ADVISORS INC. 401(K) 2011 form 5500 responses
2011-01-01	Type of plan entity	Single employer plan
2011-01-01	First time form 5500 has been submitted	Yes
2011-01-01	Plan funding arrangement – Trust	Yes
2011-01-01	Plan benefit arrangement - Trust	Yes

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Company Name:	WALLER & WAX ADVISORS, INC.
Employer identification number (EIN):	592449554
NAIC Classification:	541990
NAIC Description:	All Other Professional, Scientific, and Technical Services

Jurisdiction of Incorporation:	Florida Department of State Division of Corporations
Incorporation Date:	1984-08-29
Company Identification Number:	H18725
Legal Registered Office Address:	100 NORTH TAMPA ST. TAMPA 33602