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J.M. DAVIDSON, INC. 401(K) PLAN 401k Plan overview

Plan NameJ.M. DAVIDSON, INC. 401(K) PLAN
Plan identification number 001

J.M. DAVIDSON, INC. 401(K) PLAN Benefits

401k Plan TypeDefined 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.
  • 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) received services of leased employees, as defined in Code section 414(n), during the plan year.

401k Sponsoring company profile

J.M. DAVIDSON, LTD DBA J.M. DAVIDSON, INC. has sponsored the creation of one or more 401k plans.

Company Name:J.M. DAVIDSON, LTD DBA J.M. DAVIDSON, INC.
Employer identification number (EIN):742239281
NAIC Classification:237990
NAIC Description:Other Heavy and Civil Engineering Construction

Form 5500 Filing Information

Submission information for form 5500 for 401k plan J.M. DAVIDSON, INC. 401(K) PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator SignedName of Company SponsorDate Sponsor Signed
0012022-01-01LAURA GONZALES2023-06-21 LAURA GONZALES2023-06-21
0012021-01-01LAURA GONZALES2022-06-16 LAURA GONZALES2022-06-16
0012020-01-01LAURA GONZALES2021-05-03
0012019-01-01LAURA GONZALES2020-10-05
0012018-01-01LAURA GONZALES2019-04-18
0012017-01-01MISTY TUCKER2018-05-30
0012016-01-01MISTY TUCKER
0012015-01-01MISTY TUCKER
0012014-01-01MISTY TUCKER
0012013-01-01MISTY TUCKER
0012012-01-01MISTY TUCKER
0012011-01-01BARBARA TAYLOR
0012009-01-01BARBARA TAYLOR

Plan Statistics for J.M. DAVIDSON, INC. 401(K) PLAN

401k plan membership statisitcs for J.M. DAVIDSON, INC. 401(K) PLAN

Measure Date Value
2016: J.M. DAVIDSON, INC. 401(K) PLAN 2016 401k membership
Total participants, beginning-of-year2016-01-01135
Total number of active participants reported on line 7a of the Form 55002016-01-0160
Number of retired or separated participants receiving benefits2016-01-010
Number of other retired or separated participants entitled to future benefits2016-01-019
Total of all active and inactive participants2016-01-0169
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2016-01-010
Total participants2016-01-0169
Number of participants with account balances2016-01-0121
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2016-01-010
2015: J.M. DAVIDSON, INC. 401(K) PLAN 2015 401k membership
Total participants, beginning-of-year2015-01-01148
Total number of active participants reported on line 7a of the Form 55002015-01-0197
Number of retired or separated participants receiving benefits2015-01-010
Number of other retired or separated participants entitled to future benefits2015-01-016
Total of all active and inactive participants2015-01-01103
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2015-01-010
Total participants2015-01-01103
Number of participants with account balances2015-01-0125
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2015-01-010
2014: J.M. DAVIDSON, INC. 401(K) PLAN 2014 401k membership
Total participants, beginning-of-year2014-01-01157
Total number of active participants reported on line 7a of the Form 55002014-01-01136
Number of retired or separated participants receiving benefits2014-01-010
Number of other retired or separated participants entitled to future benefits2014-01-012
Total of all active and inactive participants2014-01-01138
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2014-01-010
Total participants2014-01-01138
Number of participants with account balances2014-01-0127
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2014-01-011
2013: J.M. DAVIDSON, INC. 401(K) PLAN 2013 401k membership
Total participants, beginning-of-year2013-01-01167
Total number of active participants reported on line 7a of the Form 55002013-01-01148
Number of retired or separated participants receiving benefits2013-01-010
Number of other retired or separated participants entitled to future benefits2013-01-019
Total of all active and inactive participants2013-01-01157
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2013-01-010
Total participants2013-01-01157
Number of participants with account balances2013-01-0133
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2013-01-014
2012: J.M. DAVIDSON, INC. 401(K) PLAN 2012 401k membership
Total participants, beginning-of-year2012-01-01163
Total number of active participants reported on line 7a of the Form 55002012-01-01159
Number of retired or separated participants receiving benefits2012-01-010
Number of other retired or separated participants entitled to future benefits2012-01-016
Total of all active and inactive participants2012-01-01165
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2012-01-010
Total participants2012-01-01165
Number of participants with account balances2012-01-0134
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2012-01-011
2011: J.M. DAVIDSON, INC. 401(K) PLAN 2011 401k membership
Total participants, beginning-of-year2011-01-01153
Total number of active participants reported on line 7a of the Form 55002011-01-01124
Number of retired or separated participants receiving benefits2011-01-010
Number of other retired or separated participants entitled to future benefits2011-01-013
Total of all active and inactive participants2011-01-01127
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2011-01-010
Total participants2011-01-01127
Number of participants with account balances2011-01-0128
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2011-01-010
2009: J.M. DAVIDSON, INC. 401(K) PLAN 2009 401k membership
Total participants, beginning-of-year2009-01-01133
Total number of active participants reported on line 7a of the Form 55002009-01-0189
Number of retired or separated participants receiving benefits2009-01-010
Number of other retired or separated participants entitled to future benefits2009-01-019
Total of all active and inactive participants2009-01-0198
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2009-01-010
Total participants2009-01-0198
Number of participants with account balances2009-01-0128
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2009-01-010

Financial Data on J.M. DAVIDSON, INC. 401(K) PLAN

Measure Date Value
2016 : J.M. DAVIDSON, INC. 401(K) PLAN 2016 401k financial data
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2016-12-31$15,666
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2016-12-31$13,702
Total income from all sources (including contributions)2016-12-31$105,058
Total of all expenses incurred2016-12-31$83,328
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2016-12-31$65,877
Expenses. Certain deemed distributions of participant loans2016-12-31$0
Value of total corrective distributions2016-12-31$15,666
Total contributions o plan (from employers,participants, others, non cash contrinutions)2016-12-31$69,159
Value of total assets at end of year2016-12-31$561,288
Value of total assets at beginning of year2016-12-31$537,594
Total of administrative expenses incurred including professional, contract, advisory and management fees2016-12-31$1,785
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2016-12-31No
Was this plan covered by a fidelity bond2016-12-31Yes
Value of fidelity bond cover2016-12-31$100,000
If this is an individual account plan, was there a blackout period2016-12-31No
Were there any nonexempt tranactions with any party-in-interest2016-12-31No
Contributions received from participants2016-12-31$69,159
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2016-12-31No
Value of net income/loss2016-12-31$21,730
Value of net assets at end of year (total assets less liabilities)2016-12-31$545,622
Value of net assets at beginning of year (total assets less liabilities)2016-12-31$523,892
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2016-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2016-12-31No
Were any leases to which the plan was party in default or uncollectible2016-12-31No
Investment advisory and management fees2016-12-31$1,518
Value of interest in registered invesment companies (eg mutual funds) at end of year2016-12-31$561,288
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2016-12-31$537,594
Net investment gain/loss from registered investment companies (e.g. mutual funds)2016-12-31$35,899
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2016-12-31No
Was there a failure to transmit to the plan any participant contributions2016-12-31No
Has the plan failed to provide any benefit when due under the plan2016-12-31No
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2016-12-31$65,877
Contract administrator fees2016-12-31$267
Liabilities. Value of benefit claims payable at end of year2016-12-31$15,666
Liabilities. Value of benefit claims payable at beginning of year2016-12-31$13,702
Did the plan have assets held for investment2016-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2016-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2016-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2016-12-31Yes
Opinion of an independent qualified public accountant for this plan2016-12-31Disclaimer
Accountancy firm name2016-12-31FIELDS, NEMEC & CO., P.C.
Accountancy firm EIN2016-12-31742588072
2015 : J.M. DAVIDSON, INC. 401(K) PLAN 2015 401k financial data
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2015-12-31$13,702
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2015-12-31$14,019
Total income from all sources (including contributions)2015-12-31$71,076
Total of all expenses incurred2015-12-31$116,611
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2015-12-31$101,357
Value of total corrective distributions2015-12-31$13,702
Total contributions o plan (from employers,participants, others, non cash contrinutions)2015-12-31$94,317
Value of total assets at end of year2015-12-31$537,594
Value of total assets at beginning of year2015-12-31$583,446
Total of administrative expenses incurred including professional, contract, advisory and management fees2015-12-31$1,552
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2015-12-31No
Was this plan covered by a fidelity bond2015-12-31Yes
Value of fidelity bond cover2015-12-31$100,000
If this is an individual account plan, was there a blackout period2015-12-31No
Were there any nonexempt tranactions with any party-in-interest2015-12-31No
Contributions received from participants2015-12-31$94,317
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2015-12-31No
Value of net income/loss2015-12-31$-45,535
Value of net assets at end of year (total assets less liabilities)2015-12-31$523,892
Value of net assets at beginning of year (total assets less liabilities)2015-12-31$569,427
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2015-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2015-12-31No
Were any leases to which the plan was party in default or uncollectible2015-12-31No
Investment advisory and management fees2015-12-31$969
Value of interest in registered invesment companies (eg mutual funds) at end of year2015-12-31$537,594
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2015-12-31$583,446
Net investment gain/loss from registered investment companies (e.g. mutual funds)2015-12-31$-23,241
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2015-12-31No
Was there a failure to transmit to the plan any participant contributions2015-12-31No
Has the plan failed to provide any benefit when due under the plan2015-12-31No
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2015-12-31$101,357
Contract administrator fees2015-12-31$583
Liabilities. Value of benefit claims payable at end of year2015-12-31$13,702
Liabilities. Value of benefit claims payable at beginning of year2015-12-31$14,019
Did the plan have assets held for investment2015-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2015-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2015-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2015-12-31Yes
Opinion of an independent qualified public accountant for this plan2015-12-31Disclaimer
Accountancy firm name2015-12-31FIELDS, NEMEC & CO., P.C.
Accountancy firm EIN2015-12-31742588072
2014 : J.M. DAVIDSON, INC. 401(K) PLAN 2014 401k financial data
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2014-12-31$14,019
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2014-12-31$13,870
Total income from all sources (including contributions)2014-12-31$117,127
Total of all expenses incurred2014-12-31$169,532
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2014-12-31$153,804
Value of total corrective distributions2014-12-31$14,019
Total contributions o plan (from employers,participants, others, non cash contrinutions)2014-12-31$116,516
Value of total assets at end of year2014-12-31$583,446
Value of total assets at beginning of year2014-12-31$635,702
Total of administrative expenses incurred including professional, contract, advisory and management fees2014-12-31$1,709
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2014-12-31No
Was this plan covered by a fidelity bond2014-12-31Yes
Value of fidelity bond cover2014-12-31$100,000
If this is an individual account plan, was there a blackout period2014-12-31No
Were there any nonexempt tranactions with any party-in-interest2014-12-31No
Contributions received from participants2014-12-31$88,885
Income. Received or receivable in cash from other sources (including rollovers)2014-12-31$27,631
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2014-12-31No
Value of net income/loss2014-12-31$-52,405
Value of net assets at end of year (total assets less liabilities)2014-12-31$569,427
Value of net assets at beginning of year (total assets less liabilities)2014-12-31$621,832
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2014-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2014-12-31No
Were any leases to which the plan was party in default or uncollectible2014-12-31No
Investment advisory and management fees2014-12-31$813
Value of interest in registered invesment companies (eg mutual funds) at end of year2014-12-31$583,446
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2014-12-31$635,702
Net investment gain/loss from registered investment companies (e.g. mutual funds)2014-12-31$611
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2014-12-31No
Was there a failure to transmit to the plan any participant contributions2014-12-31No
Has the plan failed to provide any benefit when due under the plan2014-12-31No
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2014-12-31$153,804
Contract administrator fees2014-12-31$896
Liabilities. Value of benefit claims payable at end of year2014-12-31$14,019
Liabilities. Value of benefit claims payable at beginning of year2014-12-31$13,870
Did the plan have assets held for investment2014-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2014-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2014-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2014-12-31Yes
Opinion of an independent qualified public accountant for this plan2014-12-31Disclaimer
Accountancy firm name2014-12-31FIELDS, NEMEC & CO., P.C.
Accountancy firm EIN2014-12-31742588072
2013 : J.M. DAVIDSON, INC. 401(K) PLAN 2013 401k financial data
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2013-12-31$13,870
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2013-12-31$12,979
Total income from all sources (including contributions)2013-12-31$142,376
Total of all expenses incurred2013-12-31$41,955
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2013-12-31$26,770
Value of total corrective distributions2013-12-31$13,870
Total contributions o plan (from employers,participants, others, non cash contrinutions)2013-12-31$80,918
Value of total assets at end of year2013-12-31$635,702
Value of total assets at beginning of year2013-12-31$534,390
Total of administrative expenses incurred including professional, contract, advisory and management fees2013-12-31$1,315
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2013-12-31No
Was this plan covered by a fidelity bond2013-12-31Yes
Value of fidelity bond cover2013-12-31$100,000
If this is an individual account plan, was there a blackout period2013-12-31No
Were there any nonexempt tranactions with any party-in-interest2013-12-31No
Contributions received from participants2013-12-31$80,918
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2013-12-31No
Value of net income/loss2013-12-31$100,421
Value of net assets at end of year (total assets less liabilities)2013-12-31$621,832
Value of net assets at beginning of year (total assets less liabilities)2013-12-31$521,411
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2013-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2013-12-31No
Were any leases to which the plan was party in default or uncollectible2013-12-31No
Investment advisory and management fees2013-12-31$743
Value of interest in registered invesment companies (eg mutual funds) at end of year2013-12-31$635,702
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2013-12-31$504,390
Net investment gain/loss from registered investment companies (e.g. mutual funds)2013-12-31$61,458
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2013-12-31No
Was there a failure to transmit to the plan any participant contributions2013-12-31No
Has the plan failed to provide any benefit when due under the plan2013-12-31No
Employer contributions (assets) at beginning of year2013-12-31$30,000
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2013-12-31$26,770
Contract administrator fees2013-12-31$572
Liabilities. Value of benefit claims payable at end of year2013-12-31$13,870
Liabilities. Value of benefit claims payable at beginning of year2013-12-31$12,979
Did the plan have assets held for investment2013-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2013-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2013-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2013-12-31Yes
Opinion of an independent qualified public accountant for this plan2013-12-31Disclaimer
Accountancy firm name2013-12-31FIELDS, NEMEC & CO., P.C.
Accountancy firm EIN2013-12-31742588072
2012 : J.M. DAVIDSON, INC. 401(K) PLAN 2012 401k financial data
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2012-12-31$12,979
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2012-12-31$16,163
Total income from all sources (including contributions)2012-12-31$140,238
Total of all expenses incurred2012-12-31$69,955
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2012-12-31$55,745
Value of total corrective distributions2012-12-31$12,979
Total contributions o plan (from employers,participants, others, non cash contrinutions)2012-12-31$108,083
Value of total assets at end of year2012-12-31$534,390
Value of total assets at beginning of year2012-12-31$467,291
Total of administrative expenses incurred including professional, contract, advisory and management fees2012-12-31$1,231
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2012-12-31No
Was this plan covered by a fidelity bond2012-12-31Yes
Value of fidelity bond cover2012-12-31$100,000
If this is an individual account plan, was there a blackout period2012-12-31No
Were there any nonexempt tranactions with any party-in-interest2012-12-31No
Contributions received from participants2012-12-31$78,083
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2012-12-31No
Value of net income/loss2012-12-31$70,283
Value of net assets at end of year (total assets less liabilities)2012-12-31$521,411
Value of net assets at beginning of year (total assets less liabilities)2012-12-31$451,128
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2012-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2012-12-31No
Were any leases to which the plan was party in default or uncollectible2012-12-31No
Investment advisory and management fees2012-12-31$652
Value of interest in registered invesment companies (eg mutual funds) at end of year2012-12-31$504,390
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2012-12-31$442,291
Net investment gain/loss from registered investment companies (e.g. mutual funds)2012-12-31$32,155
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2012-12-31No
Was there a failure to transmit to the plan any participant contributions2012-12-31No
Has the plan failed to provide any benefit when due under the plan2012-12-31No
Contributions received in cash from employer2012-12-31$30,000
Employer contributions (assets) at end of year2012-12-31$30,000
Employer contributions (assets) at beginning of year2012-12-31$25,000
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2012-12-31$55,745
Contract administrator fees2012-12-31$579
Liabilities. Value of benefit claims payable at end of year2012-12-31$12,979
Liabilities. Value of benefit claims payable at beginning of year2012-12-31$16,163
Did the plan have assets held for investment2012-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2012-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2012-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2012-12-31Yes
Opinion of an independent qualified public accountant for this plan2012-12-31Disclaimer
Accountancy firm name2012-12-31FIELDS, NEMEC & CO., P.C.
Accountancy firm EIN2012-12-31742588072
2011 : J.M. DAVIDSON, INC. 401(K) PLAN 2011 401k financial data
Total unrealized appreciation/depreciation of assets2011-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2011-12-31$16,163
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2011-12-31$12,553
Total income from all sources (including contributions)2011-12-31$81,500
Total loss/gain on sale of assets2011-12-31$0
Total of all expenses incurred2011-12-31$37,958
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2011-12-31$20,729
Value of total corrective distributions2011-12-31$16,163
Total contributions o plan (from employers,participants, others, non cash contrinutions)2011-12-31$101,855
Value of total assets at end of year2011-12-31$467,291
Value of total assets at beginning of year2011-12-31$420,139
Total of administrative expenses incurred including professional, contract, advisory and management fees2011-12-31$1,066
Total interest from all sources2011-12-31$0
Total dividends received (eg from common stock, registered investment company shares)2011-12-31$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2011-12-31No
Was this plan covered by a fidelity bond2011-12-31Yes
Value of fidelity bond cover2011-12-31$70,000
If this is an individual account plan, was there a blackout period2011-12-31No
Were there any nonexempt tranactions with any party-in-interest2011-12-31No
Contributions received from participants2011-12-31$76,855
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2011-12-31No
Value of net income/loss2011-12-31$43,542
Value of net assets at end of year (total assets less liabilities)2011-12-31$451,128
Value of net assets at beginning of year (total assets less liabilities)2011-12-31$407,586
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2011-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2011-12-31No
Were any leases to which the plan was party in default or uncollectible2011-12-31No
Investment advisory and management fees2011-12-31$611
Value of interest in registered invesment companies (eg mutual funds) at end of year2011-12-31$442,291
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2011-12-31$395,139
Net investment gain/loss from registered investment companies (e.g. mutual funds)2011-12-31$-20,355
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2011-12-31No
Was there a failure to transmit to the plan any participant contributions2011-12-31No
Has the plan failed to provide any benefit when due under the plan2011-12-31No
Contributions received in cash from employer2011-12-31$25,000
Employer contributions (assets) at end of year2011-12-31$25,000
Employer contributions (assets) at beginning of year2011-12-31$25,000
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2011-12-31$20,729
Contract administrator fees2011-12-31$455
Liabilities. Value of benefit claims payable at end of year2011-12-31$16,163
Liabilities. Value of benefit claims payable at beginning of year2011-12-31$12,553
Did the plan have assets held for investment2011-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2011-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2011-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2011-12-31Yes
Opinion of an independent qualified public accountant for this plan2011-12-31Disclaimer
Accountancy firm name2011-12-31FIELDS, NEMEC & CO., P.C.
Accountancy firm EIN2011-12-31742588072
2010 : J.M. DAVIDSON, INC. 401(K) PLAN 2010 401k financial data
Total unrealized appreciation/depreciation of assets2010-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2010-12-31$12,553
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2010-12-31$5,618
Total income from all sources (including contributions)2010-12-31$119,550
Total loss/gain on sale of assets2010-12-31$0
Total of all expenses incurred2010-12-31$72,306
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2010-12-31$57,539
Value of total corrective distributions2010-12-31$12,553
Total contributions o plan (from employers,participants, others, non cash contrinutions)2010-12-31$80,549
Value of total assets at end of year2010-12-31$420,139
Value of total assets at beginning of year2010-12-31$365,960
Total of administrative expenses incurred including professional, contract, advisory and management fees2010-12-31$2,214
Total interest from all sources2010-12-31$0
Total dividends received (eg from common stock, registered investment company shares)2010-12-31$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2010-12-31No
Was this plan covered by a fidelity bond2010-12-31Yes
Value of fidelity bond cover2010-12-31$70,000
If this is an individual account plan, was there a blackout period2010-12-31No
Were there any nonexempt tranactions with any party-in-interest2010-12-31No
Contributions received from participants2010-12-31$55,549
Participant contributions at beginning of year2010-12-31$13
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2010-12-31No
Value of net income/loss2010-12-31$47,244
Value of net assets at end of year (total assets less liabilities)2010-12-31$407,586
Value of net assets at beginning of year (total assets less liabilities)2010-12-31$360,342
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2010-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2010-12-31No
Were any leases to which the plan was party in default or uncollectible2010-12-31No
Investment advisory and management fees2010-12-31$516
Value of interest in registered invesment companies (eg mutual funds) at end of year2010-12-31$395,139
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2010-12-31$365,947
Net investment gain/loss from registered investment companies (e.g. mutual funds)2010-12-31$39,001
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2010-12-31No
Was there a failure to transmit to the plan any participant contributions2010-12-31No
Has the plan failed to provide any benefit when due under the plan2010-12-31No
Contributions received in cash from employer2010-12-31$25,000
Employer contributions (assets) at end of year2010-12-31$25,000
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2010-12-31$57,539
Contract administrator fees2010-12-31$1,698
Liabilities. Value of benefit claims payable at end of year2010-12-31$12,553
Liabilities. Value of benefit claims payable at beginning of year2010-12-31$5,618
Did the plan have assets held for investment2010-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2010-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2010-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2010-12-31Yes
Opinion of an independent qualified public accountant for this plan2010-12-31Disclaimer
Accountancy firm name2010-12-31FIELDS, NEMEC & CO., P.C.
Accountancy firm EIN2010-12-31742588072

Form 5500 Responses for J.M. DAVIDSON, INC. 401(K) PLAN

2016: J.M. DAVIDSON, INC. 401(K) PLAN 2016 form 5500 responses
2016-01-01Type of plan entitySingle employer plan
2016-01-01Submission has been amendedNo
2016-01-01This submission is the final filingNo
2016-01-01This return/report is a short plan year return/report (less than 12 months)No
2016-01-01Plan is a collectively bargained planNo
2016-01-01Plan funding arrangement – InsuranceYes
2016-01-01Plan funding arrangement – TrustYes
2016-01-01Plan benefit arrangement – InsuranceYes
2016-01-01Plan benefit arrangement - TrustYes
2015: J.M. DAVIDSON, INC. 401(K) PLAN 2015 form 5500 responses
2015-01-01Type of plan entitySingle employer plan
2015-01-01Submission has been amendedNo
2015-01-01This submission is the final filingNo
2015-01-01This return/report is a short plan year return/report (less than 12 months)No
2015-01-01Plan is a collectively bargained planNo
2015-01-01Plan funding arrangement – InsuranceYes
2015-01-01Plan funding arrangement – TrustYes
2015-01-01Plan benefit arrangement – InsuranceYes
2015-01-01Plan benefit arrangement - TrustYes
2014: J.M. DAVIDSON, INC. 401(K) PLAN 2014 form 5500 responses
2014-01-01Type of plan entitySingle employer plan
2014-01-01Submission has been amendedNo
2014-01-01This submission is the final filingNo
2014-01-01This return/report is a short plan year return/report (less than 12 months)No
2014-01-01Plan is a collectively bargained planNo
2014-01-01Plan funding arrangement – InsuranceYes
2014-01-01Plan funding arrangement – TrustYes
2014-01-01Plan benefit arrangement – InsuranceYes
2014-01-01Plan benefit arrangement - TrustYes
2013: J.M. DAVIDSON, INC. 401(K) PLAN 2013 form 5500 responses
2013-01-01Type of plan entitySingle employer plan
2013-01-01Submission has been amendedNo
2013-01-01This submission is the final filingNo
2013-01-01This return/report is a short plan year return/report (less than 12 months)No
2013-01-01Plan is a collectively bargained planNo
2013-01-01Plan funding arrangement – InsuranceYes
2013-01-01Plan funding arrangement – TrustYes
2013-01-01Plan benefit arrangement – InsuranceYes
2013-01-01Plan benefit arrangement - TrustYes
2012: J.M. DAVIDSON, INC. 401(K) PLAN 2012 form 5500 responses
2012-01-01Type of plan entitySingle employer plan
2012-01-01Submission has been amendedNo
2012-01-01This submission is the final filingNo
2012-01-01This return/report is a short plan year return/report (less than 12 months)No
2012-01-01Plan is a collectively bargained planNo
2012-01-01Plan funding arrangement – InsuranceYes
2012-01-01Plan funding arrangement – TrustYes
2012-01-01Plan benefit arrangement – InsuranceYes
2012-01-01Plan benefit arrangement - TrustYes
2011: J.M. DAVIDSON, INC. 401(K) PLAN 2011 form 5500 responses
2011-01-01Type of plan entitySingle employer plan
2011-01-01Submission has been amendedNo
2011-01-01This submission is the final filingNo
2011-01-01This return/report is a short plan year return/report (less than 12 months)No
2011-01-01Plan is a collectively bargained planNo
2011-01-01Plan funding arrangement – InsuranceYes
2011-01-01Plan funding arrangement – TrustYes
2011-01-01Plan benefit arrangement – InsuranceYes
2011-01-01Plan benefit arrangement - TrustYes
2009: J.M. DAVIDSON, INC. 401(K) PLAN 2009 form 5500 responses
2009-01-01Type of plan entitySingle employer plan
2009-01-01Submission has been amendedNo
2009-01-01This submission is the final filingNo
2009-01-01This return/report is a short plan year return/report (less than 12 months)No
2009-01-01Plan is a collectively bargained planNo
2009-01-01Plan funding arrangement – InsuranceYes
2009-01-01Plan funding arrangement – TrustYes
2009-01-01Plan benefit arrangement – InsuranceYes
2009-01-01Plan benefit arrangement - TrustYes

Insurance Providers Used on plan

HARTFORD LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 88072 )
Policy contract numberGA-800451
Policy instance 1
Insurance contract or identification numberGA-800451
Number of Individuals Covered25
Insurance policy start date2015-01-01
Insurance policy end date2015-12-31
Total amount of commissions paid to insurance brokerUSD $969
Total amount of fees paid to insurance companyUSD $283
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 $969
Insurance broker organization code?3
Amount paid for insurance broker fees283
Additional information about fees paid to insurance brokerADMINISTRATIVE ALLOWANCE
Insurance broker nameSOUTH TEXAS ADMINISTRATORS, INC.
HARTFORD LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 88072 )
Policy contract numberGA-800451
Policy instance 1
Insurance contract or identification numberGA-800451
Number of Individuals Covered27
Insurance policy start date2014-01-01
Insurance policy end date2014-12-31
Total amount of commissions paid to insurance brokerUSD $813
Total amount of fees paid to insurance companyUSD $296
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 $813
Insurance broker organization code?3
Amount paid for insurance broker fees296
Additional information about fees paid to insurance brokerADMINISTRATIVE ALLOWANCE
Insurance broker nameSOUTH TEXAS ADMINISTRATORS, INC.
HARTFORD LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 88072 )
Policy contract numberGA-800451
Policy instance 1
Insurance contract or identification numberGA-800451
Number of Individuals Covered33
Insurance policy start date2013-01-01
Insurance policy end date2013-12-31
Total amount of commissions paid to insurance brokerUSD $743
Total amount of fees paid to insurance companyUSD $272
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 $743
Insurance broker organization code?3
Amount paid for insurance broker fees272
Additional information about fees paid to insurance brokerADMINISTRATIVE ALLOWANCE
Insurance broker nameSOUTH TEXAS ADMINISTRATORS, INC.
HARTFORD LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 88072 )
Policy contract numberGA-800451
Policy instance 1
Insurance contract or identification numberGA-800451
Number of Individuals Covered34
Insurance policy start date2012-01-01
Insurance policy end date2012-12-31
Total amount of commissions paid to insurance brokerUSD $652
Total amount of fees paid to insurance companyUSD $229
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 $652
Insurance broker organization code?3
Amount paid for insurance broker fees229
Additional information about fees paid to insurance brokerADMINISTRATIVE ALLOWANCE
Insurance broker nameSOUTH TEXAS ADMINISTRATORS, INC.
HARTFORD LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 88072 )
Policy contract numberGA-800451
Policy instance 1
Insurance contract or identification numberGA-800451
Number of Individuals Covered28
Insurance policy start date2011-01-01
Insurance policy end date2011-12-31
Total amount of commissions paid to insurance brokerUSD $611
Total amount of fees paid to insurance companyUSD $205
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
HARTFORD LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 88072 )
Policy contract numberGA-800451
Policy instance 1
Insurance contract or identification numberGA-800451
Number of Individuals Covered25
Insurance policy start date2010-01-01
Insurance policy end date2010-12-31
Total amount of commissions paid to insurance brokerUSD $516
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 $516
Insurance broker organization code?3
Insurance broker nameWELLS FARGO ADVISOR INS AGENCY LLC

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