IMPERIAL CAPITAL, LLC has sponsored the creation of one or more 401k plans.
Submission information for form 5500 for 401k plan THE IMPERIAL CAPITAL, LLC 401(K) PLAN
| Measure | Date | Value |
|---|
| 2023 : THE IMPERIAL CAPITAL, LLC 401(K) PLAN 2023 401k financial data |
|---|
| Total income from all sources (including contributions) | 2023-12-31 | $7,922,026 |
| Total of all expenses incurred | 2023-12-31 | $2,385,600 |
| Benefit payments and payments to participlants,beneficiaries,insurance carriers and others | 2023-12-31 | $2,303,239 |
| Total contributions o plan (from employers,participants, others, non cash contrinutions) | 2023-12-31 | $1,931,692 |
| Value of total assets at end of year | 2023-12-31 | $38,056,249 |
| Value of total assets at beginning of year | 2023-12-31 | $32,519,823 |
| Total of administrative expenses incurred including professional, contract, advisory and management fees | 2023-12-31 | $82,361 |
| Total interest from all sources | 2023-12-31 | $90,772 |
| Total dividends received (eg from common stock, registered investment company shares) | 2023-12-31 | $701,393 |
| Has a resolution to terminate the plan been adopted during the plan year or any prior plan year | 2023-12-31 | No |
| Total dividends received from registered investment company shares (eg mutual funds) | 2023-12-31 | $701,393 |
| Was this plan covered by a fidelity bond | 2023-12-31 | Yes |
| Value of fidelity bond cover | 2023-12-31 | $2,000,000 |
| If this is an individual account plan, was there a blackout period | 2023-12-31 | No |
| Were there any nonexempt tranactions with any party-in-interest | 2023-12-31 | No |
| Contributions received from participants | 2023-12-31 | $1,580,551 |
| Participant contributions at end of year | 2023-12-31 | $210,205 |
| Participant contributions at beginning of year | 2023-12-31 | $260,951 |
| Participant contributions at end of year | 2023-12-31 | $44,654 |
| Participant contributions at beginning of year | 2023-12-31 | $13,000 |
| Assets. Other investments not covered elsewhere at end of year | 2023-12-31 | $607,712 |
| Assets. Other investments not covered elsewhere at beginning of year | 2023-12-31 | $0 |
| Income. Received or receivable in cash from other sources (including rollovers) | 2023-12-31 | $31,683 |
| Other income not declared elsewhere | 2023-12-31 | $363,891 |
| Total non interest bearing cash at end of year | 2023-12-31 | $0 |
| Total non interest bearing cash at beginning of year | 2023-12-31 | $44,755 |
| Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser | 2023-12-31 | No |
| Value of net income/loss | 2023-12-31 | $5,536,426 |
| Value of net assets at end of year (total assets less liabilities) | 2023-12-31 | $38,056,249 |
| Value of net assets at beginning of year (total assets less liabilities) | 2023-12-31 | $32,519,823 |
| Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond) | 2023-12-31 | No |
| Were any loans by the plan or fixed income obligations due to the plan in default | 2023-12-31 | No |
| Were any leases to which the plan was party in default or uncollectible | 2023-12-31 | No |
| Assets. partnership/joint venture interests at end of year | 2023-12-31 | $2,492,359 |
| Assets. partnership/joint venture interests at beginning of year | 2023-12-31 | $2,126,156 |
| Investment advisory and management fees | 2023-12-31 | $51,476 |
| Value of interest in registered invesment companies (eg mutual funds) at end of year | 2023-12-31 | $32,660,696 |
| Value of interest in registered invesment companies (eg mutual funds) at beginning of year | 2023-12-31 | $27,733,506 |
| Interest on participant loans | 2023-12-31 | $13,226 |
| Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year | 2023-12-31 | $1,722,566 |
| Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year | 2023-12-31 | $1,348,288 |
| Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year | 2023-12-31 | $1,348,288 |
| Interest earned from interest bearing cash (including money market accounts and certificates of deposit) | 2023-12-31 | $77,546 |
| Net investment gain/loss from registered investment companies (e.g. mutual funds) | 2023-12-31 | $4,834,278 |
| Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets | 2023-12-31 | No |
| Was there a failure to transmit to the plan any participant contributions | 2023-12-31 | No |
| Has the plan failed to provide any benefit when due under the plan | 2023-12-31 | No |
| Contributions received in cash from employer | 2023-12-31 | $319,458 |
| Employer contributions (assets) at end of year | 2023-12-31 | $318,057 |
| Employer contributions (assets) at beginning of year | 2023-12-31 | $570,295 |
| Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers | 2023-12-31 | $2,303,239 |
| Assets. Corporate common stocks other than exployer securities at end of year | 2023-12-31 | $0 |
| Assets. Corporate common stocks other than exployer securities at beginning of year | 2023-12-31 | $422,872 |
| Did the plan have assets held for investment | 2023-12-31 | Yes |
| Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser | 2023-12-31 | No |
| Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC | 2023-12-31 | No |
| Opinion of an independent qualified public accountant for this plan | 2023-12-31 | Disclaimer |
| Accountancy firm name | 2023-12-31 | BDO |
| Accountancy firm EIN | 2023-12-31 | 135381590 |
| Total income from all sources (including contributions) | 2023-01-01 | $7,922,026 |
| Total of all expenses incurred | 2023-01-01 | $2,385,600 |
| Benefit payments and payments to participlants,beneficiaries,insurance carriers and others | 2023-01-01 | $2,303,239 |
| Total contributions o plan (from employers,participants, others, non cash contrinutions) | 2023-01-01 | $1,931,692 |
| Value of total assets at end of year | 2023-01-01 | $38,056,249 |
| Value of total assets at beginning of year | 2023-01-01 | $32,519,823 |
| Total of administrative expenses incurred including professional, contract, advisory and management fees | 2023-01-01 | $82,361 |
| Total interest from all sources | 2023-01-01 | $90,772 |
| Total dividends received (eg from common stock, registered investment company shares) | 2023-01-01 | $701,393 |
| Has a resolution to terminate the plan been adopted during the plan year or any prior plan year | 2023-01-01 | No |
| Total dividends received from registered investment company shares (eg mutual funds) | 2023-01-01 | $701,393 |
| Was this plan covered by a fidelity bond | 2023-01-01 | Yes |
| Value of fidelity bond cover | 2023-01-01 | $2,000,000 |
| If this is an individual account plan, was there a blackout period | 2023-01-01 | No |
| Were there any nonexempt tranactions with any party-in-interest | 2023-01-01 | No |
| Contributions received from participants | 2023-01-01 | $1,580,551 |
| Participant contributions at end of year | 2023-01-01 | $210,205 |
| Participant contributions at beginning of year | 2023-01-01 | $260,951 |
| Participant contributions at end of year | 2023-01-01 | $44,654 |
| Participant contributions at beginning of year | 2023-01-01 | $13,000 |
| Assets. Other investments not covered elsewhere at end of year | 2023-01-01 | $607,712 |
| Assets. Other investments not covered elsewhere at beginning of year | 2023-01-01 | $0 |
| Income. Received or receivable in cash from other sources (including rollovers) | 2023-01-01 | $31,683 |
| Other income not declared elsewhere | 2023-01-01 | $363,891 |
| Total non interest bearing cash at end of year | 2023-01-01 | $0 |
| Total non interest bearing cash at beginning of year | 2023-01-01 | $44,755 |
| Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser | 2023-01-01 | No |
| Value of net income/loss | 2023-01-01 | $5,536,426 |
| Value of net assets at end of year (total assets less liabilities) | 2023-01-01 | $38,056,249 |
| Value of net assets at beginning of year (total assets less liabilities) | 2023-01-01 | $32,519,823 |
| Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond) | 2023-01-01 | No |
| Were any loans by the plan or fixed income obligations due to the plan in default | 2023-01-01 | No |
| Were any leases to which the plan was party in default or uncollectible | 2023-01-01 | No |
| Assets. partnership/joint venture interests at end of year | 2023-01-01 | $2,492,359 |
| Assets. partnership/joint venture interests at beginning of year | 2023-01-01 | $2,126,156 |
| Investment advisory and management fees | 2023-01-01 | $51,476 |
| Value of interest in registered invesment companies (eg mutual funds) at end of year | 2023-01-01 | $32,660,696 |
| Value of interest in registered invesment companies (eg mutual funds) at beginning of year | 2023-01-01 | $27,733,506 |
| Interest on participant loans | 2023-01-01 | $13,226 |
| Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year | 2023-01-01 | $1,722,566 |
| Interest earned from interest bearing cash (including money market accounts and certificates of deposit) | 2023-01-01 | $77,546 |
| Net investment gain/loss from registered investment companies (e.g. mutual funds) | 2023-01-01 | $4,834,278 |
| Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets | 2023-01-01 | No |
| Was there a failure to transmit to the plan any participant contributions | 2023-01-01 | No |
| Has the plan failed to provide any benefit when due under the plan | 2023-01-01 | No |
| Contributions received in cash from employer | 2023-01-01 | $319,458 |
| Employer contributions (assets) at end of year | 2023-01-01 | $318,057 |
| Employer contributions (assets) at beginning of year | 2023-01-01 | $570,295 |
| Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers | 2023-01-01 | $2,303,239 |
| Assets. Corporate common stocks other than exployer securities at end of year | 2023-01-01 | $0 |
| Assets. Corporate common stocks other than exployer securities at beginning of year | 2023-01-01 | $422,872 |
| Did the plan have assets held for investment | 2023-01-01 | Yes |
| Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser | 2023-01-01 | No |
| Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC | 2023-01-01 | No |
| Opinion of an independent qualified public accountant for this plan | 2023-01-01 | 3 |
| Accountancy firm name | 2023-01-01 | BDO |
| Accountancy firm EIN | 2023-01-01 | 135381590 |
| 2022 : THE IMPERIAL CAPITAL, LLC 401(K) PLAN 2022 401k financial data |
|---|
| Total unrealized appreciation/depreciation of assets | 2022-12-31 | $0 |
| Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2022-12-31 | $0 |
| Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2022-12-31 | $0 |
| Total income from all sources (including contributions) | 2022-12-31 | $-4,243,544 |
| Total loss/gain on sale of assets | 2022-12-31 | $0 |
| Total of all expenses incurred | 2022-12-31 | $3,201,943 |
| Benefit payments and payments to participlants,beneficiaries,insurance carriers and others | 2022-12-31 | $3,104,965 |
| Value of total corrective distributions | 2022-12-31 | $1,157 |
| Total contributions o plan (from employers,participants, others, non cash contrinutions) | 2022-12-31 | $2,757,543 |
| Value of total assets at end of year | 2022-12-31 | $32,519,823 |
| Value of total assets at beginning of year | 2022-12-31 | $39,965,310 |
| Total of administrative expenses incurred including professional, contract, advisory and management fees | 2022-12-31 | $95,821 |
| Total interest from all sources | 2022-12-31 | $36,917 |
| Total dividends received (eg from common stock, registered investment company shares) | 2022-12-31 | $926,591 |
| Has a resolution to terminate the plan been adopted during the plan year or any prior plan year | 2022-12-31 | No |
| Total dividends received from registered investment company shares (eg mutual funds) | 2022-12-31 | $926,591 |
| Was this plan covered by a fidelity bond | 2022-12-31 | Yes |
| Value of fidelity bond cover | 2022-12-31 | $2,000,000 |
| If this is an individual account plan, was there a blackout period | 2022-12-31 | No |
| Were there any nonexempt tranactions with any party-in-interest | 2022-12-31 | No |
| Contributions received from participants | 2022-12-31 | $1,693,562 |
| Participant contributions at end of year | 2022-12-31 | $260,951 |
| Participant contributions at beginning of year | 2022-12-31 | $317,160 |
| Participant contributions at end of year | 2022-12-31 | $13,000 |
| Participant contributions at beginning of year | 2022-12-31 | $0 |
| Income. Received or receivable in cash from other sources (including rollovers) | 2022-12-31 | $493,686 |
| Other income not declared elsewhere | 2022-12-31 | $-564,545 |
| Administrative expenses (other) incurred | 2022-12-31 | $23,683 |
| Total non interest bearing cash at end of year | 2022-12-31 | $44,755 |
| Total non interest bearing cash at beginning of year | 2022-12-31 | $69,114 |
| Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser | 2022-12-31 | No |
| Value of net income/loss | 2022-12-31 | $-7,445,487 |
| Value of net assets at end of year (total assets less liabilities) | 2022-12-31 | $32,519,823 |
| Value of net assets at beginning of year (total assets less liabilities) | 2022-12-31 | $39,965,310 |
| Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond) | 2022-12-31 | No |
| Were any loans by the plan or fixed income obligations due to the plan in default | 2022-12-31 | No |
| Were any leases to which the plan was party in default or uncollectible | 2022-12-31 | No |
| Assets. partnership/joint venture interests at end of year | 2022-12-31 | $2,126,156 |
| Assets. partnership/joint venture interests at beginning of year | 2022-12-31 | $2,512,253 |
| Investment advisory and management fees | 2022-12-31 | $72,138 |
| Value of interest in registered invesment companies (eg mutual funds) at end of year | 2022-12-31 | $27,733,506 |
| Value of interest in registered invesment companies (eg mutual funds) at beginning of year | 2022-12-31 | $34,176,370 |
| Interest on participant loans | 2022-12-31 | $15,482 |
| Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year | 2022-12-31 | $1,348,288 |
| Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year | 2022-12-31 | $1,733,697 |
| Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year | 2022-12-31 | $1,733,697 |
| Interest earned from interest bearing cash (including money market accounts and certificates of deposit) | 2022-12-31 | $21,435 |
| Net investment gain/loss from registered investment companies (e.g. mutual funds) | 2022-12-31 | $-7,400,050 |
| Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets | 2022-12-31 | No |
| Was there a failure to transmit to the plan any participant contributions | 2022-12-31 | No |
| Has the plan failed to provide any benefit when due under the plan | 2022-12-31 | No |
| Contributions received in cash from employer | 2022-12-31 | $570,295 |
| Employer contributions (assets) at end of year | 2022-12-31 | $570,295 |
| Employer contributions (assets) at beginning of year | 2022-12-31 | $607,207 |
| Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers | 2022-12-31 | $3,104,965 |
| Assets. Corporate common stocks other than exployer securities at end of year | 2022-12-31 | $422,872 |
| Assets. Corporate common stocks other than exployer securities at beginning of year | 2022-12-31 | $549,509 |
| Did the plan have assets held for investment | 2022-12-31 | Yes |
| Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser | 2022-12-31 | No |
| Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC | 2022-12-31 | No |
| Opinion of an independent qualified public accountant for this plan | 2022-12-31 | Disclaimer |
| Accountancy firm name | 2022-12-31 | BDO |
| Accountancy firm EIN | 2022-12-31 | 135381590 |
| Total unrealized appreciation/depreciation of assets | 2022-01-01 | $0 |
| Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2022-01-01 | $0 |
| Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2022-01-01 | $0 |
| Total income from all sources (including contributions) | 2022-01-01 | $-4,243,544 |
| Total loss/gain on sale of assets | 2022-01-01 | $0 |
| Total of all expenses incurred | 2022-01-01 | $3,201,943 |
| Benefit payments and payments to participlants,beneficiaries,insurance carriers and others | 2022-01-01 | $3,104,965 |
| Value of total corrective distributions | 2022-01-01 | $1,157 |
| Total contributions o plan (from employers,participants, others, non cash contrinutions) | 2022-01-01 | $2,757,543 |
| Value of total assets at end of year | 2022-01-01 | $32,519,823 |
| Value of total assets at beginning of year | 2022-01-01 | $39,965,310 |
| Total of administrative expenses incurred including professional, contract, advisory and management fees | 2022-01-01 | $95,821 |
| Total interest from all sources | 2022-01-01 | $36,917 |
| Total dividends received (eg from common stock, registered investment company shares) | 2022-01-01 | $926,591 |
| Has a resolution to terminate the plan been adopted during the plan year or any prior plan year | 2022-01-01 | No |
| Total dividends received from registered investment company shares (eg mutual funds) | 2022-01-01 | $926,591 |
| Was this plan covered by a fidelity bond | 2022-01-01 | Yes |
| Value of fidelity bond cover | 2022-01-01 | $2,000,000 |
| If this is an individual account plan, was there a blackout period | 2022-01-01 | No |
| Were there any nonexempt tranactions with any party-in-interest | 2022-01-01 | No |
| Contributions received from participants | 2022-01-01 | $1,693,562 |
| Participant contributions at end of year | 2022-01-01 | $260,951 |
| Participant contributions at beginning of year | 2022-01-01 | $317,160 |
| Participant contributions at end of year | 2022-01-01 | $13,000 |
| Participant contributions at beginning of year | 2022-01-01 | $0 |
| Income. Received or receivable in cash from other sources (including rollovers) | 2022-01-01 | $493,686 |
| Other income not declared elsewhere | 2022-01-01 | $-564,545 |
| Administrative expenses (other) incurred | 2022-01-01 | $23,683 |
| Total non interest bearing cash at end of year | 2022-01-01 | $44,755 |
| Total non interest bearing cash at beginning of year | 2022-01-01 | $69,114 |
| Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser | 2022-01-01 | No |
| Value of net income/loss | 2022-01-01 | $-7,445,487 |
| Value of net assets at end of year (total assets less liabilities) | 2022-01-01 | $32,519,823 |
| Value of net assets at beginning of year (total assets less liabilities) | 2022-01-01 | $39,965,310 |
| Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond) | 2022-01-01 | No |
| Were any loans by the plan or fixed income obligations due to the plan in default | 2022-01-01 | No |
| Were any leases to which the plan was party in default or uncollectible | 2022-01-01 | No |
| Assets. partnership/joint venture interests at end of year | 2022-01-01 | $2,126,156 |
| Assets. partnership/joint venture interests at beginning of year | 2022-01-01 | $2,512,253 |
| Investment advisory and management fees | 2022-01-01 | $72,138 |
| Value of interest in registered invesment companies (eg mutual funds) at end of year | 2022-01-01 | $27,733,506 |
| Value of interest in registered invesment companies (eg mutual funds) at beginning of year | 2022-01-01 | $34,176,370 |
| Interest on participant loans | 2022-01-01 | $15,482 |
| Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year | 2022-01-01 | $1,348,288 |
| Interest earned from interest bearing cash (including money market accounts and certificates of deposit) | 2022-01-01 | $21,435 |
| Net investment gain/loss from registered investment companies (e.g. mutual funds) | 2022-01-01 | $-7,400,050 |
| Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets | 2022-01-01 | No |
| Was there a failure to transmit to the plan any participant contributions | 2022-01-01 | No |
| Has the plan failed to provide any benefit when due under the plan | 2022-01-01 | No |
| Contributions received in cash from employer | 2022-01-01 | $570,295 |
| Employer contributions (assets) at end of year | 2022-01-01 | $570,295 |
| Employer contributions (assets) at beginning of year | 2022-01-01 | $607,207 |
| Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers | 2022-01-01 | $3,104,965 |
| Assets. Corporate common stocks other than exployer securities at end of year | 2022-01-01 | $422,872 |
| Assets. Corporate common stocks other than exployer securities at beginning of year | 2022-01-01 | $549,509 |
| Did the plan have assets held for investment | 2022-01-01 | Yes |
| Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser | 2022-01-01 | No |
| Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC | 2022-01-01 | No |
| Opinion of an independent qualified public accountant for this plan | 2022-01-01 | 1 |
| Accountancy firm name | 2022-01-01 | BDO USA, P.C. |
| Accountancy firm EIN | 2022-01-01 | 135381590 |
| 2021 : THE IMPERIAL CAPITAL, LLC 401(K) PLAN 2021 401k financial data |
|---|
| Total unrealized appreciation/depreciation of assets | 2021-12-31 | $0 |
| Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2021-12-31 | $0 |
| Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2021-12-31 | $0 |
| Total income from all sources (including contributions) | 2021-12-31 | $7,760,308 |
| Total loss/gain on sale of assets | 2021-12-31 | $2,063,664 |
| Total of all expenses incurred | 2021-12-31 | $8,019,332 |
| Benefit payments and payments to participlants,beneficiaries,insurance carriers and others | 2021-12-31 | $8,016,139 |
| Total contributions o plan (from employers,participants, others, non cash contrinutions) | 2021-12-31 | $2,160,984 |
| Value of total assets at end of year | 2021-12-31 | $39,965,310 |
| Value of total assets at beginning of year | 2021-12-31 | $40,224,334 |
| Total of administrative expenses incurred including professional, contract, advisory and management fees | 2021-12-31 | $3,193 |
| Total interest from all sources | 2021-12-31 | $16,534 |
| Total dividends received (eg from common stock, registered investment company shares) | 2021-12-31 | $1,668,895 |
| Has a resolution to terminate the plan been adopted during the plan year or any prior plan year | 2021-12-31 | No |
| Total dividends received from registered investment company shares (eg mutual funds) | 2021-12-31 | $1,668,895 |
| Administrative expenses professional fees incurred | 2021-12-31 | $3,118 |
| Was this plan covered by a fidelity bond | 2021-12-31 | Yes |
| Value of fidelity bond cover | 2021-12-31 | $2,000,000 |
| If this is an individual account plan, was there a blackout period | 2021-12-31 | Yes |
| Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities | 2021-12-31 | $0 |
| Were there any nonexempt tranactions with any party-in-interest | 2021-12-31 | No |
| Contributions received from participants | 2021-12-31 | $1,539,154 |
| Participant contributions at end of year | 2021-12-31 | $317,160 |
| Participant contributions at beginning of year | 2021-12-31 | $260,922 |
| Assets. Other investments not covered elsewhere at end of year | 2021-12-31 | $3,166,029 |
| Assets. Other investments not covered elsewhere at beginning of year | 2021-12-31 | $0 |
| Income. Received or receivable in cash from other sources (including rollovers) | 2021-12-31 | $13,807 |
| Value of other receiveables (less allowance for doubtful accounts) at end of year | 2021-12-31 | $0 |
| Value of other receiveables (less allowance for doubtful accounts) at beginning of year | 2021-12-31 | $815 |
| Other income not declared elsewhere | 2021-12-31 | $487,779 |
| Administrative expenses (other) incurred | 2021-12-31 | $75 |
| Total non interest bearing cash at end of year | 2021-12-31 | $0 |
| Total non interest bearing cash at beginning of year | 2021-12-31 | $1,983 |
| Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser | 2021-12-31 | No |
| Value of net income/loss | 2021-12-31 | $-259,024 |
| Value of net assets at end of year (total assets less liabilities) | 2021-12-31 | $39,965,310 |
| Value of net assets at beginning of year (total assets less liabilities) | 2021-12-31 | $40,224,334 |
| Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond) | 2021-12-31 | No |
| Were any loans by the plan or fixed income obligations due to the plan in default | 2021-12-31 | No |
| Were any leases to which the plan was party in default or uncollectible | 2021-12-31 | No |
| Assets. partnership/joint venture interests at end of year | 2021-12-31 | $0 |
| Assets. partnership/joint venture interests at beginning of year | 2021-12-31 | $2,139,290 |
| Value of interest in registered invesment companies (eg mutual funds) at end of year | 2021-12-31 | $34,141,217 |
| Value of interest in registered invesment companies (eg mutual funds) at beginning of year | 2021-12-31 | $10,419,681 |
| Value of interest in pooled separate accounts at end of year | 2021-12-31 | $0 |
| Value of interest in pooled separate accounts at beginning of year | 2021-12-31 | $26,540,441 |
| Interest on participant loans | 2021-12-31 | $16,476 |
| Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year | 2021-12-31 | $1,733,697 |
| Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year | 2021-12-31 | $4,659 |
| Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year | 2021-12-31 | $4,659 |
| Interest earned from interest bearing cash (including money market accounts and certificates of deposit) | 2021-12-31 | $58 |
| Net investment gain/loss from registered investment companies (e.g. mutual funds) | 2021-12-31 | $-491,767 |
| Net investment gain/loss from pooled separate accounts | 2021-12-31 | $1,854,219 |
| Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets | 2021-12-31 | No |
| Was there a failure to transmit to the plan any participant contributions | 2021-12-31 | No |
| Has the plan failed to provide any benefit when due under the plan | 2021-12-31 | No |
| Contributions received in cash from employer | 2021-12-31 | $608,023 |
| Employer contributions (assets) at end of year | 2021-12-31 | $607,207 |
| Employer contributions (assets) at beginning of year | 2021-12-31 | $352,365 |
| Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers | 2021-12-31 | $8,016,139 |
| Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-3 | 2021-12-31 | Yes |
| Assets. Corporate common stocks other than exployer securities at end of year | 2021-12-31 | $0 |
| Assets. Corporate common stocks other than exployer securities at beginning of year | 2021-12-31 | $504,178 |
| Did the plan have assets held for investment | 2021-12-31 | Yes |
| Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser | 2021-12-31 | No |
| Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC | 2021-12-31 | No |
| Aggregate proceeds on sale of assets | 2021-12-31 | $16,793,546 |
| Aggregate carrying amount (costs) on sale of assets | 2021-12-31 | $14,729,882 |
| Opinion of an independent qualified public accountant for this plan | 2021-12-31 | Disclaimer |
| Accountancy firm name | 2021-12-31 | BDO |
| Accountancy firm EIN | 2021-12-31 | 135381590 |
| 2020 : THE IMPERIAL CAPITAL, LLC 401(K) PLAN 2020 401k financial data |
|---|
| Unrealized appreciation/depreciation of real estate assets | 2020-12-31 | $0 |
| Unrealized appreciation/depreciation of other (non real estate) assets | 2020-12-31 | $349,043 |
| Total unrealized appreciation/depreciation of assets | 2020-12-31 | $349,043 |
| Total transfer of assets to this plan | 2020-12-31 | $0 |
| Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2020-12-31 | $0 |
| Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2020-12-31 | $0 |
| Expenses. Interest paid | 2020-12-31 | $0 |
| Amount of participant contributions which was failed to transmit to the plan within the time period described in 29 CFR 251.3-102 | 2020-12-31 | $0 |
| Total income from all sources (including contributions) | 2020-12-31 | $7,444,867 |
| Total loss/gain on sale of assets | 2020-12-31 | $0 |
| Total of all expenses incurred | 2020-12-31 | $4,620,222 |
| Benefit payments and payments to participlants,beneficiaries,insurance carriers and others | 2020-12-31 | $4,601,533 |
| Expenses. Certain deemed distributions of participant loans | 2020-12-31 | $0 |
| Value of total corrective distributions | 2020-12-31 | $0 |
| Total contributions o plan (from employers,participants, others, non cash contrinutions) | 2020-12-31 | $2,298,221 |
| Value of total assets at end of year | 2020-12-31 | $40,224,334 |
| Value of total assets at beginning of year | 2020-12-31 | $37,399,689 |
| Total of administrative expenses incurred including professional, contract, advisory and management fees | 2020-12-31 | $18,689 |
| Total income from rents | 2020-12-31 | $0 |
| Total interest from all sources | 2020-12-31 | $18,829 |
| Total dividends received (eg from common stock, registered investment company shares) | 2020-12-31 | $160,677 |
| Has a resolution to terminate the plan been adopted during the plan year or any prior plan year | 2020-12-31 | No |
| Total dividends received from registered investment company shares (eg mutual funds) | 2020-12-31 | $143,998 |
| Administrative expenses professional fees incurred | 2020-12-31 | $5,858 |
| Was this plan covered by a fidelity bond | 2020-12-31 | Yes |
| Value of fidelity bond cover | 2020-12-31 | $2,000,000 |
| If this is an individual account plan, was there a blackout period | 2020-12-31 | No |
| Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities | 2020-12-31 | $0 |
| Were there any nonexempt tranactions with any party-in-interest | 2020-12-31 | No |
| Amount of non-exempt transactions with any party-in-interest | 2020-12-31 | $0 |
| Contributions received from participants | 2020-12-31 | $1,741,388 |
| Participant contributions at end of year | 2020-12-31 | $260,922 |
| Participant contributions at beginning of year | 2020-12-31 | $271,778 |
| Participant contributions at end of year | 2020-12-31 | $0 |
| Participant contributions at beginning of year | 2020-12-31 | $0 |
| Income. Received or receivable in cash from other sources (including rollovers) | 2020-12-31 | $62,814 |
| Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries) | 2020-12-31 | $0 |
| Value of other receiveables (less allowance for doubtful accounts) at end of year | 2020-12-31 | $815 |
| Value of other receiveables (less allowance for doubtful accounts) at beginning of year | 2020-12-31 | $0 |
| Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year | 2020-12-31 | $0 |
| Other income not declared elsewhere | 2020-12-31 | $84,186 |
| Administrative expenses (other) incurred | 2020-12-31 | $-240 |
| Liabilities. Value of operating payables at beginning of year | 2020-12-31 | $0 |
| Total non interest bearing cash at end of year | 2020-12-31 | $1,983 |
| Total non interest bearing cash at beginning of year | 2020-12-31 | $333 |
| Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser | 2020-12-31 | No |
| Income. Non cash contributions | 2020-12-31 | $0 |
| Value of net income/loss | 2020-12-31 | $2,824,645 |
| Value of net assets at end of year (total assets less liabilities) | 2020-12-31 | $40,224,334 |
| Value of net assets at beginning of year (total assets less liabilities) | 2020-12-31 | $37,399,689 |
| Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond) | 2020-12-31 | No |
| Were any loans by the plan or fixed income obligations due to the plan in default | 2020-12-31 | No |
| Amount of loans by the plan or fixed income obligations due to the plan which were in default/classified-as-uncollectible as of the close of the plan year | 2020-12-31 | $0 |
| Were any leases to which the plan was party in default or uncollectible | 2020-12-31 | No |
| Amount of leases to which the plan was a party which were in default/classified-as-uncollectible during the year | 2020-12-31 | $0 |
| Assets. partnership/joint venture interests at end of year | 2020-12-31 | $2,139,290 |
| Assets. partnership/joint venture interests at beginning of year | 2020-12-31 | $1,711,731 |
| Investment advisory and management fees | 2020-12-31 | $0 |
| Value of interest in registered invesment companies (eg mutual funds) at end of year | 2020-12-31 | $10,419,681 |
| Value of interest in registered invesment companies (eg mutual funds) at beginning of year | 2020-12-31 | $9,252,824 |
| Value of interest in pooled separate accounts at end of year | 2020-12-31 | $26,540,441 |
| Value of interest in pooled separate accounts at beginning of year | 2020-12-31 | $25,107,133 |
| Interest on participant loans | 2020-12-31 | $18,581 |
| Income. Interest from loans (other than to participants) | 2020-12-31 | $0 |
| Interest earned on other investments | 2020-12-31 | $229 |
| Income. Interest from US Government securities | 2020-12-31 | $0 |
| Income. Interest from corporate debt instruments | 2020-12-31 | $0 |
| Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year | 2020-12-31 | $4,659 |
| Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year | 2020-12-31 | $9,194 |
| Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year | 2020-12-31 | $9,194 |
| Interest earned from interest bearing cash (including money market accounts and certificates of deposit) | 2020-12-31 | $19 |
| Value of funds held in insurance company general accounts (unallocated contracts) at end of year | 2020-12-31 | $0 |
| Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year | 2020-12-31 | $429,810 |
| Expenses. Payments to insurance carriers foe the provision of benefits | 2020-12-31 | $571 |
| Net investment gain/loss from registered investment companies (e.g. mutual funds) | 2020-12-31 | $498,272 |
| Net investment gain/loss from pooled separate accounts | 2020-12-31 | $4,035,639 |
| Net investment gain or loss from common/collective trusts | 2020-12-31 | $0 |
| Net gain/loss from 103.12 investment entities | 2020-12-31 | $0 |
| Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets | 2020-12-31 | No |
| Was there a failure to transmit to the plan any participant contributions | 2020-12-31 | No |
| Has the plan failed to provide any benefit when due under the plan | 2020-12-31 | No |
| Contributions received in cash from employer | 2020-12-31 | $494,019 |
| Employer contributions (assets) at end of year | 2020-12-31 | $352,365 |
| Employer contributions (assets) at beginning of year | 2020-12-31 | $483,251 |
| Income. Dividends from preferred stock | 2020-12-31 | $0 |
| Income. Dividends from common stock | 2020-12-31 | $16,679 |
| Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers | 2020-12-31 | $4,600,962 |
| Contract administrator fees | 2020-12-31 | $13,071 |
| Assets. Corporate common stocks other than exployer securities at end of year | 2020-12-31 | $504,178 |
| Assets. Corporate common stocks other than exployer securities at beginning of year | 2020-12-31 | $133,635 |
| Liabilities. Value of benefit claims payable at beginning of year | 2020-12-31 | $0 |
| Did the plan have assets held for investment | 2020-12-31 | Yes |
| Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser | 2020-12-31 | No |
| Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC | 2020-12-31 | No |
| Aggregate proceeds on sale of assets | 2020-12-31 | $0 |
| Aggregate carrying amount (costs) on sale of assets | 2020-12-31 | $0 |
| Liabilities. Value of acquisition indebtedness at beginning of year | 2020-12-31 | $0 |
| Opinion of an independent qualified public accountant for this plan | 2020-12-31 | Disclaimer |
| Accountancy firm name | 2020-12-31 | BDO |
| Accountancy firm EIN | 2020-12-31 | 135381590 |
| 2019 : THE IMPERIAL CAPITAL, LLC 401(K) PLAN 2019 401k financial data |
|---|
| Unrealized appreciation/depreciation of real estate assets | 2019-12-31 | $0 |
| Unrealized appreciation/depreciation of real estate assets | 2019-12-31 | $0 |
| Unrealized appreciation/depreciation of other (non real estate) assets | 2019-12-31 | $135,387 |
| Unrealized appreciation/depreciation of other (non real estate) assets | 2019-12-31 | $135,387 |
| Total unrealized appreciation/depreciation of assets | 2019-12-31 | $135,387 |
| Total unrealized appreciation/depreciation of assets | 2019-12-31 | $135,387 |
| Total transfer of assets to this plan | 2019-12-31 | $0 |
| Total transfer of assets to this plan | 2019-12-31 | $0 |
| Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2019-12-31 | $0 |
| Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2019-12-31 | $0 |
| Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2019-12-31 | $0 |
| Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2019-12-31 | $0 |
| Expenses. Interest paid | 2019-12-31 | $0 |
| Amount of participant contributions which was failed to transmit to the plan within the time period described in 29 CFR 251.3-102 | 2019-12-31 | $0 |
| Expenses. Interest paid | 2019-12-31 | $0 |
| Amount of participant contributions which was failed to transmit to the plan within the time period described in 29 CFR 251.3-102 | 2019-12-31 | $0 |
| Total income from all sources (including contributions) | 2019-12-31 | $9,227,229 |
| Total income from all sources (including contributions) | 2019-12-31 | $9,227,229 |
| Total loss/gain on sale of assets | 2019-12-31 | $0 |
| Total loss/gain on sale of assets | 2019-12-31 | $0 |
| Total of all expenses incurred | 2019-12-31 | $2,377,345 |
| Total of all expenses incurred | 2019-12-31 | $2,377,345 |
| Benefit payments and payments to participlants,beneficiaries,insurance carriers and others | 2019-12-31 | $2,372,431 |
| Benefit payments and payments to participlants,beneficiaries,insurance carriers and others | 2019-12-31 | $2,372,431 |
| Expenses. Certain deemed distributions of participant loans | 2019-12-31 | $0 |
| Expenses. Certain deemed distributions of participant loans | 2019-12-31 | $0 |
| Value of total corrective distributions | 2019-12-31 | $0 |
| Value of total corrective distributions | 2019-12-31 | $0 |
| Total contributions o plan (from employers,participants, others, non cash contrinutions) | 2019-12-31 | $2,440,178 |
| Total contributions o plan (from employers,participants, others, non cash contrinutions) | 2019-12-31 | $2,440,178 |
| Value of total assets at end of year | 2019-12-31 | $37,399,689 |
| Value of total assets at end of year | 2019-12-31 | $37,399,689 |
| Value of total assets at beginning of year | 2019-12-31 | $30,549,805 |
| Value of total assets at beginning of year | 2019-12-31 | $30,549,805 |
| Total of administrative expenses incurred including professional, contract, advisory and management fees | 2019-12-31 | $4,914 |
| Total of administrative expenses incurred including professional, contract, advisory and management fees | 2019-12-31 | $4,914 |
| Total income from rents | 2019-12-31 | $0 |
| Total income from rents | 2019-12-31 | $0 |
| Total interest from all sources | 2019-12-31 | $93,553 |
| Total interest from all sources | 2019-12-31 | $93,553 |
| Total dividends received (eg from common stock, registered investment company shares) | 2019-12-31 | $180,208 |
| Total dividends received (eg from common stock, registered investment company shares) | 2019-12-31 | $180,208 |
| Has a resolution to terminate the plan been adopted during the plan year or any prior plan year | 2019-12-31 | No |
| Has a resolution to terminate the plan been adopted during the plan year or any prior plan year | 2019-12-31 | No |
| Total dividends received from registered investment company shares (eg mutual funds) | 2019-12-31 | $172,887 |
| Total dividends received from registered investment company shares (eg mutual funds) | 2019-12-31 | $172,887 |
| Administrative expenses professional fees incurred | 2019-12-31 | $2,344 |
| Administrative expenses professional fees incurred | 2019-12-31 | $2,344 |
| Was this plan covered by a fidelity bond | 2019-12-31 | Yes |
| Was this plan covered by a fidelity bond | 2019-12-31 | Yes |
| Value of fidelity bond cover | 2019-12-31 | $2,000,000 |
| Value of fidelity bond cover | 2019-12-31 | $2,000,000 |
| If this is an individual account plan, was there a blackout period | 2019-12-31 | No |
| If this is an individual account plan, was there a blackout period | 2019-12-31 | No |
| Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities | 2019-12-31 | $0 |
| Were there any nonexempt tranactions with any party-in-interest | 2019-12-31 | No |
| Were there any nonexempt tranactions with any party-in-interest | 2019-12-31 | No |
| Amount of non-exempt transactions with any party-in-interest | 2019-12-31 | $0 |
| Amount of non-exempt transactions with any party-in-interest | 2019-12-31 | $0 |
| Contributions received from participants | 2019-12-31 | $1,706,252 |
| Contributions received from participants | 2019-12-31 | $1,706,252 |
| Participant contributions at end of year | 2019-12-31 | $271,778 |
| Participant contributions at end of year | 2019-12-31 | $271,778 |
| Participant contributions at beginning of year | 2019-12-31 | $152,327 |
| Participant contributions at beginning of year | 2019-12-31 | $152,327 |
| Participant contributions at end of year | 2019-12-31 | $0 |
| Participant contributions at end of year | 2019-12-31 | $0 |
| Participant contributions at beginning of year | 2019-12-31 | $0 |
| Participant contributions at beginning of year | 2019-12-31 | $0 |
| Income. Received or receivable in cash from other sources (including rollovers) | 2019-12-31 | $248,392 |
| Income. Received or receivable in cash from other sources (including rollovers) | 2019-12-31 | $248,392 |
| Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries) | 2019-12-31 | $0 |
| Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries) | 2019-12-31 | $0 |
| Value of other receiveables (less allowance for doubtful accounts) at end of year | 2019-12-31 | $0 |
| Value of other receiveables (less allowance for doubtful accounts) at end of year | 2019-12-31 | $0 |
| Value of other receiveables (less allowance for doubtful accounts) at beginning of year | 2019-12-31 | $0 |
| Value of other receiveables (less allowance for doubtful accounts) at beginning of year | 2019-12-31 | $0 |
| Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year | 2019-12-31 | $0 |
| Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year | 2019-12-31 | $0 |
| Other income not declared elsewhere | 2019-12-31 | $10,000 |
| Other income not declared elsewhere | 2019-12-31 | $10,000 |
| Administrative expenses (other) incurred | 2019-12-31 | $-1,308 |
| Administrative expenses (other) incurred | 2019-12-31 | $-1,308 |
| Liabilities. Value of operating payables at beginning of year | 2019-12-31 | $0 |
| Liabilities. Value of operating payables at beginning of year | 2019-12-31 | $0 |
| Total non interest bearing cash at end of year | 2019-12-31 | $333 |
| Total non interest bearing cash at end of year | 2019-12-31 | $333 |
| Total non interest bearing cash at beginning of year | 2019-12-31 | $333 |
| Total non interest bearing cash at beginning of year | 2019-12-31 | $333 |
| Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser | 2019-12-31 | No |
| Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser | 2019-12-31 | No |
| Income. Non cash contributions | 2019-12-31 | $0 |
| Income. Non cash contributions | 2019-12-31 | $0 |
| Value of net income/loss | 2019-12-31 | $6,849,884 |
| Value of net income/loss | 2019-12-31 | $6,849,884 |
| Value of net assets at end of year (total assets less liabilities) | 2019-12-31 | $37,399,689 |
| Value of net assets at end of year (total assets less liabilities) | 2019-12-31 | $37,399,689 |
| Value of net assets at beginning of year (total assets less liabilities) | 2019-12-31 | $30,549,805 |
| Value of net assets at beginning of year (total assets less liabilities) | 2019-12-31 | $30,549,805 |
| Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond) | 2019-12-31 | No |
| Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond) | 2019-12-31 | No |
| Were any loans by the plan or fixed income obligations due to the plan in default | 2019-12-31 | No |
| Were any loans by the plan or fixed income obligations due to the plan in default | 2019-12-31 | No |
| Amount of loans by the plan or fixed income obligations due to the plan which were in default/classified-as-uncollectible as of the close of the plan year | 2019-12-31 | $0 |
| Amount of loans by the plan or fixed income obligations due to the plan which were in default/classified-as-uncollectible as of the close of the plan year | 2019-12-31 | $0 |
| Were any leases to which the plan was party in default or uncollectible | 2019-12-31 | No |
| Amount of leases to which the plan was a party which were in default/classified-as-uncollectible during the year | 2019-12-31 | $0 |
| Amount of leases to which the plan was a party which were in default/classified-as-uncollectible during the year | 2019-12-31 | $0 |
| Assets. partnership/joint venture interests at end of year | 2019-12-31 | $1,711,731 |
| Assets. partnership/joint venture interests at end of year | 2019-12-31 | $1,711,731 |
| Assets. partnership/joint venture interests at beginning of year | 2019-12-31 | $1,529,792 |
| Assets. partnership/joint venture interests at beginning of year | 2019-12-31 | $1,529,792 |
| Investment advisory and management fees | 2019-12-31 | $0 |
| Investment advisory and management fees | 2019-12-31 | $0 |
| Value of interest in registered invesment companies (eg mutual funds) at end of year | 2019-12-31 | $9,252,824 |
| Value of interest in registered invesment companies (eg mutual funds) at end of year | 2019-12-31 | $9,252,824 |
| Value of interest in registered invesment companies (eg mutual funds) at beginning of year | 2019-12-31 | $7,777,514 |
| Value of interest in registered invesment companies (eg mutual funds) at beginning of year | 2019-12-31 | $7,777,514 |
| Value of interest in pooled separate accounts at end of year | 2019-12-31 | $25,107,133 |
| Value of interest in pooled separate accounts at end of year | 2019-12-31 | $25,107,133 |
| Value of interest in pooled separate accounts at beginning of year | 2019-12-31 | $20,034,740 |
| Value of interest in pooled separate accounts at beginning of year | 2019-12-31 | $20,034,740 |
| Interest on participant loans | 2019-12-31 | $15,626 |
| Interest on participant loans | 2019-12-31 | $15,626 |
| Income. Interest from loans (other than to participants) | 2019-12-31 | $0 |
| Income. Interest from loans (other than to participants) | 2019-12-31 | $0 |
| Interest earned on other investments | 2019-12-31 | $77,837 |
| Interest earned on other investments | 2019-12-31 | $77,837 |
| Income. Interest from US Government securities | 2019-12-31 | $0 |
| Income. Interest from US Government securities | 2019-12-31 | $0 |
| Income. Interest from corporate debt instruments | 2019-12-31 | $0 |
| Income. Interest from corporate debt instruments | 2019-12-31 | $0 |
| Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year | 2019-12-31 | $9,194 |
| Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year | 2019-12-31 | $9,194 |
| Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year | 2019-12-31 | $3,811 |
| Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year | 2019-12-31 | $3,811 |
| Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year | 2019-12-31 | $3,811 |
| Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year | 2019-12-31 | $3,811 |
| Interest earned from interest bearing cash (including money market accounts and certificates of deposit) | 2019-12-31 | $90 |
| Interest earned from interest bearing cash (including money market accounts and certificates of deposit) | 2019-12-31 | $90 |
| Value of funds held in insurance company general accounts (unallocated contracts) at end of year | 2019-12-31 | $429,810 |
| Value of funds held in insurance company general accounts (unallocated contracts) at end of year | 2019-12-31 | $429,810 |
| Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year | 2019-12-31 | $426,316 |
| Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year | 2019-12-31 | $426,316 |
| Expenses. Payments to insurance carriers foe the provision of benefits | 2019-12-31 | $0 |
| Expenses. Payments to insurance carriers foe the provision of benefits | 2019-12-31 | $0 |
| Net investment gain/loss from registered investment companies (e.g. mutual funds) | 2019-12-31 | $1,189,622 |
| Net investment gain/loss from registered investment companies (e.g. mutual funds) | 2019-12-31 | $1,189,622 |
| Net investment gain/loss from pooled separate accounts | 2019-12-31 | $5,178,281 |
| Net investment gain/loss from pooled separate accounts | 2019-12-31 | $5,178,281 |
| Net investment gain or loss from common/collective trusts | 2019-12-31 | $0 |
| Net investment gain or loss from common/collective trusts | 2019-12-31 | $0 |
| Net gain/loss from 103.12 investment entities | 2019-12-31 | $0 |
| Net gain/loss from 103.12 investment entities | 2019-12-31 | $0 |
| Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets | 2019-12-31 | No |
| Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets | 2019-12-31 | No |
| Was there a failure to transmit to the plan any participant contributions | 2019-12-31 | No |
| Was there a failure to transmit to the plan any participant contributions | 2019-12-31 | No |
| Has the plan failed to provide any benefit when due under the plan | 2019-12-31 | No |
| Has the plan failed to provide any benefit when due under the plan | 2019-12-31 | No |
| Contributions received in cash from employer | 2019-12-31 | $485,534 |
| Contributions received in cash from employer | 2019-12-31 | $485,534 |
| Employer contributions (assets) at end of year | 2019-12-31 | $483,251 |
| Employer contributions (assets) at end of year | 2019-12-31 | $483,251 |
| Employer contributions (assets) at beginning of year | 2019-12-31 | $488,584 |
| Employer contributions (assets) at beginning of year | 2019-12-31 | $488,584 |
| Income. Dividends from preferred stock | 2019-12-31 | $0 |
| Income. Dividends from preferred stock | 2019-12-31 | $0 |
| Income. Dividends from common stock | 2019-12-31 | $7,321 |
| Income. Dividends from common stock | 2019-12-31 | $7,321 |
| Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers | 2019-12-31 | $2,372,431 |
| Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers | 2019-12-31 | $2,372,431 |
| Contract administrator fees | 2019-12-31 | $3,878 |
| Contract administrator fees | 2019-12-31 | $3,878 |
| Assets. Corporate common stocks other than exployer securities at end of year | 2019-12-31 | $133,635 |
| Assets. Corporate common stocks other than exployer securities at end of year | 2019-12-31 | $133,635 |
| Assets. Corporate common stocks other than exployer securities at beginning of year | 2019-12-31 | $136,388 |
| Assets. Corporate common stocks other than exployer securities at beginning of year | 2019-12-31 | $136,388 |
| Liabilities. Value of benefit claims payable at beginning of year | 2019-12-31 | $0 |
| Liabilities. Value of benefit claims payable at beginning of year | 2019-12-31 | $0 |
| Did the plan have assets held for investment | 2019-12-31 | Yes |
| Did the plan have assets held for investment | 2019-12-31 | Yes |
| Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser | 2019-12-31 | No |
| Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser | 2019-12-31 | No |
| Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC | 2019-12-31 | No |
| Aggregate proceeds on sale of assets | 2019-12-31 | $0 |
| Aggregate proceeds on sale of assets | 2019-12-31 | $0 |
| Aggregate carrying amount (costs) on sale of assets | 2019-12-31 | $0 |
| Aggregate carrying amount (costs) on sale of assets | 2019-12-31 | $0 |
| Liabilities. Value of acquisition indebtedness at beginning of year | 2019-12-31 | $0 |
| Liabilities. Value of acquisition indebtedness at beginning of year | 2019-12-31 | $0 |
| Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d) | 2019-12-31 | Yes |
| Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d) | 2019-12-31 | Yes |
| Opinion of an independent qualified public accountant for this plan | 2019-12-31 | Disclaimer |
| Opinion of an independent qualified public accountant for this plan | 2019-12-31 | Disclaimer |
| Accountancy firm name | 2019-12-31 | BDO |
| Accountancy firm name | 2019-12-31 | BDO |
| Accountancy firm EIN | 2019-12-31 | 135381590 |
| Accountancy firm EIN | 2019-12-31 | 135381590 |
| 2018 : THE IMPERIAL CAPITAL, LLC 401(K) PLAN 2018 401k financial data |
|---|
| Unrealized appreciation/depreciation of real estate assets | 2018-12-31 | $0 |
| Unrealized appreciation/depreciation of other (non real estate) assets | 2018-12-31 | $-226,424 |
| Total unrealized appreciation/depreciation of assets | 2018-12-31 | $-226,424 |
| Total transfer of assets to this plan | 2018-12-31 | $0 |
| Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2018-12-31 | $0 |
| Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2018-12-31 | $0 |
| Expenses. Interest paid | 2018-12-31 | $0 |
| Amount of participant contributions which was failed to transmit to the plan within the time period described in 29 CFR 251.3-102 | 2018-12-31 | $0 |
| Total income from all sources (including contributions) | 2018-12-31 | $641,076 |
| Total loss/gain on sale of assets | 2018-12-31 | $0 |
| Total of all expenses incurred | 2018-12-31 | $4,850,517 |
| Benefit payments and payments to participlants,beneficiaries,insurance carriers and others | 2018-12-31 | $4,822,588 |
| Expenses. Certain deemed distributions of participant loans | 2018-12-31 | $0 |
| Value of total corrective distributions | 2018-12-31 | $20,983 |
| Total contributions o plan (from employers,participants, others, non cash contrinutions) | 2018-12-31 | $2,529,053 |
| Value of total assets at end of year | 2018-12-31 | $30,549,805 |
| Value of total assets at beginning of year | 2018-12-31 | $34,759,246 |
| Total of administrative expenses incurred including professional, contract, advisory and management fees | 2018-12-31 | $6,946 |
| Total income from rents | 2018-12-31 | $0 |
| Total interest from all sources | 2018-12-31 | $100,316 |
| Total dividends received (eg from common stock, registered investment company shares) | 2018-12-31 | $161,494 |
| Has a resolution to terminate the plan been adopted during the plan year or any prior plan year | 2018-12-31 | No |
| Total dividends received from registered investment company shares (eg mutual funds) | 2018-12-31 | $161,494 |
| Administrative expenses professional fees incurred | 2018-12-31 | $2,417 |
| Was this plan covered by a fidelity bond | 2018-12-31 | Yes |
| Value of fidelity bond cover | 2018-12-31 | $2,000,000 |
| If this is an individual account plan, was there a blackout period | 2018-12-31 | No |
| Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities | 2018-12-31 | $0 |
| Were there any nonexempt tranactions with any party-in-interest | 2018-12-31 | No |
| Amount of non-exempt transactions with any party-in-interest | 2018-12-31 | $0 |
| Contributions received from participants | 2018-12-31 | $1,742,634 |
| Participant contributions at end of year | 2018-12-31 | $152,327 |
| Participant contributions at beginning of year | 2018-12-31 | $206,163 |
| Participant contributions at end of year | 2018-12-31 | $0 |
| Participant contributions at beginning of year | 2018-12-31 | $24,000 |
| Income. Received or receivable in cash from other sources (including rollovers) | 2018-12-31 | $297,835 |
| Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries) | 2018-12-31 | $0 |
| Value of other receiveables (less allowance for doubtful accounts) at end of year | 2018-12-31 | $0 |
| Value of other receiveables (less allowance for doubtful accounts) at beginning of year | 2018-12-31 | $0 |
| Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year | 2018-12-31 | $0 |
| Other income not declared elsewhere | 2018-12-31 | $-8,954 |
| Administrative expenses (other) incurred | 2018-12-31 | $1,280 |
| Liabilities. Value of operating payables at beginning of year | 2018-12-31 | $0 |
| Total non interest bearing cash at end of year | 2018-12-31 | $333 |
| Total non interest bearing cash at beginning of year | 2018-12-31 | $30,155 |
| Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser | 2018-12-31 | No |
| Income. Non cash contributions | 2018-12-31 | $0 |
| Value of net income/loss | 2018-12-31 | $-4,209,441 |
| Value of net assets at end of year (total assets less liabilities) | 2018-12-31 | $30,549,805 |
| Value of net assets at beginning of year (total assets less liabilities) | 2018-12-31 | $34,759,246 |
| Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond) | 2018-12-31 | No |
| Were any loans by the plan or fixed income obligations due to the plan in default | 2018-12-31 | No |
| Amount of loans by the plan or fixed income obligations due to the plan which were in default/classified-as-uncollectible as of the close of the plan year | 2018-12-31 | $0 |
| Were any leases to which the plan was party in default or uncollectible | 2018-12-31 | No |
| Amount of leases to which the plan was a party which were in default/classified-as-uncollectible during the year | 2018-12-31 | $0 |
| Assets. partnership/joint venture interests at end of year | 2018-12-31 | $1,529,792 |
| Assets. partnership/joint venture interests at beginning of year | 2018-12-31 | $1,439,586 |
| Investment advisory and management fees | 2018-12-31 | $0 |
| Value of interest in registered invesment companies (eg mutual funds) at end of year | 2018-12-31 | $7,777,514 |
| Value of interest in registered invesment companies (eg mutual funds) at beginning of year | 2018-12-31 | $10,157,865 |
| Value of interest in pooled separate accounts at end of year | 2018-12-31 | $20,034,740 |
| Value of interest in pooled separate accounts at beginning of year | 2018-12-31 | $21,915,946 |
| Interest on participant loans | 2018-12-31 | $10,420 |
| Income. Interest from loans (other than to participants) | 2018-12-31 | $0 |
| Interest earned on other investments | 2018-12-31 | $85,494 |
| Income. Interest from US Government securities | 2018-12-31 | $0 |
| Income. Interest from corporate debt instruments | 2018-12-31 | $0 |
| Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year | 2018-12-31 | $3,811 |
| Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year | 2018-12-31 | $106,523 |
| Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year | 2018-12-31 | $106,523 |
| Interest earned from interest bearing cash (including money market accounts and certificates of deposit) | 2018-12-31 | $4,402 |
| Value of funds held in insurance company general accounts (unallocated contracts) at end of year | 2018-12-31 | $426,316 |
| Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year | 2018-12-31 | $101,652 |
| Expenses. Payments to insurance carriers foe the provision of benefits | 2018-12-31 | $0 |
| Net investment gain/loss from registered investment companies (e.g. mutual funds) | 2018-12-31 | $-896,893 |
| Net investment gain/loss from pooled separate accounts | 2018-12-31 | $-1,017,516 |
| Net investment gain or loss from common/collective trusts | 2018-12-31 | $0 |
| Net gain/loss from 103.12 investment entities | 2018-12-31 | $0 |
| Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets | 2018-12-31 | No |
| Was there a failure to transmit to the plan any participant contributions | 2018-12-31 | No |
| Has the plan failed to provide any benefit when due under the plan | 2018-12-31 | No |
| Contributions received in cash from employer | 2018-12-31 | $488,584 |
| Employer contributions (assets) at end of year | 2018-12-31 | $488,584 |
| Employer contributions (assets) at beginning of year | 2018-12-31 | $604,770 |
| Income. Dividends from preferred stock | 2018-12-31 | $0 |
| Income. Dividends from common stock | 2018-12-31 | $0 |
| Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers | 2018-12-31 | $4,822,588 |
| Contract administrator fees | 2018-12-31 | $3,249 |
| Assets. Corporate common stocks other than exployer securities at end of year | 2018-12-31 | $136,388 |
| Assets. Corporate common stocks other than exployer securities at beginning of year | 2018-12-31 | $172,586 |
| Liabilities. Value of benefit claims payable at beginning of year | 2018-12-31 | $0 |
| Did the plan have assets held for investment | 2018-12-31 | Yes |
| Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser | 2018-12-31 | No |
| Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC | 2018-12-31 | No |
| Aggregate proceeds on sale of assets | 2018-12-31 | $0 |
| Aggregate carrying amount (costs) on sale of assets | 2018-12-31 | $0 |
| Liabilities. Value of acquisition indebtedness at beginning of year | 2018-12-31 | $0 |
| Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d) | 2018-12-31 | Yes |
| Opinion of an independent qualified public accountant for this plan | 2018-12-31 | Disclaimer |
| Accountancy firm name | 2018-12-31 | BDO |
| Accountancy firm EIN | 2018-12-31 | 135381590 |
| 2017 : THE IMPERIAL CAPITAL, LLC 401(K) PLAN 2017 401k financial data |
|---|
| Unrealized appreciation/depreciation of real estate assets | 2017-12-31 | $0 |
| Unrealized appreciation/depreciation of other (non real estate) assets | 2017-12-31 | $47,229 |
| Total unrealized appreciation/depreciation of assets | 2017-12-31 | $47,229 |
| Total transfer of assets to this plan | 2017-12-31 | $0 |
| Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2017-12-31 | $0 |
| Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2017-12-31 | $0 |
| Expenses. Interest paid | 2017-12-31 | $0 |
| Amount of participant contributions which was failed to transmit to the plan within the time period described in 29 CFR 251.3-102 | 2017-12-31 | $0 |
| Total income from all sources (including contributions) | 2017-12-31 | $8,106,976 |
| Total loss/gain on sale of assets | 2017-12-31 | $0 |
| Total of all expenses incurred | 2017-12-31 | $3,225,464 |
| Benefit payments and payments to participlants,beneficiaries,insurance carriers and others | 2017-12-31 | $3,163,282 |
| Expenses. Certain deemed distributions of participant loans | 2017-12-31 | $57,040 |
| Value of total corrective distributions | 2017-12-31 | $0 |
| Total contributions o plan (from employers,participants, others, non cash contrinutions) | 2017-12-31 | $3,199,391 |
| Value of total assets at end of year | 2017-12-31 | $34,759,246 |
| Value of total assets at beginning of year | 2017-12-31 | $29,877,734 |
| Total of administrative expenses incurred including professional, contract, advisory and management fees | 2017-12-31 | $5,142 |
| Total income from rents | 2017-12-31 | $0 |
| Total interest from all sources | 2017-12-31 | $15,675 |
| Total dividends received (eg from common stock, registered investment company shares) | 2017-12-31 | $142,719 |
| Has a resolution to terminate the plan been adopted during the plan year or any prior plan year | 2017-12-31 | No |
| Total dividends received from registered investment company shares (eg mutual funds) | 2017-12-31 | $138,955 |
| Administrative expenses professional fees incurred | 2017-12-31 | $0 |
| Was this plan covered by a fidelity bond | 2017-12-31 | Yes |
| Value of fidelity bond cover | 2017-12-31 | $2,000,000 |
| If this is an individual account plan, was there a blackout period | 2017-12-31 | No |
| Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities | 2017-12-31 | $0 |
| Were there any nonexempt tranactions with any party-in-interest | 2017-12-31 | Yes |
| Amount of non-exempt transactions with any party-in-interest | 2017-12-31 | $73,922 |
| Contributions received from participants | 2017-12-31 | $1,779,152 |
| Participant contributions at end of year | 2017-12-31 | $206,163 |
| Participant contributions at beginning of year | 2017-12-31 | $249,781 |
| Participant contributions at end of year | 2017-12-31 | $24,000 |
| Participant contributions at beginning of year | 2017-12-31 | $35,457 |
| Income. Received or receivable in cash from other sources (including rollovers) | 2017-12-31 | $751,444 |
| Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries) | 2017-12-31 | $4,837 |
| Value of other receiveables (less allowance for doubtful accounts) at end of year | 2017-12-31 | $0 |
| Value of other receiveables (less allowance for doubtful accounts) at beginning of year | 2017-12-31 | $0 |
| Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year | 2017-12-31 | $0 |
| Other income not declared elsewhere | 2017-12-31 | $285,047 |
| Administrative expenses (other) incurred | 2017-12-31 | $0 |
| Liabilities. Value of operating payables at beginning of year | 2017-12-31 | $0 |
| Total non interest bearing cash at end of year | 2017-12-31 | $30,155 |
| Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser | 2017-12-31 | No |
| Income. Non cash contributions | 2017-12-31 | $0 |
| Value of net income/loss | 2017-12-31 | $4,881,512 |
| Value of net assets at end of year (total assets less liabilities) | 2017-12-31 | $34,759,246 |
| Value of net assets at beginning of year (total assets less liabilities) | 2017-12-31 | $29,877,734 |
| Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond) | 2017-12-31 | No |
| Were any loans by the plan or fixed income obligations due to the plan in default | 2017-12-31 | No |
| Were any leases to which the plan was party in default or uncollectible | 2017-12-31 | No |
| Assets. partnership/joint venture interests at end of year | 2017-12-31 | $1,439,586 |
| Assets. partnership/joint venture interests at beginning of year | 2017-12-31 | $1,139,045 |
| Investment advisory and management fees | 2017-12-31 | $0 |
| Value of interest in registered invesment companies (eg mutual funds) at end of year | 2017-12-31 | $10,157,865 |
| Value of interest in registered invesment companies (eg mutual funds) at beginning of year | 2017-12-31 | $9,455,012 |
| Value of interest in pooled separate accounts at end of year | 2017-12-31 | $21,915,946 |
| Value of interest in pooled separate accounts at beginning of year | 2017-12-31 | $17,849,470 |
| Interest on participant loans | 2017-12-31 | $15,091 |
| Income. Interest from loans (other than to participants) | 2017-12-31 | $0 |
| Interest earned on other investments | 2017-12-31 | $537 |
| Income. Interest from US Government securities | 2017-12-31 | $0 |
| Income. Interest from corporate debt instruments | 2017-12-31 | $0 |
| Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year | 2017-12-31 | $106,523 |
| Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year | 2017-12-31 | $16,315 |
| Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year | 2017-12-31 | $16,315 |
| Interest earned from interest bearing cash (including money market accounts and certificates of deposit) | 2017-12-31 | $47 |
| Value of funds held in insurance company general accounts (unallocated contracts) at end of year | 2017-12-31 | $101,652 |
| Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year | 2017-12-31 | $306,479 |
| Expenses. Payments to insurance carriers foe the provision of benefits | 2017-12-31 | $0 |
| Net investment gain/loss from registered investment companies (e.g. mutual funds) | 2017-12-31 | $1,169,752 |
| Net investment gain/loss from pooled separate accounts | 2017-12-31 | $3,247,163 |
| Net investment gain or loss from common/collective trusts | 2017-12-31 | $0 |
| Net gain/loss from 103.12 investment entities | 2017-12-31 | $0 |
| Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets | 2017-12-31 | No |
| Was there a failure to transmit to the plan any participant contributions | 2017-12-31 | No |
| Has the plan failed to provide any benefit when due under the plan | 2017-12-31 | No |
| Contributions received in cash from employer | 2017-12-31 | $668,795 |
| Employer contributions (assets) at end of year | 2017-12-31 | $604,770 |
| Employer contributions (assets) at beginning of year | 2017-12-31 | $751,587 |
| Income. Dividends from preferred stock | 2017-12-31 | $0 |
| Income. Dividends from common stock | 2017-12-31 | $3,764 |
| Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers | 2017-12-31 | $3,158,445 |
| Contract administrator fees | 2017-12-31 | $5,142 |
| Assets. Corporate common stocks other than exployer securities at end of year | 2017-12-31 | $172,586 |
| Assets. Corporate common stocks other than exployer securities at beginning of year | 2017-12-31 | $74,588 |
| Liabilities. Value of benefit claims payable at beginning of year | 2017-12-31 | $0 |
| Did the plan have assets held for investment | 2017-12-31 | Yes |
| Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser | 2017-12-31 | No |
| Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC | 2017-12-31 | No |
| Aggregate proceeds on sale of assets | 2017-12-31 | $0 |
| Aggregate carrying amount (costs) on sale of assets | 2017-12-31 | $0 |
| Liabilities. Value of acquisition indebtedness at beginning of year | 2017-12-31 | $0 |
| Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d) | 2017-12-31 | Yes |
| Opinion of an independent qualified public accountant for this plan | 2017-12-31 | Disclaimer |
| Accountancy firm name | 2017-12-31 | BDO |
| Accountancy firm EIN | 2017-12-31 | 135381590 |
| 2016 : THE IMPERIAL CAPITAL, LLC 401(K) PLAN 2016 401k financial data |
|---|
| Unrealized appreciation/depreciation of real estate assets | 2016-12-31 | $0 |
| Unrealized appreciation/depreciation of other (non real estate) assets | 2016-12-31 | $28,408 |
| Total unrealized appreciation/depreciation of assets | 2016-12-31 | $28,408 |
| Total transfer of assets to this plan | 2016-12-31 | $0 |
| Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2016-12-31 | $0 |
| Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2016-12-31 | $0 |
| Expenses. Interest paid | 2016-12-31 | $0 |
| Amount of participant contributions which was failed to transmit to the plan within the time period described in 29 CFR 251.3-102 | 2016-12-31 | $0 |
| Total income from all sources (including contributions) | 2016-12-31 | $4,811,003 |
| Total loss/gain on sale of assets | 2016-12-31 | $5,726 |
| Total of all expenses incurred | 2016-12-31 | $1,355,415 |
| Benefit payments and payments to participlants,beneficiaries,insurance carriers and others | 2016-12-31 | $1,332,770 |
| Expenses. Certain deemed distributions of participant loans | 2016-12-31 | $0 |
| Value of total corrective distributions | 2016-12-31 | $0 |
| Total contributions o plan (from employers,participants, others, non cash contrinutions) | 2016-12-31 | $2,735,247 |
| Value of total assets at end of year | 2016-12-31 | $29,877,734 |
| Value of total assets at beginning of year | 2016-12-31 | $26,422,146 |
| Total of administrative expenses incurred including professional, contract, advisory and management fees | 2016-12-31 | $22,645 |
| Total income from rents | 2016-12-31 | $0 |
| Total interest from all sources | 2016-12-31 | $65,218 |
| Total dividends received (eg from common stock, registered investment company shares) | 2016-12-31 | $163,174 |
| Has a resolution to terminate the plan been adopted during the plan year or any prior plan year | 2016-12-31 | No |
| Total dividends received from registered investment company shares (eg mutual funds) | 2016-12-31 | $159,159 |
| Administrative expenses professional fees incurred | 2016-12-31 | $1,676 |
| Was this plan covered by a fidelity bond | 2016-12-31 | Yes |
| Value of fidelity bond cover | 2016-12-31 | $2,000,000 |
| If this is an individual account plan, was there a blackout period | 2016-12-31 | No |
| Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities | 2016-12-31 | $0 |
| Were there any nonexempt tranactions with any party-in-interest | 2016-12-31 | Yes |
| Amount of non-exempt transactions with any party-in-interest | 2016-12-31 | $73,922 |
| Contributions received from participants | 2016-12-31 | $1,795,100 |
| Participant contributions at end of year | 2016-12-31 | $249,781 |
| Participant contributions at beginning of year | 2016-12-31 | $187,579 |
| Participant contributions at end of year | 2016-12-31 | $35,457 |
| Participant contributions at beginning of year | 2016-12-31 | $15,000 |
| Income. Received or receivable in cash from other sources (including rollovers) | 2016-12-31 | $188,560 |
| Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries) | 2016-12-31 | $0 |
| Value of other receiveables (less allowance for doubtful accounts) at end of year | 2016-12-31 | $0 |
| Value of other receiveables (less allowance for doubtful accounts) at beginning of year | 2016-12-31 | $0 |
| Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year | 2016-12-31 | $0 |
| Other income not declared elsewhere | 2016-12-31 | $95,882 |
| Administrative expenses (other) incurred | 2016-12-31 | $991 |
| Liabilities. Value of operating payables at beginning of year | 2016-12-31 | $0 |
| Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser | 2016-12-31 | No |
| Income. Non cash contributions | 2016-12-31 | $0 |
| Value of net income/loss | 2016-12-31 | $3,455,588 |
| Value of net assets at end of year (total assets less liabilities) | 2016-12-31 | $29,877,734 |
| Value of net assets at beginning of year (total assets less liabilities) | 2016-12-31 | $26,422,146 |
| Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond) | 2016-12-31 | No |
| Were any loans by the plan or fixed income obligations due to the plan in default | 2016-12-31 | No |
| Were any leases to which the plan was party in default or uncollectible | 2016-12-31 | No |
| Assets. partnership/joint venture interests at end of year | 2016-12-31 | $1,139,045 |
| Assets. partnership/joint venture interests at beginning of year | 2016-12-31 | $1,007,220 |
| Investment advisory and management fees | 2016-12-31 | $15,736 |
| Value of interest in registered invesment companies (eg mutual funds) at end of year | 2016-12-31 | $9,455,012 |
| Value of interest in registered invesment companies (eg mutual funds) at beginning of year | 2016-12-31 | $8,158,581 |
| Value of interest in pooled separate accounts at end of year | 2016-12-31 | $17,849,470 |
| Value of interest in pooled separate accounts at beginning of year | 2016-12-31 | $16,384,551 |
| Interest on participant loans | 2016-12-31 | $13,440 |
| Income. Interest from loans (other than to participants) | 2016-12-31 | $0 |
| Interest earned on other investments | 2016-12-31 | $51,778 |
| Income. Interest from US Government securities | 2016-12-31 | $0 |
| Income. Interest from corporate debt instruments | 2016-12-31 | $0 |
| Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year | 2016-12-31 | $16,315 |
| Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year | 2016-12-31 | $11,861 |
| Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year | 2016-12-31 | $11,861 |
| Interest earned from interest bearing cash (including money market accounts and certificates of deposit) | 2016-12-31 | $0 |
| Value of funds held in insurance company general accounts (unallocated contracts) at end of year | 2016-12-31 | $306,479 |
| Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year | 2016-12-31 | $26,392 |
| Expenses. Payments to insurance carriers foe the provision of benefits | 2016-12-31 | $0 |
| Net investment gain/loss from registered investment companies (e.g. mutual funds) | 2016-12-31 | $353,016 |
| Net investment gain/loss from pooled separate accounts | 2016-12-31 | $1,364,332 |
| Net investment gain or loss from common/collective trusts | 2016-12-31 | $0 |
| Net gain/loss from 103.12 investment entities | 2016-12-31 | $0 |
| Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets | 2016-12-31 | No |
| Was there a failure to transmit to the plan any participant contributions | 2016-12-31 | No |
| Has the plan failed to provide any benefit when due under the plan | 2016-12-31 | No |
| Contributions received in cash from employer | 2016-12-31 | $751,587 |
| Employer contributions (assets) at end of year | 2016-12-31 | $751,587 |
| Employer contributions (assets) at beginning of year | 2016-12-31 | $594,348 |
| Income. Dividends from preferred stock | 2016-12-31 | $0 |
| Income. Dividends from common stock | 2016-12-31 | $4,015 |
| Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers | 2016-12-31 | $1,332,770 |
| Contract administrator fees | 2016-12-31 | $4,242 |
| Assets. Corporate common stocks other than exployer securities at end of year | 2016-12-31 | $74,588 |
| Assets. Corporate common stocks other than exployer securities at beginning of year | 2016-12-31 | $36,614 |
| Liabilities. Value of benefit claims payable at beginning of year | 2016-12-31 | $0 |
| Did the plan have assets held for investment | 2016-12-31 | Yes |
| Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser | 2016-12-31 | No |
| Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC | 2016-12-31 | No |
| Aggregate proceeds on sale of assets | 2016-12-31 | $25,724 |
| Aggregate carrying amount (costs) on sale of assets | 2016-12-31 | $19,998 |
| Liabilities. Value of acquisition indebtedness at beginning of year | 2016-12-31 | $0 |
| Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d) | 2016-12-31 | Yes |
| Opinion of an independent qualified public accountant for this plan | 2016-12-31 | Disclaimer |
| Accountancy firm name | 2016-12-31 | BDO |
| Accountancy firm EIN | 2016-12-31 | 135381590 |
| 2015 : THE IMPERIAL CAPITAL, LLC 401(K) PLAN 2015 401k financial data |
|---|
| Unrealized appreciation/depreciation of real estate assets | 2015-12-31 | $0 |
| Unrealized appreciation/depreciation of other (non real estate) assets | 2015-12-31 | $-67,175 |
| Total unrealized appreciation/depreciation of assets | 2015-12-31 | $-67,175 |
| Total transfer of assets to this plan | 2015-12-31 | $0 |
| Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2015-12-31 | $0 |
| Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2015-12-31 | $0 |
| Expenses. Interest paid | 2015-12-31 | $0 |
| Amount of participant contributions which was failed to transmit to the plan within the time period described in 29 CFR 251.3-102 | 2015-12-31 | $0 |
| Total income from all sources (including contributions) | 2015-12-31 | $2,506,814 |
| Total loss/gain on sale of assets | 2015-12-31 | $0 |
| Total of all expenses incurred | 2015-12-31 | $1,058,185 |
| Benefit payments and payments to participlants,beneficiaries,insurance carriers and others | 2015-12-31 | $1,035,505 |
| Expenses. Certain deemed distributions of participant loans | 2015-12-31 | $0 |
| Value of total corrective distributions | 2015-12-31 | $0 |
| Total contributions o plan (from employers,participants, others, non cash contrinutions) | 2015-12-31 | $2,674,978 |
| Value of total assets at end of year | 2015-12-31 | $26,422,146 |
| Value of total assets at beginning of year | 2015-12-31 | $24,973,517 |
| Total of administrative expenses incurred including professional, contract, advisory and management fees | 2015-12-31 | $22,680 |
| Total income from rents | 2015-12-31 | $0 |
| Total interest from all sources | 2015-12-31 | $9,060 |
| Total dividends received (eg from common stock, registered investment company shares) | 2015-12-31 | $140,182 |
| Has a resolution to terminate the plan been adopted during the plan year or any prior plan year | 2015-12-31 | No |
| Total dividends received from registered investment company shares (eg mutual funds) | 2015-12-31 | $136,602 |
| Administrative expenses professional fees incurred | 2015-12-31 | $2,119 |
| Was this plan covered by a fidelity bond | 2015-12-31 | Yes |
| Value of fidelity bond cover | 2015-12-31 | $2,000,000 |
| If this is an individual account plan, was there a blackout period | 2015-12-31 | No |
| Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities | 2015-12-31 | $0 |
| Were there any nonexempt tranactions with any party-in-interest | 2015-12-31 | No |
| Amount of non-exempt transactions with any party-in-interest | 2015-12-31 | $0 |
| Contributions received from participants | 2015-12-31 | $1,836,032 |
| Participant contributions at end of year | 2015-12-31 | $187,579 |
| Participant contributions at beginning of year | 2015-12-31 | $197,418 |
| Participant contributions at end of year | 2015-12-31 | $15,000 |
| Participant contributions at beginning of year | 2015-12-31 | $52,500 |
| Assets. Other investments not covered elsewhere at end of year | 2015-12-31 | $0 |
| Assets. Other investments not covered elsewhere at beginning of year | 2015-12-31 | $0 |
| Income. Received or receivable in cash from other sources (including rollovers) | 2015-12-31 | $150,906 |
| Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries) | 2015-12-31 | $0 |
| Value of other receiveables (less allowance for doubtful accounts) at end of year | 2015-12-31 | $0 |
| Value of other receiveables (less allowance for doubtful accounts) at beginning of year | 2015-12-31 | $0 |
| Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year | 2015-12-31 | $0 |
| Other income not declared elsewhere | 2015-12-31 | $19,140 |
| Administrative expenses (other) incurred | 2015-12-31 | $2,000 |
| Liabilities. Value of operating payables at beginning of year | 2015-12-31 | $0 |
| Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser | 2015-12-31 | No |
| Income. Non cash contributions | 2015-12-31 | $0 |
| Value of net income/loss | 2015-12-31 | $1,448,629 |
| Value of net assets at end of year (total assets less liabilities) | 2015-12-31 | $26,422,146 |
| Value of net assets at beginning of year (total assets less liabilities) | 2015-12-31 | $24,973,517 |
| Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond) | 2015-12-31 | No |
| Were any loans by the plan or fixed income obligations due to the plan in default | 2015-12-31 | No |
| Amount of loans by the plan or fixed income obligations due to the plan which were in default/classified-as-uncollectible as of the close of the plan year | 2015-12-31 | $0 |
| Were any leases to which the plan was party in default or uncollectible | 2015-12-31 | No |
| Amount of leases to which the plan was a party which were in default/classified-as-uncollectible during the year | 2015-12-31 | $0 |
| Assets. partnership/joint venture interests at end of year | 2015-12-31 | $1,007,220 |
| Assets. partnership/joint venture interests at beginning of year | 2015-12-31 | $965,438 |
| Investment advisory and management fees | 2015-12-31 | $15,094 |
| Value of interest in registered invesment companies (eg mutual funds) at end of year | 2015-12-31 | $8,158,581 |
| Value of interest in registered invesment companies (eg mutual funds) at beginning of year | 2015-12-31 | $8,255,098 |
| Value of interest in pooled separate accounts at end of year | 2015-12-31 | $16,384,551 |
| Value of interest in pooled separate accounts at beginning of year | 2015-12-31 | $14,744,959 |
| Interest on participant loans | 2015-12-31 | $9,020 |
| Income. Interest from loans (other than to participants) | 2015-12-31 | $0 |
| Interest earned on other investments | 2015-12-31 | $39 |
| Income. Interest from US Government securities | 2015-12-31 | $0 |
| Income. Interest from corporate debt instruments | 2015-12-31 | $0 |
| Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year | 2015-12-31 | $11,861 |
| Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year | 2015-12-31 | $7,268 |
| Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year | 2015-12-31 | $7,268 |
| Interest earned from interest bearing cash (including money market accounts and certificates of deposit) | 2015-12-31 | $1 |
| Value of funds held in insurance company general accounts (unallocated contracts) at end of year | 2015-12-31 | $26,392 |
| Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year | 2015-12-31 | $28,776 |
| Expenses. Payments to insurance carriers foe the provision of benefits | 2015-12-31 | $0 |
| Net investment gain/loss from registered investment companies (e.g. mutual funds) | 2015-12-31 | $-310,600 |
| Net investment gain/loss from pooled separate accounts | 2015-12-31 | $41,229 |
| Net investment gain or loss from common/collective trusts | 2015-12-31 | $0 |
| Net gain/loss from 103.12 investment entities | 2015-12-31 | $0 |
| Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets | 2015-12-31 | No |
| Was there a failure to transmit to the plan any participant contributions | 2015-12-31 | No |
| Has the plan failed to provide any benefit when due under the plan | 2015-12-31 | No |
| Contributions received in cash from employer | 2015-12-31 | $688,040 |
| Employer contributions (assets) at end of year | 2015-12-31 | $594,348 |
| Employer contributions (assets) at beginning of year | 2015-12-31 | $651,200 |
| Income. Dividends from preferred stock | 2015-12-31 | $0 |
| Income. Dividends from common stock | 2015-12-31 | $3,580 |
| Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers | 2015-12-31 | $1,035,505 |
| Contract administrator fees | 2015-12-31 | $3,467 |
| Assets. Corporate common stocks other than exployer securities at end of year | 2015-12-31 | $36,614 |
| Assets. Corporate common stocks other than exployer securities at beginning of year | 2015-12-31 | $70,860 |
| Liabilities. Value of benefit claims payable at beginning of year | 2015-12-31 | $0 |
| Did the plan have assets held for investment | 2015-12-31 | Yes |
| Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser | 2015-12-31 | No |
| Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC | 2015-12-31 | No |
| Aggregate proceeds on sale of assets | 2015-12-31 | $0 |
| Aggregate carrying amount (costs) on sale of assets | 2015-12-31 | $0 |
| Liabilities. Value of acquisition indebtedness at beginning of year | 2015-12-31 | $0 |
| Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d) | 2015-12-31 | Yes |
| Opinion of an independent qualified public accountant for this plan | 2015-12-31 | Disclaimer |
| Accountancy firm name | 2015-12-31 | BDO |
| Accountancy firm EIN | 2015-12-31 | 135381590 |
| 2014 : THE IMPERIAL CAPITAL, LLC 401(K) PLAN 2014 401k financial data |
|---|
| Unrealized appreciation/depreciation of real estate assets | 2014-12-31 | $0 |
| Unrealized appreciation/depreciation of other (non real estate) assets | 2014-12-31 | $-26,603 |
| Total unrealized appreciation/depreciation of assets | 2014-12-31 | $-26,603 |
| Total transfer of assets to this plan | 2014-12-31 | $0 |
| Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2014-12-31 | $0 |
| Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2014-12-31 | $0 |
| Expenses. Interest paid | 2014-12-31 | $0 |
| Amount of participant contributions which was failed to transmit to the plan within the time period described in 29 CFR 251.3-102 | 2014-12-31 | $0 |
| Total income from all sources (including contributions) | 2014-12-31 | $5,005,016 |
| Total loss/gain on sale of assets | 2014-12-31 | $0 |
| Total of all expenses incurred | 2014-12-31 | $1,745,940 |
| Benefit payments and payments to participlants,beneficiaries,insurance carriers and others | 2014-12-31 | $1,724,122 |
| Expenses. Certain deemed distributions of participant loans | 2014-12-31 | $0 |
| Value of total corrective distributions | 2014-12-31 | $0 |
| Total contributions o plan (from employers,participants, others, non cash contrinutions) | 2014-12-31 | $3,620,563 |
| Value of total assets at end of year | 2014-12-31 | $24,973,517 |
| Value of total assets at beginning of year | 2014-12-31 | $21,714,441 |
| Total of administrative expenses incurred including professional, contract, advisory and management fees | 2014-12-31 | $21,818 |
| Total income from rents | 2014-12-31 | $0 |
| Total interest from all sources | 2014-12-31 | $12,649 |
| Total dividends received (eg from common stock, registered investment company shares) | 2014-12-31 | $169,607 |
| Has a resolution to terminate the plan been adopted during the plan year or any prior plan year | 2014-12-31 | No |
| Total dividends received from registered investment company shares (eg mutual funds) | 2014-12-31 | $166,167 |
| Administrative expenses professional fees incurred | 2014-12-31 | $0 |
| Was this plan covered by a fidelity bond | 2014-12-31 | Yes |
| Value of fidelity bond cover | 2014-12-31 | $2,000,000 |
| If this is an individual account plan, was there a blackout period | 2014-12-31 | Yes |
| Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities | 2014-12-31 | $0 |
| Were there any nonexempt tranactions with any party-in-interest | 2014-12-31 | No |
| Amount of non-exempt transactions with any party-in-interest | 2014-12-31 | $0 |
| Contributions received from participants | 2014-12-31 | $1,983,074 |
| Participant contributions at end of year | 2014-12-31 | $197,418 |
| Participant contributions at beginning of year | 2014-12-31 | $252,475 |
| Participant contributions at end of year | 2014-12-31 | $52,500 |
| Participant contributions at beginning of year | 2014-12-31 | $0 |
| Assets. Other investments not covered elsewhere at end of year | 2014-12-31 | $0 |
| Assets. Other investments not covered elsewhere at beginning of year | 2014-12-31 | $0 |
| Income. Received or receivable in cash from other sources (including rollovers) | 2014-12-31 | $871,692 |
| Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries) | 2014-12-31 | $0 |
| Value of other receiveables (less allowance for doubtful accounts) at end of year | 2014-12-31 | $0 |
| Value of other receiveables (less allowance for doubtful accounts) at beginning of year | 2014-12-31 | $0 |
| Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year | 2014-12-31 | $0 |
| Other income not declared elsewhere | 2014-12-31 | $-22,229 |
| Administrative expenses (other) incurred | 2014-12-31 | $3,739 |
| Liabilities. Value of operating payables at beginning of year | 2014-12-31 | $0 |
| Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser | 2014-12-31 | No |
| Income. Non cash contributions | 2014-12-31 | $0 |
| Value of net income/loss | 2014-12-31 | $3,259,076 |
| Value of net assets at end of year (total assets less liabilities) | 2014-12-31 | $24,973,517 |
| Value of net assets at beginning of year (total assets less liabilities) | 2014-12-31 | $21,714,441 |
| Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond) | 2014-12-31 | No |
| Were any loans by the plan or fixed income obligations due to the plan in default | 2014-12-31 | No |
| Amount of loans by the plan or fixed income obligations due to the plan which were in default/classified-as-uncollectible as of the close of the plan year | 2014-12-31 | $0 |
| Were any leases to which the plan was party in default or uncollectible | 2014-12-31 | No |
| Amount of leases to which the plan was a party which were in default/classified-as-uncollectible during the year | 2014-12-31 | $0 |
| Assets. partnership/joint venture interests at end of year | 2014-12-31 | $965,438 |
| Assets. partnership/joint venture interests at beginning of year | 2014-12-31 | $927,900 |
| Investment advisory and management fees | 2014-12-31 | $14,717 |
| Value of interest in registered invesment companies (eg mutual funds) at end of year | 2014-12-31 | $8,255,098 |
| Value of interest in registered invesment companies (eg mutual funds) at beginning of year | 2014-12-31 | $7,313,524 |
| Value of interest in pooled separate accounts at end of year | 2014-12-31 | $14,744,959 |
| Value of interest in pooled separate accounts at beginning of year | 2014-12-31 | $12,464,163 |
| Interest on participant loans | 2014-12-31 | $12,612 |
| Income. Interest from loans (other than to participants) | 2014-12-31 | $0 |
| Interest earned on other investments | 2014-12-31 | $34 |
| Income. Interest from US Government securities | 2014-12-31 | $0 |
| Income. Interest from corporate debt instruments | 2014-12-31 | $0 |
| Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year | 2014-12-31 | $7,268 |
| Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year | 2014-12-31 | $9,188 |
| Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year | 2014-12-31 | $9,188 |
| Interest earned from interest bearing cash (including money market accounts and certificates of deposit) | 2014-12-31 | $3 |
| Value of funds held in insurance company general accounts (unallocated contracts) at end of year | 2014-12-31 | $28,776 |
| Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year | 2014-12-31 | $22,601 |
| Expenses. Payments to insurance carriers foe the provision of benefits | 2014-12-31 | $0 |
| Net investment gain/loss from registered investment companies (e.g. mutual funds) | 2014-12-31 | $46,354 |
| Net investment gain/loss from pooled separate accounts | 2014-12-31 | $1,204,675 |
| Net investment gain or loss from common/collective trusts | 2014-12-31 | $0 |
| Net gain/loss from 103.12 investment entities | 2014-12-31 | $0 |
| Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets | 2014-12-31 | No |
| Was there a failure to transmit to the plan any participant contributions | 2014-12-31 | No |
| Has the plan failed to provide any benefit when due under the plan | 2014-12-31 | No |
| Contributions received in cash from employer | 2014-12-31 | $765,797 |
| Employer contributions (assets) at end of year | 2014-12-31 | $651,200 |
| Employer contributions (assets) at beginning of year | 2014-12-31 | $661,820 |
| Income. Dividends from preferred stock | 2014-12-31 | $0 |
| Income. Dividends from common stock | 2014-12-31 | $3,440 |
| Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers | 2014-12-31 | $1,724,122 |
| Contract administrator fees | 2014-12-31 | $3,362 |
| Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-3 | 2014-12-31 | Yes |
| Assets. Corporate common stocks other than exployer securities at end of year | 2014-12-31 | $70,860 |
| Assets. Corporate common stocks other than exployer securities at beginning of year | 2014-12-31 | $62,770 |
| Liabilities. Value of benefit claims payable at beginning of year | 2014-12-31 | $0 |
| Did the plan have assets held for investment | 2014-12-31 | Yes |
| Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser | 2014-12-31 | No |
| Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC | 2014-12-31 | No |
| Aggregate proceeds on sale of assets | 2014-12-31 | $0 |
| Aggregate carrying amount (costs) on sale of assets | 2014-12-31 | $0 |
| Liabilities. Value of acquisition indebtedness at beginning of year | 2014-12-31 | $0 |
| Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d) | 2014-12-31 | Yes |
| Opinion of an independent qualified public accountant for this plan | 2014-12-31 | Disclaimer |
| Accountancy firm name | 2014-12-31 | BDO |
| Accountancy firm EIN | 2014-12-31 | 135381590 |
| 2013 : THE IMPERIAL CAPITAL, LLC 401(K) PLAN 2013 401k financial data |
|---|
| Unrealized appreciation/depreciation of real estate assets | 2013-12-31 | $0 |
| Unrealized appreciation/depreciation of other (non real estate) assets | 2013-12-31 | $-11,077 |
| Total unrealized appreciation/depreciation of assets | 2013-12-31 | $-11,077 |
| Total transfer of assets to this plan | 2013-12-31 | $0 |
| Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2013-12-31 | $0 |
| Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2013-12-31 | $0 |
| Expenses. Interest paid | 2013-12-31 | $0 |
| Amount of participant contributions which was failed to transmit to the plan within the time period described in 29 CFR 251.3-102 | 2013-12-31 | $0 |
| Total income from all sources (including contributions) | 2013-12-31 | $5,978,975 |
| Total loss/gain on sale of assets | 2013-12-31 | $0 |
| Total of all expenses incurred | 2013-12-31 | $903,967 |
| Benefit payments and payments to participlants,beneficiaries,insurance carriers and others | 2013-12-31 | $887,143 |
| Expenses. Certain deemed distributions of participant loans | 2013-12-31 | $0 |
| Value of total corrective distributions | 2013-12-31 | $0 |
| Total contributions o plan (from employers,participants, others, non cash contrinutions) | 2013-12-31 | $2,696,986 |
| Value of total assets at end of year | 2013-12-31 | $21,714,441 |
| Value of total assets at beginning of year | 2013-12-31 | $16,639,433 |
| Total of administrative expenses incurred including professional, contract, advisory and management fees | 2013-12-31 | $16,824 |
| Total income from rents | 2013-12-31 | $0 |
| Total interest from all sources | 2013-12-31 | $9,823 |
| Total dividends received (eg from common stock, registered investment company shares) | 2013-12-31 | $147,021 |
| Has a resolution to terminate the plan been adopted during the plan year or any prior plan year | 2013-12-31 | No |
| Total dividends received from registered investment company shares (eg mutual funds) | 2013-12-31 | $144,751 |
| Administrative expenses professional fees incurred | 2013-12-31 | $1,403 |
| Was this plan covered by a fidelity bond | 2013-12-31 | Yes |
| Value of fidelity bond cover | 2013-12-31 | $2,000,000 |
| If this is an individual account plan, was there a blackout period | 2013-12-31 | No |
| Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities | 2013-12-31 | $0 |
| Were there any nonexempt tranactions with any party-in-interest | 2013-12-31 | No |
| Amount of non-exempt transactions with any party-in-interest | 2013-12-31 | $0 |
| Contributions received from participants | 2013-12-31 | $1,629,202 |
| Participant contributions at end of year | 2013-12-31 | $252,475 |
| Participant contributions at beginning of year | 2013-12-31 | $187,206 |
| Participant contributions at end of year | 2013-12-31 | $0 |
| Participant contributions at beginning of year | 2013-12-31 | $17,000 |
| Assets. Other investments not covered elsewhere at end of year | 2013-12-31 | $0 |
| Assets. Other investments not covered elsewhere at beginning of year | 2013-12-31 | $0 |
| Income. Received or receivable in cash from other sources (including rollovers) | 2013-12-31 | $232,274 |
| Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries) | 2013-12-31 | $13,500 |
| Value of other receiveables (less allowance for doubtful accounts) at end of year | 2013-12-31 | $0 |
| Value of other receiveables (less allowance for doubtful accounts) at beginning of year | 2013-12-31 | $0 |
| Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year | 2013-12-31 | $0 |
| Other income not declared elsewhere | 2013-12-31 | $286,545 |
| Administrative expenses (other) incurred | 2013-12-31 | $334 |
| Liabilities. Value of operating payables at beginning of year | 2013-12-31 | $0 |
| Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser | 2013-12-31 | No |
| Income. Non cash contributions | 2013-12-31 | $0 |
| Value of net income/loss | 2013-12-31 | $5,075,008 |
| Value of net assets at end of year (total assets less liabilities) | 2013-12-31 | $21,714,441 |
| Value of net assets at beginning of year (total assets less liabilities) | 2013-12-31 | $16,639,433 |
| Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond) | 2013-12-31 | No |
| Were any loans by the plan or fixed income obligations due to the plan in default | 2013-12-31 | No |
| Amount of loans by the plan or fixed income obligations due to the plan which were in default/classified-as-uncollectible as of the close of the plan year | 2013-12-31 | $0 |
| Were any leases to which the plan was party in default or uncollectible | 2013-12-31 | No |
| Amount of leases to which the plan was a party which were in default/classified-as-uncollectible during the year | 2013-12-31 | $0 |
| Assets. partnership/joint venture interests at end of year | 2013-12-31 | $927,900 |
| Assets. partnership/joint venture interests at beginning of year | 2013-12-31 | $626,331 |
| Investment advisory and management fees | 2013-12-31 | $11,923 |
| Value of interest in registered invesment companies (eg mutual funds) at end of year | 2013-12-31 | $7,313,524 |
| Value of interest in registered invesment companies (eg mutual funds) at beginning of year | 2013-12-31 | $6,373,403 |
| Value of interest in pooled separate accounts at end of year | 2013-12-31 | $12,464,163 |
| Value of interest in pooled separate accounts at beginning of year | 2013-12-31 | $8,775,471 |
| Interest on participant loans | 2013-12-31 | $9,803 |
| Income. Interest from loans (other than to participants) | 2013-12-31 | $0 |
| Interest earned on other investments | 2013-12-31 | $19 |
| Income. Interest from US Government securities | 2013-12-31 | $0 |
| Income. Interest from corporate debt instruments | 2013-12-31 | $0 |
| Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year | 2013-12-31 | $9,188 |
| Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year | 2013-12-31 | $38,142 |
| Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year | 2013-12-31 | $38,142 |
| Interest earned from interest bearing cash (including money market accounts and certificates of deposit) | 2013-12-31 | $1 |
| Value of funds held in insurance company general accounts (unallocated contracts) at end of year | 2013-12-31 | $22,601 |
| Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year | 2013-12-31 | $1,539 |
| Expenses. Payments to insurance carriers foe the provision of benefits | 2013-12-31 | $0 |
| Net investment gain/loss from registered investment companies (e.g. mutual funds) | 2013-12-31 | $599,798 |
| Net investment gain/loss from pooled separate accounts | 2013-12-31 | $2,249,879 |
| Net investment gain or loss from common/collective trusts | 2013-12-31 | $0 |
| Net gain/loss from 103.12 investment entities | 2013-12-31 | $0 |
| Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets | 2013-12-31 | No |
| Was there a failure to transmit to the plan any participant contributions | 2013-12-31 | No |
| Has the plan failed to provide any benefit when due under the plan | 2013-12-31 | No |
| Contributions received in cash from employer | 2013-12-31 | $835,510 |
| Employer contributions (assets) at end of year | 2013-12-31 | $661,820 |
| Employer contributions (assets) at beginning of year | 2013-12-31 | $584,461 |
| Income. Dividends from preferred stock | 2013-12-31 | $0 |
| Income. Dividends from common stock | 2013-12-31 | $2,270 |
| Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers | 2013-12-31 | $873,643 |
| Contract administrator fees | 2013-12-31 | $3,164 |
| Assets. Corporate common stocks other than exployer securities at end of year | 2013-12-31 | $62,770 |
| Assets. Corporate common stocks other than exployer securities at beginning of year | 2013-12-31 | $35,880 |
| Liabilities. Value of benefit claims payable at beginning of year | 2013-12-31 | $0 |
| Did the plan have assets held for investment | 2013-12-31 | Yes |
| Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser | 2013-12-31 | No |
| Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC | 2013-12-31 | No |
| Aggregate proceeds on sale of assets | 2013-12-31 | $0 |
| Aggregate carrying amount (costs) on sale of assets | 2013-12-31 | $0 |
| Liabilities. Value of acquisition indebtedness at beginning of year | 2013-12-31 | $0 |
| Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d) | 2013-12-31 | Yes |
| Opinion of an independent qualified public accountant for this plan | 2013-12-31 | Disclaimer |
| Accountancy firm name | 2013-12-31 | BDO |
| Accountancy firm EIN | 2013-12-31 | 135381590 |
| 2012 : THE IMPERIAL CAPITAL, LLC 401(K) PLAN 2012 401k financial data |
|---|
| Unrealized appreciation/depreciation of real estate assets | 2012-12-31 | $0 |
| Unrealized appreciation/depreciation of other (non real estate) assets | 2012-12-31 | $162,380 |
| Total unrealized appreciation/depreciation of assets | 2012-12-31 | $162,380 |
| Total transfer of assets to this plan | 2012-12-31 | $0 |
| Total transfer of assets from this plan | 2012-12-31 | $0 |
| Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2012-12-31 | $0 |
| Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2012-12-31 | $0 |
| Expenses. Interest paid | 2012-12-31 | $0 |
| Amount of participant contributions which was failed to transmit to the plan within the time period described in 29 CFR 251.3-102 | 2012-12-31 | $0 |
| Total income from all sources (including contributions) | 2012-12-31 | $4,370,897 |
| Total loss/gain on sale of assets | 2012-12-31 | $0 |
| Total of all expenses incurred | 2012-12-31 | $2,591,721 |
| Benefit payments and payments to participlants,beneficiaries,insurance carriers and others | 2012-12-31 | $2,568,053 |
| Expenses. Certain deemed distributions of participant loans | 2012-12-31 | $0 |
| Value of total corrective distributions | 2012-12-31 | $0 |
| Total contributions o plan (from employers,participants, others, non cash contrinutions) | 2012-12-31 | $2,468,346 |
| Value of total assets at end of year | 2012-12-31 | $16,639,433 |
| Value of total assets at beginning of year | 2012-12-31 | $14,860,257 |
| Total of administrative expenses incurred including professional, contract, advisory and management fees | 2012-12-31 | $23,668 |
| Total income from rents | 2012-12-31 | $0 |
| Total interest from all sources | 2012-12-31 | $7,858 |
| Total dividends received (eg from common stock, registered investment company shares) | 2012-12-31 | $178,118 |
| Has a resolution to terminate the plan been adopted during the plan year or any prior plan year | 2012-12-31 | No |
| Total dividends received from registered investment company shares (eg mutual funds) | 2012-12-31 | $176,048 |
| Administrative expenses professional fees incurred | 2012-12-31 | $1,774 |
| Was this plan covered by a fidelity bond | 2012-12-31 | Yes |
| Value of fidelity bond cover | 2012-12-31 | $2,000,000 |
| If this is an individual account plan, was there a blackout period | 2012-12-31 | No |
| Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities | 2012-12-31 | $0 |
| Were there any nonexempt tranactions with any party-in-interest | 2012-12-31 | No |
| Amount of non-exempt transactions with any party-in-interest | 2012-12-31 | $0 |
| Contributions received from participants | 2012-12-31 | $1,512,330 |
| Participant contributions at end of year | 2012-12-31 | $187,206 |
| Participant contributions at beginning of year | 2012-12-31 | $62,343 |
| Participant contributions at end of year | 2012-12-31 | $17,000 |
| Participant contributions at beginning of year | 2012-12-31 | $0 |
| Assets. Other investments not covered elsewhere at end of year | 2012-12-31 | $0 |
| Assets. Other investments not covered elsewhere at beginning of year | 2012-12-31 | $0 |
| Income. Received or receivable in cash from other sources (including rollovers) | 2012-12-31 | $242,436 |
| Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries) | 2012-12-31 | $33,000 |
| Value of other receiveables (less allowance for doubtful accounts) at end of year | 2012-12-31 | $0 |
| Value of other receiveables (less allowance for doubtful accounts) at beginning of year | 2012-12-31 | $0 |
| Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year | 2012-12-31 | $0 |
| Other income not declared elsewhere | 2012-12-31 | $14,443 |
| Administrative expenses (other) incurred | 2012-12-31 | $1,241 |
| Liabilities. Value of operating payables at beginning of year | 2012-12-31 | $0 |
| Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser | 2012-12-31 | No |
| Income. Non cash contributions | 2012-12-31 | $0 |
| Value of net income/loss | 2012-12-31 | $1,779,176 |
| Value of net assets at end of year (total assets less liabilities) | 2012-12-31 | $16,639,433 |
| Value of net assets at beginning of year (total assets less liabilities) | 2012-12-31 | $14,860,257 |
| Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond) | 2012-12-31 | No |
| Were any loans by the plan or fixed income obligations due to the plan in default | 2012-12-31 | No |
| Amount of loans by the plan or fixed income obligations due to the plan which were in default/classified-as-uncollectible as of the close of the plan year | 2012-12-31 | $0 |
| Were any leases to which the plan was party in default or uncollectible | 2012-12-31 | No |
| Amount of leases to which the plan was a party which were in default/classified-as-uncollectible during the year | 2012-12-31 | $0 |
| Assets. partnership/joint venture interests at end of year | 2012-12-31 | $626,331 |
| Assets. partnership/joint venture interests at beginning of year | 2012-12-31 | $1,141,153 |
| Investment advisory and management fees | 2012-12-31 | $18,959 |
| Value of interest in registered invesment companies (eg mutual funds) at end of year | 2012-12-31 | $6,373,403 |
| Value of interest in registered invesment companies (eg mutual funds) at beginning of year | 2012-12-31 | $3,392,994 |
| Value of interest in pooled separate accounts at end of year | 2012-12-31 | $8,775,471 |
| Value of interest in pooled separate accounts at beginning of year | 2012-12-31 | $9,569,663 |
| Interest on participant loans | 2012-12-31 | $7,857 |
| Income. Interest from loans (other than to participants) | 2012-12-31 | $0 |
| Interest earned on other investments | 2012-12-31 | $1 |
| Income. Interest from US Government securities | 2012-12-31 | $0 |
| Income. Interest from corporate debt instruments | 2012-12-31 | $0 |
| Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year | 2012-12-31 | $38,142 |
| Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year | 2012-12-31 | $129,263 |
| Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year | 2012-12-31 | $129,263 |
| Interest earned from interest bearing cash (including money market accounts and certificates of deposit) | 2012-12-31 | $0 |
| Value of funds held in insurance company general accounts (unallocated contracts) at end of year | 2012-12-31 | $1,539 |
| Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year | 2012-12-31 | $511 |
| Expenses. Payments to insurance carriers foe the provision of benefits | 2012-12-31 | $0 |
| Net investment gain/loss from registered investment companies (e.g. mutual funds) | 2012-12-31 | $405,918 |
| Net investment gain/loss from pooled separate accounts | 2012-12-31 | $1,133,834 |
| Net investment gain or loss from common/collective trusts | 2012-12-31 | $0 |
| Net gain/loss from 103.12 investment entities | 2012-12-31 | $0 |
| Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets | 2012-12-31 | No |
| Was there a failure to transmit to the plan any participant contributions | 2012-12-31 | No |
| Has the plan failed to provide any benefit when due under the plan | 2012-12-31 | No |
| Contributions received in cash from employer | 2012-12-31 | $713,580 |
| Employer contributions (assets) at end of year | 2012-12-31 | $584,461 |
| Employer contributions (assets) at beginning of year | 2012-12-31 | $496,007 |
| Income. Dividends from preferred stock | 2012-12-31 | $0 |
| Income. Dividends from common stock | 2012-12-31 | $2,070 |
| Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers | 2012-12-31 | $2,535,053 |
| Contract administrator fees | 2012-12-31 | $1,694 |
| Assets. Corporate common stocks other than exployer securities at end of year | 2012-12-31 | $35,880 |
| Assets. Corporate common stocks other than exployer securities at beginning of year | 2012-12-31 | $68,323 |
| Liabilities. Value of benefit claims payable at beginning of year | 2012-12-31 | $0 |
| Did the plan have assets held for investment | 2012-12-31 | Yes |
| Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser | 2012-12-31 | No |
| Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC | 2012-12-31 | No |
| Aggregate proceeds on sale of assets | 2012-12-31 | $0 |
| Aggregate carrying amount (costs) on sale of assets | 2012-12-31 | $0 |
| Liabilities. Value of acquisition indebtedness at beginning of year | 2012-12-31 | $0 |
| Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d) | 2012-12-31 | Yes |
| Opinion of an independent qualified public accountant for this plan | 2012-12-31 | Disclaimer |
| Accountancy firm name | 2012-12-31 | BDO |
| Accountancy firm EIN | 2012-12-31 | 135381590 |
| 2011 : THE IMPERIAL CAPITAL, LLC 401(K) PLAN 2011 401k financial data |
|---|
| Unrealized appreciation/depreciation of real estate assets | 2011-12-31 | $0 |
| Unrealized appreciation/depreciation of other (non real estate) assets | 2011-12-31 | $5,550 |
| Total unrealized appreciation/depreciation of assets | 2011-12-31 | $5,550 |
| Total transfer of assets to this plan | 2011-12-31 | $0 |
| Total transfer of assets from this plan | 2011-12-31 | $0 |
| Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2011-12-31 | $0 |
| Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2011-12-31 | $0 |
| Expenses. Interest paid | 2011-12-31 | $0 |
| Amount of participant contributions which was failed to transmit to the plan within the time period described in 29 CFR 251.3-102 | 2011-12-31 | $0 |
| Total income from all sources (including contributions) | 2011-12-31 | $1,733,230 |
| Total loss/gain on sale of assets | 2011-12-31 | $50,136 |
| Total of all expenses incurred | 2011-12-31 | $870,908 |
| Benefit payments and payments to participlants,beneficiaries,insurance carriers and others | 2011-12-31 | $850,575 |
| Expenses. Certain deemed distributions of participant loans | 2011-12-31 | $0 |
| Value of total corrective distributions | 2011-12-31 | $0 |
| Total contributions o plan (from employers,participants, others, non cash contrinutions) | 2011-12-31 | $1,968,400 |
| Value of total assets at end of year | 2011-12-31 | $14,860,257 |
| Value of total assets at beginning of year | 2011-12-31 | $13,997,935 |
| Total of administrative expenses incurred including professional, contract, advisory and management fees | 2011-12-31 | $20,333 |
| Total income from rents | 2011-12-31 | $0 |
| Total interest from all sources | 2011-12-31 | $5,202 |
| Total dividends received (eg from common stock, registered investment company shares) | 2011-12-31 | $129,556 |
| Has a resolution to terminate the plan been adopted during the plan year or any prior plan year | 2011-12-31 | No |
| Total dividends received from registered investment company shares (eg mutual funds) | 2011-12-31 | $128,617 |
| Administrative expenses professional fees incurred | 2011-12-31 | $1,733 |
| Was this plan covered by a fidelity bond | 2011-12-31 | Yes |
| Value of fidelity bond cover | 2011-12-31 | $2,000,000 |
| If this is an individual account plan, was there a blackout period | 2011-12-31 | No |
| Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities | 2011-12-31 | $0 |
| Were there any nonexempt tranactions with any party-in-interest | 2011-12-31 | No |
| Amount of non-exempt transactions with any party-in-interest | 2011-12-31 | $0 |
| Contributions received from participants | 2011-12-31 | $1,320,102 |
| Participant contributions at end of year | 2011-12-31 | $62,343 |
| Participant contributions at beginning of year | 2011-12-31 | $103,134 |
| Participant contributions at end of year | 2011-12-31 | $0 |
| Participant contributions at beginning of year | 2011-12-31 | $16,500 |
| Assets. Other investments not covered elsewhere at end of year | 2011-12-31 | $0 |
| Assets. Other investments not covered elsewhere at beginning of year | 2011-12-31 | $0 |
| Income. Received or receivable in cash from other sources (including rollovers) | 2011-12-31 | $36,328 |
| Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries) | 2011-12-31 | $0 |
| Value of other receiveables (less allowance for doubtful accounts) at end of year | 2011-12-31 | $0 |
| Value of other receiveables (less allowance for doubtful accounts) at beginning of year | 2011-12-31 | $0 |
| Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year | 2011-12-31 | $0 |
| Other income not declared elsewhere | 2011-12-31 | $745 |
| Administrative expenses (other) incurred | 2011-12-31 | $110 |
| Liabilities. Value of operating payables at beginning of year | 2011-12-31 | $0 |
| Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser | 2011-12-31 | No |
| Income. Non cash contributions | 2011-12-31 | $0 |
| Value of net income/loss | 2011-12-31 | $862,322 |
| Value of net assets at end of year (total assets less liabilities) | 2011-12-31 | $14,860,257 |
| Value of net assets at beginning of year (total assets less liabilities) | 2011-12-31 | $13,997,935 |
| Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond) | 2011-12-31 | No |
| Were any loans by the plan or fixed income obligations due to the plan in default | 2011-12-31 | No |
| Amount of loans by the plan or fixed income obligations due to the plan which were in default/classified-as-uncollectible as of the close of the plan year | 2011-12-31 | $0 |
| Were any leases to which the plan was party in default or uncollectible | 2011-12-31 | No |
| Amount of leases to which the plan was a party which were in default/classified-as-uncollectible during the year | 2011-12-31 | $0 |
| Assets. partnership/joint venture interests at end of year | 2011-12-31 | $1,141,153 |
| Assets. partnership/joint venture interests at beginning of year | 2011-12-31 | $1,089,276 |
| Investment advisory and management fees | 2011-12-31 | $17,116 |
| Value of interest in registered invesment companies (eg mutual funds) at end of year | 2011-12-31 | $3,392,994 |
| Value of interest in registered invesment companies (eg mutual funds) at beginning of year | 2011-12-31 | $3,041,988 |
| Value of interest in pooled separate accounts at end of year | 2011-12-31 | $9,569,663 |
| Value of interest in pooled separate accounts at beginning of year | 2011-12-31 | $9,042,889 |
| Interest on participant loans | 2011-12-31 | $5,201 |
| Income. Interest from loans (other than to participants) | 2011-12-31 | $0 |
| Interest earned on other investments | 2011-12-31 | $1 |
| Income. Interest from US Government securities | 2011-12-31 | $0 |
| Income. Interest from corporate debt instruments | 2011-12-31 | $0 |
| Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year | 2011-12-31 | $129,263 |
| Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year | 2011-12-31 | $41,164 |
| Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year | 2011-12-31 | $41,164 |
| Interest earned from interest bearing cash (including money market accounts and certificates of deposit) | 2011-12-31 | $0 |
| Value of funds held in insurance company general accounts (unallocated contracts) at end of year | 2011-12-31 | $511 |
| Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year | 2011-12-31 | $35 |
| Expenses. Payments to insurance carriers foe the provision of benefits | 2011-12-31 | $0 |
| Net investment gain/loss from registered investment companies (e.g. mutual funds) | 2011-12-31 | $-112,477 |
| Net investment gain/loss from pooled separate accounts | 2011-12-31 | $-313,882 |
| Net investment gain or loss from common/collective trusts | 2011-12-31 | $0 |
| Net gain/loss from 103.12 investment entities | 2011-12-31 | $0 |
| Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets | 2011-12-31 | No |
| Was there a failure to transmit to the plan any participant contributions | 2011-12-31 | No |
| Has the plan failed to provide any benefit when due under the plan | 2011-12-31 | No |
| Contributions received in cash from employer | 2011-12-31 | $611,970 |
| Employer contributions (assets) at end of year | 2011-12-31 | $496,007 |
| Employer contributions (assets) at beginning of year | 2011-12-31 | $510,364 |
| Income. Dividends from preferred stock | 2011-12-31 | $0 |
| Income. Dividends from common stock | 2011-12-31 | $939 |
| Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers | 2011-12-31 | $850,575 |
| Contract administrator fees | 2011-12-31 | $1,374 |
| Assets. Corporate common stocks other than exployer securities at end of year | 2011-12-31 | $68,323 |
| Assets. Corporate common stocks other than exployer securities at beginning of year | 2011-12-31 | $152,585 |
| Liabilities. Value of benefit claims payable at beginning of year | 2011-12-31 | $0 |
| Did the plan have assets held for investment | 2011-12-31 | Yes |
| Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser | 2011-12-31 | No |
| Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC | 2011-12-31 | No |
| Aggregate proceeds on sale of assets | 2011-12-31 | $363,624 |
| Aggregate carrying amount (costs) on sale of assets | 2011-12-31 | $313,488 |
| Liabilities. Value of acquisition indebtedness at beginning of year | 2011-12-31 | $0 |
| Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d) | 2011-12-31 | Yes |
| Opinion of an independent qualified public accountant for this plan | 2011-12-31 | Disclaimer |
| Accountancy firm name | 2011-12-31 | BDO USA, LLP |
| Accountancy firm EIN | 2011-12-31 | 135381590 |
| 2010 : THE IMPERIAL CAPITAL, LLC 401(K) PLAN 2010 401k financial data |
|---|
| Unrealized appreciation/depreciation of real estate assets | 2010-12-31 | $0 |
| Unrealized appreciation/depreciation of other (non real estate) assets | 2010-12-31 | $0 |
| Total unrealized appreciation/depreciation of assets | 2010-12-31 | $0 |
| Total transfer of assets to this plan | 2010-12-31 | $0 |
| Total transfer of assets from this plan | 2010-12-31 | $0 |
| Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2010-12-31 | $0 |
| Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2010-12-31 | $0 |
| Expenses. Interest paid | 2010-12-31 | $0 |
| Amount of participant contributions which was failed to transmit to the plan within the time period described in 29 CFR 251.3-102 | 2010-12-31 | $0 |
| Total income from all sources (including contributions) | 2010-12-31 | $4,359,840 |
| Total loss/gain on sale of assets | 2010-12-31 | $-3,160 |
| Total of all expenses incurred | 2010-12-31 | $1,384,885 |
| Benefit payments and payments to participlants,beneficiaries,insurance carriers and others | 2010-12-31 | $1,345,280 |
| Expenses. Certain deemed distributions of participant loans | 2010-12-31 | $15,662 |
| Value of total corrective distributions | 2010-12-31 | $0 |
| Total contributions o plan (from employers,participants, others, non cash contrinutions) | 2010-12-31 | $2,730,867 |
| Value of total assets at end of year | 2010-12-31 | $13,997,935 |
| Value of total assets at beginning of year | 2010-12-31 | $11,022,980 |
| Total of administrative expenses incurred including professional, contract, advisory and management fees | 2010-12-31 | $23,943 |
| Total income from rents | 2010-12-31 | $0 |
| Total interest from all sources | 2010-12-31 | $7,428 |
| Total dividends received (eg from common stock, registered investment company shares) | 2010-12-31 | $52,158 |
| Has a resolution to terminate the plan been adopted during the plan year or any prior plan year | 2010-12-31 | No |
| Total dividends received from registered investment company shares (eg mutual funds) | 2010-12-31 | $51,813 |
| Administrative expenses professional fees incurred | 2010-12-31 | $1,418 |
| Was this plan covered by a fidelity bond | 2010-12-31 | Yes |
| Value of fidelity bond cover | 2010-12-31 | $2,000,000 |
| If this is an individual account plan, was there a blackout period | 2010-12-31 | No |
| Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities | 2010-12-31 | $0 |
| Were there any nonexempt tranactions with any party-in-interest | 2010-12-31 | No |
| Amount of non-exempt transactions with any party-in-interest | 2010-12-31 | $0 |
| Contributions received from participants | 2010-12-31 | $1,409,944 |
| Participant contributions at end of year | 2010-12-31 | $103,134 |
| Participant contributions at beginning of year | 2010-12-31 | $77,701 |
| Participant contributions at end of year | 2010-12-31 | $16,500 |
| Participant contributions at beginning of year | 2010-12-31 | $0 |
| Income. Received or receivable in cash from other sources (including rollovers) | 2010-12-31 | $650,579 |
| Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries) | 2010-12-31 | $0 |
| Value of other receiveables (less allowance for doubtful accounts) at end of year | 2010-12-31 | $0 |
| Value of other receiveables (less allowance for doubtful accounts) at beginning of year | 2010-12-31 | $0 |
| Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year | 2010-12-31 | $0 |
| Other income not declared elsewhere | 2010-12-31 | $264,995 |
| Administrative expenses (other) incurred | 2010-12-31 | $6,931 |
| Liabilities. Value of operating payables at beginning of year | 2010-12-31 | $0 |
| Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser | 2010-12-31 | No |
| Income. Non cash contributions | 2010-12-31 | $0 |
| Value of net income/loss | 2010-12-31 | $2,974,955 |
| Value of net assets at end of year (total assets less liabilities) | 2010-12-31 | $13,997,935 |
| Value of net assets at beginning of year (total assets less liabilities) | 2010-12-31 | $11,022,980 |
| Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond) | 2010-12-31 | No |
| Were any loans by the plan or fixed income obligations due to the plan in default | 2010-12-31 | No |
| Amount of loans by the plan or fixed income obligations due to the plan which were in default/classified-as-uncollectible as of the close of the plan year | 2010-12-31 | $0 |
| Were any leases to which the plan was party in default or uncollectible | 2010-12-31 | No |
| Amount of leases to which the plan was a party which were in default/classified-as-uncollectible during the year | 2010-12-31 | $0 |
| Assets. partnership/joint venture interests at end of year | 2010-12-31 | $1,089,276 |
| Assets. partnership/joint venture interests at beginning of year | 2010-12-31 | $719,443 |
| Investment advisory and management fees | 2010-12-31 | $14,451 |
| Value of interest in registered invesment companies (eg mutual funds) at end of year | 2010-12-31 | $3,041,988 |
| Value of interest in registered invesment companies (eg mutual funds) at beginning of year | 2010-12-31 | $608,412 |
| Value of interest in pooled separate accounts at end of year | 2010-12-31 | $9,042,889 |
| Value of interest in pooled separate accounts at beginning of year | 2010-12-31 | $8,959,085 |
| Interest on participant loans | 2010-12-31 | $6,640 |
| Income. Interest from loans (other than to participants) | 2010-12-31 | $0 |
| Interest earned on other investments | 2010-12-31 | $0 |
| Income. Interest from US Government securities | 2010-12-31 | $0 |
| Income. Interest from corporate debt instruments | 2010-12-31 | $788 |
| Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year | 2010-12-31 | $41,164 |
| Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year | 2010-12-31 | $195,441 |
| Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year | 2010-12-31 | $195,441 |
| Interest earned from interest bearing cash (including money market accounts and certificates of deposit) | 2010-12-31 | $0 |
| Value of funds held in insurance company general accounts (unallocated contracts) at end of year | 2010-12-31 | $35 |
| Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year | 2010-12-31 | $0 |
| Expenses. Payments to insurance carriers foe the provision of benefits | 2010-12-31 | $0 |
| Net investment gain/loss from registered investment companies (e.g. mutual funds) | 2010-12-31 | $103,005 |
| Net investment gain/loss from pooled separate accounts | 2010-12-31 | $1,204,547 |
| Net investment gain or loss from common/collective trusts | 2010-12-31 | $0 |
| Net gain/loss from 103.12 investment entities | 2010-12-31 | $0 |
| Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets | 2010-12-31 | No |
| Was there a failure to transmit to the plan any participant contributions | 2010-12-31 | No |
| Has the plan failed to provide any benefit when due under the plan | 2010-12-31 | No |
| Contributions received in cash from employer | 2010-12-31 | $670,344 |
| Employer contributions (assets) at end of year | 2010-12-31 | $510,364 |
| Employer contributions (assets) at beginning of year | 2010-12-31 | $462,898 |
| Income. Dividends from preferred stock | 2010-12-31 | $0 |
| Income. Dividends from common stock | 2010-12-31 | $345 |
| Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers | 2010-12-31 | $1,345,280 |
| Asset. Corporate debt instrument debt (other) at end of year | 2010-12-31 | $0 |
| Asset. Corporate debt instrument debt (other) at beginning of year | 2010-12-31 | $0 |
| Contract administrator fees | 2010-12-31 | $1,143 |
| Assets. Corporate common stocks other than exployer securities at end of year | 2010-12-31 | $152,585 |
| Assets. Corporate common stocks other than exployer securities at beginning of year | 2010-12-31 | $0 |
| Liabilities. Value of benefit claims payable at beginning of year | 2010-12-31 | $0 |
| Did the plan have assets held for investment | 2010-12-31 | Yes |
| Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser | 2010-12-31 | No |
| Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC | 2010-12-31 | No |
| Aggregate proceeds on sale of assets | 2010-12-31 | $160,425 |
| Aggregate carrying amount (costs) on sale of assets | 2010-12-31 | $163,585 |
| Liabilities. Value of acquisition indebtedness at beginning of year | 2010-12-31 | $0 |
| Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d) | 2010-12-31 | Yes |
| Opinion of an independent qualified public accountant for this plan | 2010-12-31 | Disclaimer |
| Accountancy firm name | 2010-12-31 | BDO USA, LLP |
| Accountancy firm EIN | 2010-12-31 | 135381590 |
| 2009 : THE IMPERIAL CAPITAL, 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 securities | 2009-12-31 | $0 |
