401k Plan data: CAPITAL FINANCIAL ADVISORS, INC. 401 (K) PLAN plan

CAPITAL FINANCIAL ADVISORS, INC. 401 (K) PLAN 401k Plan overview

Plan Name	CAPITAL FINANCIAL ADVISORS, INC. 401 (K) PLAN
Plan identification number	002

CAPITAL FINANCIAL ADVISORS, INC. 401 (K) PLAN Benefits

401k Plan Type

Defined Contribution Pension

Plan Features/Benefits

Profit-sharing
Code section 401(k) feature - A cash or deferred arrangement described in Code section 401(k) that is part of a qualified defined contribution plan that provides for an election by employees to defer part of their compensation or receive these amounts in cash.
Master plan - A pension plan that is made available by a sponsor for adoption by employers; that is the subject of a favorable opinion letter; and for which a single funding medium (for example, a trust or custodial account) is established for the joint use of all adopting employers.

401k Sponsoring company profile

CAPITAL FINANCIAL ADVISORS, INC. has sponsored the creation of one or more 401k plans.

Company Name: CAPITAL FINANCIAL ADVISORS, INC.

Employer identification number (EIN): 954841096

NAIC Classification: 523900

Form 5500 Filing Information

Submission information for form 5500 for 401k plan CAPITAL FINANCIAL ADVISORS, INC. 401 (K) PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
002 2012-02-01 ROSALIE RAINS 2013-09-09
002 2011-02-01 ROSALIE RAINS 2012-11-15
002 2010-02-01 ROSALIE RAINS 2011-11-15
002 2010-01-01 ROSALIE RAINS 2011-11-15
002 2009-01-01 ROSALIE RAINS

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed
002	2012-02-01	ROSALIE RAINS	2013-09-09
002	2011-02-01	ROSALIE RAINS	2012-11-15
002	2010-02-01	ROSALIE RAINS	2011-11-15
002	2010-01-01	ROSALIE RAINS	2011-11-15
002	2009-01-01	ROSALIE RAINS

Plan Statistics for CAPITAL FINANCIAL ADVISORS, INC. 401 (K) PLAN

401k plan membership statisitcs for CAPITAL FINANCIAL ADVISORS, INC. 401 (K) PLAN

Measure Date Value
2009: CAPITAL FINANCIAL ADVISORS, INC. 401 (K) PLAN 2009 401k membership
Total participants, beginning-of-year 2009-01-01 2
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 2
Number of retired or separated participants receiving benefits 2009-01-01 0
Number of other retired or separated participants entitled to future benefits 2009-01-01 0
Total of all active and inactive participants 2009-01-01 2
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-01-01 0
Total participants 2009-01-01 2

Measure	Date	Value
2009: CAPITAL FINANCIAL ADVISORS, INC. 401 (K) PLAN 2009 401k membership
Total participants, beginning-of-year	2009-01-01	2
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	2
Number of retired or separated participants receiving benefits	2009-01-01	0
Number of other retired or separated participants entitled to future benefits	2009-01-01	0
Total of all active and inactive participants	2009-01-01	2
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-01-01	0
Total participants	2009-01-01	2

Financial Data on CAPITAL FINANCIAL ADVISORS, INC. 401 (K) PLAN

Measure	Date	Value
2009 : CAPITAL FINANCIAL ADVISORS, INC. 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

Form 5500 Responses for CAPITAL FINANCIAL ADVISORS, INC. 401 (K) PLAN

2009: CAPITAL FINANCIAL ADVISORS, INC. 401 (K) PLAN 2009 form 5500 responses
2009-01-01	Type of plan entity	Single employer plan
2009-01-01	Submission has been amended	No
2009-01-01	This submission is the final filing	No
2009-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2009-01-01	Plan is a collectively bargained plan	No
2009-01-01	Plan funding arrangement – Trust	Yes
2009-01-01	Plan benefit arrangement - Trust	Yes

Potentially related plans

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Company Name:	CAPITAL FINANCIAL ADVISORS, INC.
Employer identification number (EIN):	954841096
NAIC Classification:	523900