Back to top
A J. Dwoskin & Associates, Inc.
Plan RatingFORM 5500 DATA
Overview
Plan Information
- Plan Year01/01/2015 — 12/31/2015
- Date of Plan01/01/1989
- Net Assets as of 12/31/2015 $6,956,956
- Plan Number1
- Plan Type Single Employer
- Is the plan collectively bargained? No
- Did the plan file for an extension of time or the DFVC Program?Yes
- Plan Funding Arrangement Trust
- Plan Benefit Arrangement Trust
Participant Information as of 12/31/2015
- Active (Eligible) Participants96
- Retired or separated participants receiving benefits0
- Other retired or separated participants entitled to future benefits70
- Subtotal166
- Deceased participants whose beneficiaries are receiving or are entitled to receive benefits0
- Total166
- Total number of participants as of 01/01/2015168
- Number of participants with account balances162
- Number of participants that terminated employment during the plan year with accrued benefits that were less than 100% vested6
Expenses
- Total Benefit Payments$0
- Corrective Distributions$0
- Administrative Service Providers$0
- Other Expenses$0
- Total Expenses$0
- Total Transfers$0
Sponsor Information
- Address3201 Jermantown Road Suite 700
- CityFairfax
- StateVA
- Zip22030
- Telephone(703) 273-9320
- EIN54-1013098
- Industry Code531310
- Named AdministratorMark Jones
- Named Plan SponsorMark Jones
Audit Information
- Audit StatusAudited
- AuditorMatthews, Carter, and Boyce
- Auditor EIN54-1487262
- Audit Opinion Disclaimer
- Audit TypeLimited Scope Audit
Benefits Provided Under the Plan
Code | Benefit | Description |
---|---|---|
2E | Profit-sharing | A defined contribution plan that allows employer discretionary contributions. These plans often contain a 401(k) feature. |
2F | ERISA section 404(c) Plan | This plan, or any part of it is intended to meet the conditions of 29 CFR 2550.404c-1. |
2G | Total participant-directed account plan | Participants have the opportunity to direct the investment of all the assets allocated to their individual accounts, regardless of whether 29 CFR 2550.404c-1 is intended to be met. |
2J | 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. |
2K | Code section 401(m) arrangement | Employee contributions are allocated to separate accounts under the plan or employer contributions are based, in whole or in part, on employee deferrals or contributions to the plan. Not applicable if plan is 401(k) plan with only QNECs and/or QMACs. Also not applicable if Code section 403(b)(1), 403(b)(7) or 408 arrangements/accounts/annuities. |
2S | Automatic Enrollment | Plan provides for automatic enrollment in plan that has employee contributions deducted from payroll. |
2T | Participant-directed Account | Total or partial participant-directed account plan - plan uses default investment account for participants who fail to direct assets in their account. |
3D | 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. |
Questions and Answers
Question | Answer | Amount |
---|---|---|
During the plan year did the employer fail to transmit to the plan any participant contributions within the time period described in 29 CFT 2510.3-102? | No | |
Were any loans by the plan or fixed income obligations due the plan in default as of the close of plan year or classified during the year as uncollectible? Disregard participant loans secured by participant's account balance. | No | |
Were any leases to which the plan was a party in default or classified during the year as uncollectible? | No | |
Were there any nonexempt transactions with any party-in-interest? | No | |
Was this plan covered by a fidelity bond? | Yes | $500,000 |
Did the plan have a loss, whether or not reimbursed by the plan's fidelity bond, that was caused by fraud or dishonesty? | No | |
Did the plan hold any assets whose current value was neither readily determinable on an established market nor set by an independent third party appraiser? | No | |
Did the plan receive any noncash contributions whose value was neither readily determinable on an established market nor set by an independent third party appraiser? | No | |
Did the plan have assets held for investment? | Yes | |
Were any plan transactions or series of transactions in excess of 5% of the current value of plan assets? | No | |
Were all the plan assets either distributed to participants or beneficiaries, transferred to another plan, or brought under the control of the PBGC? | No | |
Has the plan failed to provide any benefit when due under the plan? | No | |
If this is an individual account plan, was there a blackout period? | No | |
If there was a blackout period, have you either provided the required notice or one of the exceptions to providing the notice applied under 29 CFR 2520.101-3? | No |
Financials
Income and Expense Statement
Income | $757,790 | |||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
|
||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
Expenses | $359,693 | |||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
|
||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
Net Income | $398,097 | |||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
|
Asset and Liability Statement
12/31/2015 | 12/31/2014 | Change YOY | |||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
Total Assets | $6,956,956 | $6,558,859 | 6.07% | ||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
|
|||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
Total Liabilities | $0 | $0 | 0.0% | ||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
|
|||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
Net Assets | $6,956,956 | $6,558,859 | 6.07% |
Service Providers
Persons Receiving Only Eligible Indirect Compensation
- Allianz Global Investors Distributo
- American Funds Distributors, Inc.
- Blackrock Investments, Inc.
- Invesco Distributors, Inc.
- J.P. Morgan Investment Management I
- Janus Distributors, LLC
- Legg Mason Investor Services, LLC
- Lord Abbett Distributor, LLC
- Nylife Distributors, LLC
- Prudential Investments LLC
- T. Rowe Price
- Victory Capital Management
Other Service Providers Receiving Direct or Indirect Compensation
Name | Nature of Service | Relationship to Plan Sponsor | Direct Compensation Paid by Plan | Indirect Compensation Paid by Plan | Total Compensation |
---|---|---|---|---|---|
Adp, LLC | Participant loan processing, Direct payment from the plan, Recordkeeping and information management (computing, tabulating, data processing, etc.), Recordkeeping fees, Other services, Other fees | Record Keeper | $7,857 | $0 | $7,857 |
State Street Corporation | Trustee (bank, trust company, or similar financial institution), Other fees | Directed Trustee/Custodia | $0 | $500 | $500 |
Adp Broker-Dealer | Distribution (12b-1) fees, Sub-transfer agency fees, Shareholder servicing fees, Other services, Other fees | Record Keeper | $0 | $0 | $0 |
Nfp - National Financial Partners | Other services, Other fees | Advisor | $0 | $0 | $0 |
Total | $7,857 | $500 | $8,357 |
Indirect Compensation
Name | Source of Indirect Compensation* | Nature of Service | Description of Indirect Compensation | Indirect Compensation Paid by Plan |
---|---|---|---|---|
Nfp - National Financial Partners | Adp Broker-Dealer | Other fees | 0.0025 Basis Points | $0 |
Adp Broker-Dealer | Allianz Global Investors Distributo | Distribution (12b-1) fees, Sub-transfer agency fees, Shareholder servicing fees | Annual Rate 0.00250 of Average Daily Assets Annual Rate 0.00200 of Average Daily Assets | $0 |
Adp Broker-Dealer | American Funds Distributors, Inc. | Distribution (12b-1) fees, Sub-transfer agency fees, Shareholder servicing fees | Annual Rate 0.00500 of Average Daily Assets Annual Rate 0.00100 of Average Daily Assets | $0 |
Adp Broker-Dealer | Blackrock Investments, Inc. | Distribution (12b-1) fees, Sub-transfer agency fees, Shareholder servicing fees | Annual Rate 0.00250 of Average Daily Assets | $0 |
Adp Broker-Dealer | Invesco Distributors, Inc. | Distribution (12b-1) fees, Sub-transfer agency fees, Shareholder servicing fees, Other fees | Annual Rate 0.00250 of Average Daily Assets Annual Rate 0.00520 of Average Daily Assets | $0 |
Adp Broker-Dealer | J.P. Morgan Investment Management I | Distribution (12b-1) fees, Sub-transfer agency fees, Shareholder servicing fees | Annual Rate 0.00250 of Average Daily Assets | $0 |
Adp Broker-Dealer | Janus Distributors, LLC | Distribution (12b-1) fees, Sub-transfer agency fees, Shareholder servicing fees | Annual Rate 0.00250 of Average Daily Assets Annual Rate 0.00100 of Average Daily Assets | $0 |
Adp Broker-Dealer | Legg Mason Investor Services, LLC | Distribution (12b-1) fees, Sub-transfer agency fees, Shareholder servicing fees | Annual Rate 0.00250 of Average Daily Assets Annual Rate 0.00250 of Average Daily Assets | $0 |
Adp Broker-Dealer | Lord Abbett Distributor, LLC | Distribution (12b-1) fees, Sub-transfer agency fees, Shareholder servicing fees | Annual Rate 0.00250 of Average Daily Assets Annual Rate 0.00250 of Average Daily Assets | $0 |
Adp Broker-Dealer | Nylife Distributors, LLC | Distribution (12b-1) fees, Sub-transfer agency fees, Shareholder servicing fees | Annual Rate 0.00250 of Average Daily Assets | $0 |
Adp Broker-Dealer | Prudential Investments LLC | Distribution (12b-1) fees, Sub-transfer agency fees, Shareholder servicing fees | Annual Rate 0.00250 of Average Daily Assets | $0 |
Adp Broker-Dealer | State Street Corporation | Other fees | Annual Rate 0.00300 of Average Daily Assets Annual Rate 0.00550 of Average Daily Assets Annual Rate 0.00420 of Average Daily Assets Annual Rate 0.00500 of Average Daily Assets Annual Rate 0.00380 of Average Daily Assets | $0 |
Adp Broker-Dealer | T. Rowe Price | Distribution (12b-1) fees, Sub-transfer agency fees, Shareholder servicing fees | Annual Rate 0.00250 of Average Daily Assets Annual Rate 0.00150 of Average Daily Assets Annual Rate 0.00250 of Average Daily Assets Annual Rate 0.00150 of Average Daily Assets Annual Rate 0.00250 of Average Daily Assets | $0 |
Adp Broker-Dealer | Victory Capital Management | Distribution (12b-1) fees, Sub-transfer agency fees, Shareholder servicing fees | Annual Rate 0.00250 of Average Daily Assets | $0 |
*As outlined by the Form 5500 Instructions for service providers with indirect compensation. |
Service Providers Who Fail or Refuse to Provide Information
There are no service providers who failed or refused to provide information.
Termination Information on Accountants and Enrolled Actuaries
There is no termination information for this plan.
Investments
Investments
Name of Investment | Investment Manager | Type of Investment | Dollar Value |
---|---|---|---|
State St S&P 500 Idx VIII | State Street Bank & Trust Co | DFE: Common/Collective Trust | $567,376 |
Invesco Stable Asset - Adp59 | Invesco Trust Company | DFE: Common/Collective Trust | $503,391 |
State St Reit Idx Nls G | State Street Bank & Trust Co | DFE: Common/Collective Trust | $258,885 |
State St Us Bd Idx Sl VII | State Street Bank & Trust Co | DFE: Common/Collective Trust | $153,242 |
State St S&P Md Cp Idx Nl G | State Street Bank & Trust Co | DFE: Common/Collective Trust | $87,684 |
State St Russ Sc Idx VI | State Street Bank & Trust Co | DFE: Common/Collective Trust | $75,271 |
State St Intl Idx Sec Lend VII | State Street Bank & Trust Co | DFE: Common/Collective Trust | $38,151 |
Total | $1,684,000 |
Insurance Information
Insurance Information
There are no insurance carriers listed for this plan.