401k Plan data: DAVID C. RIOUX, DO PROFIT SHARING PLAN & TRUST plan

DAVID C. RIOUX, DO PROFIT SHARING PLAN & TRUST 401k Plan overview

Plan Name	DAVID C. RIOUX, DO PROFIT SHARING PLAN & TRUST
Plan identification number	001

DAVID C. RIOUX, DO PROFIT SHARING PLAN & TRUST Benefits

401k Plan Type

Defined Contribution Pension

Plan Features/Benefits

Age/Service Weighted or new comparability or similar plan - Age/Service Weighted Plan: Allocations are based on age, service, or age and service. New comparability or similar plan: Allocations are based on participant classifications and a classification(s) consists entirely or predominantly of highly compensated employees; or the plan provides an additional allocation rate on compensation above a specified threshold, and the theshold or additional rate exceeds the maximum threshold or rate allowed under the permitted disparity rules of section 401(l).
Profit-sharing
ERISA section 404(c) Plan - This plan, or any part of it is intended to meet the conditions of 29 CFR 2550.404c-1.
Total participant-directed account plan - Participants have the opportunity to direct the investment of all the assets allocated to their individual accounts, regardless of whether 29 CFR 2550.404c-1 is intended to be met.
Partial participant-directed account plan - Participants have the opportunity to direct the investment of a portion of the assets allocated to their individual accounts, regardless of whether 29 CFR 2550.404c-1 is intended to be met.
Code section 401(k) feature - A cash or deferred arrangement described in Code section 401(k) that is part of a qualified defined contribution plan that provides for an election by employees to defer part of their compensation or receive these amounts in cash.
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.
Life insurance

401k Sponsoring company profile

DAVID C. RIOUX, DO has sponsored the creation of one or more 401k plans.

Company Name: DAVID C. RIOUX, DO

Employer identification number (EIN): 010442000

NAIC Classification: 621111
NAIC Description: Offices of Physicians (except Mental Health Specialists)

Form 5500 Filing Information

Submission information for form 5500 for 401k plan DAVID C. RIOUX, DO PROFIT SHARING PLAN & TRUST

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2020-01-01 DAVID RIOUX 2021-06-23 DAVID RIOUX 2021-06-23
001 2019-01-01 DAVID C RIOUX 2020-07-13 DAVID C RIOUX 2020-07-13
001 2018-01-01 DAVID C RIOUX DO 2019-07-20 DAVID C RIOUX DO 2019-07-20
001 2017-01-01 DAVID RIOUX 2018-07-18 DAVID RIOUX 2018-07-18
001 2016-01-01 DAVID RIOUX 2017-06-12 DAVID RIOUX 2017-06-12
001 2015-01-01 DAVID RIOUX 2016-09-21 DAVID RIOUX 2016-09-21
001 2014-01-01 DAVID C RIOUX DO 2015-07-28 DAVID C RIOUX DO 2015-07-28
001 2013-01-01 DAVID RIOUX 2014-07-09 DAVID RIOUX 2014-07-09
001 2012-01-01 DAVID C RIOUX 2013-07-29 DAVID C RIOUX 2013-07-29
001 2011-01-01 DAVID RIOUX 2012-10-11 DAVID RIOUX 2012-10-11
001 2010-01-01 DAVID C RIOUX
001 2009-01-01 DAVID C RIOUX DO

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed	Name of Company Sponsor	Date Sponsor Signed
001	2020-01-01	DAVID RIOUX	2021-06-23	DAVID RIOUX	2021-06-23
001	2019-01-01	DAVID C RIOUX	2020-07-13	DAVID C RIOUX	2020-07-13
001	2018-01-01	DAVID C RIOUX DO	2019-07-20	DAVID C RIOUX DO	2019-07-20
001	2017-01-01	DAVID RIOUX	2018-07-18	DAVID RIOUX	2018-07-18
001	2016-01-01	DAVID RIOUX	2017-06-12	DAVID RIOUX	2017-06-12
001	2015-01-01	DAVID RIOUX	2016-09-21	DAVID RIOUX	2016-09-21
001	2014-01-01	DAVID C RIOUX DO	2015-07-28	DAVID C RIOUX DO	2015-07-28
001	2013-01-01	DAVID RIOUX	2014-07-09	DAVID RIOUX	2014-07-09
001	2012-01-01	DAVID C RIOUX	2013-07-29	DAVID C RIOUX	2013-07-29
001	2011-01-01	DAVID RIOUX	2012-10-11	DAVID RIOUX	2012-10-11
001	2010-01-01	DAVID C RIOUX
001	2009-01-01	DAVID C RIOUX DO

Plan Statistics for DAVID C. RIOUX, DO PROFIT SHARING PLAN & TRUST

401k plan membership statisitcs for DAVID C. RIOUX, DO PROFIT SHARING PLAN & TRUST

Measure Date Value
2010: DAVID C. RIOUX, DO PROFIT SHARING PLAN & TRUST 2010 401k membership
Total participants, beginning-of-year 2010-01-01 13
Total number of active participants reported on line 7a of the Form 5500 2010-01-01 2
Number of retired or separated participants receiving benefits 2010-01-01 0
Number of other retired or separated participants entitled to future benefits 2010-01-01 1
Total of all active and inactive participants 2010-01-01 3
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2010-01-01 0
Total participants 2010-01-01 3
Number of participants with account balances 2010-01-01 3
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2010-01-01 0
2009: DAVID C. RIOUX, DO PROFIT SHARING PLAN & TRUST 2009 401k membership
Total participants, beginning-of-year 2009-01-01 14
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 11
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 13
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-01-01 0
Total participants 2009-01-01 13
Number of participants with account balances 2009-01-01 13
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-01-01 0

Measure	Date	Value
2010: DAVID C. RIOUX, DO PROFIT SHARING PLAN & TRUST 2010 401k membership
Total participants, beginning-of-year	2010-01-01	13
Total number of active participants reported on line 7a of the Form 5500	2010-01-01	2
Number of retired or separated participants receiving benefits	2010-01-01	0
Number of other retired or separated participants entitled to future benefits	2010-01-01	1
Total of all active and inactive participants	2010-01-01	3
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2010-01-01	0
Total participants	2010-01-01	3
Number of participants with account balances	2010-01-01	3
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2010-01-01	0
2009: DAVID C. RIOUX, DO PROFIT SHARING PLAN & TRUST 2009 401k membership
Total participants, beginning-of-year	2009-01-01	14
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	11
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	13
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-01-01	0
Total participants	2009-01-01	13
Number of participants with account balances	2009-01-01	13
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-01-01	0

Financial Data on DAVID C. RIOUX, DO PROFIT SHARING PLAN & TRUST

Measure	Date	Value
2010 : DAVID C. RIOUX, DO PROFIT SHARING PLAN & TRUST 2010 401k financial data
Transfers to/from the plan	2010-12-31	$0
Total plan liabilities at end of year	2010-12-31	$0
Total plan liabilities at beginning of year	2010-12-31	$0
Total income from all sources	2010-12-31	$127,650
Expenses. Total of all expenses incurred	2010-12-31	$129,152
Benefits paid (including direct rollovers)	2010-12-31	$129,152
Total plan assets at end of year	2010-12-31	$808,965
Total plan assets at beginning of year	2010-12-31	$810,467
Value of fidelity bond covering the plan	2010-12-31	$0
Assets. Value of tangible personal property	2010-12-31	$0
Total contributions received or receivable from participants	2010-12-31	$0
Assets. Value of loans (other than to participants)	2010-12-31	$0
Expenses. Other expenses not covered elsewhere	2010-12-31	$0
Contributions received from other sources (not participants or employers)	2010-12-31	$0
Other income received	2010-12-31	$105,937
Noncash contributions received	2010-12-31	$0
Net income (gross income less expenses)	2010-12-31	$-1,502
Net plan assets at end of year (total assets less liabilities)	2010-12-31	$808,965
Net plan assets at beginning of year (total assets less liabilities)	2010-12-31	$810,467
Assets. Value of participant loans	2010-12-31	$0
Value of loans by the plan or fixed income obligations due to the plan which were in default or classified as uncollectible at the close of the plan year	2010-12-31	$0
Value of leases to which the plan was a party in default or classified as uncollectible during the plan year	2010-12-31	$0
Assets. Value of assets in partnership/joint-venture interests	2010-12-31	$0
Assets. Value of real-estate (other than employer real property)	2010-12-31	$0
Value of participant contributions where there was a failure to transmit these to the plan within the time period described in 29 CFR 2510.3-102	2010-12-31	$0
Assets. Value of employer securities	2010-12-31	$0
Assets. Value of employer real property	2010-12-31	$0
Total contributions received or receivable from employer(s)	2010-12-31	$21,713
Value of certain deemed distributions of participant loans	2010-12-31	$0
Value of corrective distributions	2010-12-31	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2010-12-31	$0
Aggregate amount of withdrawal liability assessed or estimated to be assessed against such withdrawn employers	2010-12-31	0
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2010-12-31	$0
2009 : DAVID C. RIOUX, DO PROFIT SHARING PLAN & TRUST 2009 401k financial data
Aggregate amount of withdrawal liability assessed or estimated to be assessed against such withdrawn employers	2009-12-31	0
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2009-12-31	$0
Funding deficiency by the employer to the plan for this plan year	2009-12-31	$0
Minimum employer required contribution for this plan year	2009-12-31	$0
Amount contributed by the employer to the plan for this plan year	2009-12-31	$0

Form 5500 Responses for DAVID C. RIOUX, DO PROFIT SHARING PLAN & TRUST

2010: DAVID C. RIOUX, DO PROFIT SHARING PLAN & TRUST 2010 form 5500 responses
2010-01-01	Type of plan entity	Single employer plan
2010-01-01	Submission has been amended	No
2010-01-01	This submission is the final filing	No
2010-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2010-01-01	Plan is a collectively bargained plan	No
2010-01-01	Plan funding arrangement – Insurance	Yes
2010-01-01	Plan funding arrangement – Trust	Yes
2010-01-01	Plan benefit arrangement – Insurance	Yes
2010-01-01	Plan benefit arrangement - Trust	Yes
2009: DAVID C. RIOUX, DO PROFIT SHARING PLAN & TRUST 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 – Insurance	Yes
2009-01-01	Plan funding arrangement – Trust	Yes
2009-01-01	Plan benefit arrangement – Insurance	Yes
2009-01-01	Plan benefit arrangement - Trust	Yes

Insurance Providers Used on plan

NATIONAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 66680 )

Policy contract number

0304030

Policy instance

Insurance contract or identification number	0304030
Number of Individuals Covered	1
Insurance policy start date	2010-01-01
Insurance policy end date	2010-12-31
Total amount of commissions paid to insurance broker	USD $585
Total amount of fees paid to insurance company	USD $122
Are there contracts with allocated funds for individual policies?	Yes
Are there contracts with allocated funds for group deferred annuity?	No
Are there contracts with allocated funds for types other than group deferred annuity or individual?	No
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Contracts With Unallocated Funds Deposit Administration	0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?	No
Are there contracts with unallocated funds for contracts of type guaranteed investment?	No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	No
Health Insurance Welfare Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
Were dividends or retroactive rate refunds paid in cash?	No
Were dividends or retroactive rate refunds paid as a credit?	No
Welfare Benefit Premiums Paid to Carrier	USD $0
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No
Commission paid to Insurance Broker	USD $585
Amount paid for insurance broker fees	122
Additional information about fees paid to insurance broker	NON-MONETARY COMPENSATION
Insurance broker organization code?	3
Insurance broker name	SCOTT C MATASSA CLU CHFC

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Company Name:	DAVID C. RIOUX, DO
Employer identification number (EIN):	010442000
NAIC Classification:	621111
NAIC Description:	Offices of Physicians (except Mental Health Specialists)