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ROSENTHAL & ROSENTHAL INC. EMPLOYEES THRIFT SAVING 401k Plan overview

Plan NameROSENTHAL & ROSENTHAL INC. EMPLOYEES THRIFT SAVING
Plan identification number 002

ROSENTHAL & ROSENTHAL INC. EMPLOYEES THRIFT SAVING Benefits

401k Plan TypeDefined Contribution Pension
Plan Features/Benefits
  • Profit-sharing
  • ERISA section 404(c) Plan - This plan, or any part of it is intended to meet the conditions of 29 CFR 2550.404c-1.
  • Total participant-directed account plan - Participants have the opportunity to direct the investment of all the assets allocated to their individual accounts, regardless of whether 29 CFR 2550.404c-1 is intended to be met.
  • Code section 401(k) feature - A cash or deferred arrangement described in Code section 401(k) that is part of a qualified defined contribution plan that provides for an election by employees to defer part of their compensation or receive these amounts in cash.
  • Code section 401(m) arrangement - Employee contributions are allocated to separate accounts under the plan or employer contributions are based, in whole or in part, on employee deferrals or contribtions to the plan. Not applicable if plan is 401(k) plan with only QNECs and/or QMACs. Also not applicable if Code section 403(b)(1), 403(b)(7) or 408 arrangements/accounts/annuities.
  • Plan provides for automatic enrollment in plan that has employee contributions deducted from payroll.
  • Total or partial participant-directed account plan - plan uses default investment account for participants who fail to direct assets in their account.
  • Master plan - A pension plan that is made available by a sponsor for adoption by employers; that is the subject of a favorable opinion letter; and for which a single funding medium (for example, a trust or custodial account) is established for the joint use of all adopting employers.

401k Sponsoring company profile

ROSENTHAL & ROSENTHAL INC. has sponsored the creation of one or more 401k plans.

Company Name:ROSENTHAL & ROSENTHAL INC.
Employer identification number (EIN):131238943
NAIC Classification:525990
NAIC Description:Other Financial Vehicles

Form 5500 Filing Information

Submission information for form 5500 for 401k plan ROSENTHAL & ROSENTHAL INC. EMPLOYEES THRIFT SAVING

Plan id# Filing Submission Date Name of Administrator Date Administrator SignedName of Company SponsorDate Sponsor Signed
0022023-01-01JAMES J. OCCHIOGROSSO2024-10-15 JOHN HAVERLY2024-10-15
0022022-01-01JAMES J. OCCHIOGROSSO2023-10-10 JOHN HAVERLY2023-10-10
0022021-01-01JAMES J. OCCHIOGROSSO2022-10-17 JOHN HAVERLY2022-10-17
0022020-01-01JAMES J. OCCHIOGROSSO2021-10-14 JOHN HAVERLY2021-10-14
0022019-01-01JAMES J. OCCHIOGROSSO2020-09-30 JOHN HAVERLY2020-09-30
0022018-01-01JAMES J. OCCHIOGROSSO2019-10-07 JOHN HAVERLY2019-10-07
0022017-01-01
0022017-01-01
0022016-01-01
0022015-01-01
0022014-01-01
0022013-01-01
0022012-01-01MARK PLATNICK
0022011-01-01MARK PLATNICK
0022009-01-01MARK PLATNICK
0022009-01-01MARK PLATNICK

Plan Statistics for ROSENTHAL & ROSENTHAL INC. EMPLOYEES THRIFT SAVING

401k plan membership statisitcs for ROSENTHAL & ROSENTHAL INC. EMPLOYEES THRIFT SAVING

Measure Date Value
2023: ROSENTHAL & ROSENTHAL INC. EMPLOYEES THRIFT SAVING 2023 401k membership
Total participants, beginning-of-year2023-01-01264
Total number of active participants reported on line 7a of the Form 55002023-01-01209
Number of retired or separated participants receiving benefits2023-01-010
Number of other retired or separated participants entitled to future benefits2023-01-0146
Total of all active and inactive participants2023-01-01255
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2023-01-015
Total participants2023-01-01260
Number of participants with account balances2023-01-01255
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2023-01-010
2022: ROSENTHAL & ROSENTHAL INC. EMPLOYEES THRIFT SAVING 2022 401k membership
Total participants, beginning-of-year2022-01-01249
Total number of active participants reported on line 7a of the Form 55002022-01-01206
Number of retired or separated participants receiving benefits2022-01-010
Number of other retired or separated participants entitled to future benefits2022-01-0145
Total of all active and inactive participants2022-01-01251
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2022-01-013
Total participants2022-01-01254
Number of participants with account balances2022-01-01252
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2022-01-015
2021: ROSENTHAL & ROSENTHAL INC. EMPLOYEES THRIFT SAVING 2021 401k membership
Total participants, beginning-of-year2021-01-01241
Total number of active participants reported on line 7a of the Form 55002021-01-01198
Number of retired or separated participants receiving benefits2021-01-010
Number of other retired or separated participants entitled to future benefits2021-01-0146
Total of all active and inactive participants2021-01-01244
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2021-01-011
Total participants2021-01-01245
Number of participants with account balances2021-01-01243
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2021-01-010
2020: ROSENTHAL & ROSENTHAL INC. EMPLOYEES THRIFT SAVING 2020 401k membership
Total participants, beginning-of-year2020-01-01258
Total number of active participants reported on line 7a of the Form 55002020-01-01190
Number of retired or separated participants receiving benefits2020-01-010
Number of other retired or separated participants entitled to future benefits2020-01-0151
Total of all active and inactive participants2020-01-01241
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2020-01-011
Total participants2020-01-01242
Number of participants with account balances2020-01-01240
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2020-01-0110
2019: ROSENTHAL & ROSENTHAL INC. EMPLOYEES THRIFT SAVING 2019 401k membership
Total participants, beginning-of-year2019-01-01265
Total number of active participants reported on line 7a of the Form 55002019-01-01225
Number of retired or separated participants receiving benefits2019-01-010
Number of other retired or separated participants entitled to future benefits2019-01-0131
Total of all active and inactive participants2019-01-01256
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2019-01-011
Total participants2019-01-01257
Number of participants with account balances2019-01-01257
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2019-01-014
2018: ROSENTHAL & ROSENTHAL INC. EMPLOYEES THRIFT SAVING 2018 401k membership
Total participants, beginning-of-year2018-01-01233
Total number of active participants reported on line 7a of the Form 55002018-01-01227
Number of retired or separated participants receiving benefits2018-01-010
Number of other retired or separated participants entitled to future benefits2018-01-0132
Total of all active and inactive participants2018-01-01259
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2018-01-012
Total participants2018-01-01261
Number of participants with account balances2018-01-01260
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2018-01-014
2017: ROSENTHAL & ROSENTHAL INC. EMPLOYEES THRIFT SAVING 2017 401k membership
Total participants, beginning-of-year2017-01-01239
Total number of active participants reported on line 7a of the Form 55002017-01-01190
Number of other retired or separated participants entitled to future benefits2017-01-0137
Total of all active and inactive participants2017-01-01227
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2017-01-013
Total participants2017-01-01230
Number of participants with account balances2017-01-01228
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2017-01-013
2016: ROSENTHAL & ROSENTHAL INC. EMPLOYEES THRIFT SAVING 2016 401k membership
Total participants, beginning-of-year2016-01-01243
Total number of active participants reported on line 7a of the Form 55002016-01-01204
Number of other retired or separated participants entitled to future benefits2016-01-0131
Total of all active and inactive participants2016-01-01235
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2016-01-011
Total participants2016-01-01236
Number of participants with account balances2016-01-01232
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2016-01-012
2015: ROSENTHAL & ROSENTHAL INC. EMPLOYEES THRIFT SAVING 2015 401k membership
Total participants, beginning-of-year2015-01-01240
Total number of active participants reported on line 7a of the Form 55002015-01-01220
Number of other retired or separated participants entitled to future benefits2015-01-0127
Total of all active and inactive participants2015-01-01247
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2015-01-011
Total participants2015-01-01248
Number of participants with account balances2015-01-01226
2014: ROSENTHAL & ROSENTHAL INC. EMPLOYEES THRIFT SAVING 2014 401k membership
Total participants, beginning-of-year2014-01-01241
Total number of active participants reported on line 7a of the Form 55002014-01-01229
Number of other retired or separated participants entitled to future benefits2014-01-0112
Total of all active and inactive participants2014-01-01241
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2014-01-011
Total participants2014-01-01242
Number of participants with account balances2014-01-01197
2013: ROSENTHAL & ROSENTHAL INC. EMPLOYEES THRIFT SAVING 2013 401k membership
Total participants, beginning-of-year2013-01-01237
Total number of active participants reported on line 7a of the Form 55002013-01-01221
Number of other retired or separated participants entitled to future benefits2013-01-019
Total of all active and inactive participants2013-01-01230
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2013-01-011
Total participants2013-01-01231
Number of participants with account balances2013-01-01193
2012: ROSENTHAL & ROSENTHAL INC. EMPLOYEES THRIFT SAVING 2012 401k membership
Total participants, beginning-of-year2012-01-01237
Total number of active participants reported on line 7a of the Form 55002012-01-01219
Number of other retired or separated participants entitled to future benefits2012-01-0113
Total of all active and inactive participants2012-01-01232
Total participants2012-01-01232
Number of participants with account balances2012-01-01194
2011: ROSENTHAL & ROSENTHAL INC. EMPLOYEES THRIFT SAVING 2011 401k membership
Total participants, beginning-of-year2011-01-01236
Total number of active participants reported on line 7a of the Form 55002011-01-01217
Number of other retired or separated participants entitled to future benefits2011-01-0119
Total of all active and inactive participants2011-01-01236
Total participants2011-01-01236
Number of participants with account balances2011-01-01201
2009: ROSENTHAL & ROSENTHAL INC. EMPLOYEES THRIFT SAVING 2009 401k membership
Total participants, beginning-of-year2009-01-01219
Total number of active participants reported on line 7a of the Form 55002009-01-01211
Number of other retired or separated participants entitled to future benefits2009-01-0121
Total of all active and inactive participants2009-01-01232
Total participants2009-01-01232
Number of participants with account balances2009-01-01199

Financial Data on ROSENTHAL & ROSENTHAL INC. EMPLOYEES THRIFT SAVING

Measure Date Value
2023 : ROSENTHAL & ROSENTHAL INC. EMPLOYEES THRIFT SAVING 2023 401k financial data
Total income from all sources (including contributions)2023-12-31$12,094,119
Total of all expenses incurred2023-12-31$4,917,006
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2023-12-31$4,870,852
Expenses. Certain deemed distributions of participant loans2023-12-31$35,740
Total contributions o plan (from employers,participants, others, non cash contrinutions)2023-12-31$4,933,104
Value of total assets at end of year2023-12-31$48,799,170
Value of total assets at beginning of year2023-12-31$41,622,057
Total of administrative expenses incurred including professional, contract, advisory and management fees2023-12-31$10,414
Total interest from all sources2023-12-31$44,482
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2023-12-31No
Was this plan covered by a fidelity bond2023-12-31Yes
Value of fidelity bond cover2023-12-31$500,000
If this is an individual account plan, was there a blackout period2023-12-31No
Were there any nonexempt tranactions with any party-in-interest2023-12-31No
Contributions received from participants2023-12-31$2,195,262
Participant contributions at end of year2023-12-31$682,806
Participant contributions at beginning of year2023-12-31$562,591
Income. Received or receivable in cash from other sources (including rollovers)2023-12-31$387,963
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2023-12-31No
Value of net income/loss2023-12-31$7,177,113
Value of net assets at end of year (total assets less liabilities)2023-12-31$48,799,170
Value of net assets at beginning of year (total assets less liabilities)2023-12-31$41,622,057
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2023-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2023-12-31No
Were any leases to which the plan was party in default or uncollectible2023-12-31No
Value of interest in pooled separate accounts at end of year2023-12-31$42,785,908
Value of interest in pooled separate accounts at beginning of year2023-12-31$36,537,907
Interest on participant loans2023-12-31$34,915
Value of interest in common/collective trusts at end of year2023-12-31$3,172,849
Value of interest in common/collective trusts at beginning of year2023-12-31$3,482,579
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)2023-12-31$9,567
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2023-12-31$764,631
Net investment gain/loss from pooled separate accounts2023-12-31$7,043,426
Net investment gain or loss from common/collective trusts2023-12-31$73,107
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2023-12-31No
Was there a failure to transmit to the plan any participant contributions2023-12-31No
Has the plan failed to provide any benefit when due under the plan2023-12-31No
Contributions received in cash from employer2023-12-31$2,349,879
Employer contributions (assets) at end of year2023-12-31$1,392,976
Employer contributions (assets) at beginning of year2023-12-31$1,038,980
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2023-12-31$4,870,852
Contract administrator fees2023-12-31$10,414
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-32023-12-31No
Did the plan have assets held for investment2023-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2023-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2023-12-31No
Opinion of an independent qualified public accountant for this plan2023-12-31Unqualified
Accountancy firm name2023-12-31CBIZ CPAS P.C.
Accountancy firm EIN2023-12-31431947695
2022 : ROSENTHAL & ROSENTHAL INC. EMPLOYEES THRIFT SAVING 2022 401k financial data
Total income from all sources (including contributions)2022-12-31$-4,664,992
Total of all expenses incurred2022-12-31$5,944,940
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2022-12-31$5,934,987
Total contributions o plan (from employers,participants, others, non cash contrinutions)2022-12-31$4,158,263
Value of total assets at end of year2022-12-31$41,622,055
Value of total assets at beginning of year2022-12-31$52,231,987
Total of administrative expenses incurred including professional, contract, advisory and management fees2022-12-31$9,953
Total interest from all sources2022-12-31$16,281
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2022-12-31No
Was this plan covered by a fidelity bond2022-12-31Yes
Value of fidelity bond cover2022-12-31$500,000
If this is an individual account plan, was there a blackout period2022-12-31No
Were there any nonexempt tranactions with any party-in-interest2022-12-31No
Contributions received from participants2022-12-31$2,104,953
Participant contributions at end of year2022-12-31$562,588
Participant contributions at beginning of year2022-12-31$470,452
Income. Received or receivable in cash from other sources (including rollovers)2022-12-31$109,184
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2022-12-31No
Value of net income/loss2022-12-31$-10,609,932
Value of net assets at end of year (total assets less liabilities)2022-12-31$41,622,055
Value of net assets at beginning of year (total assets less liabilities)2022-12-31$52,231,987
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2022-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2022-12-31No
Were any leases to which the plan was party in default or uncollectible2022-12-31No
Value of interest in pooled separate accounts at end of year2022-12-31$36,537,908
Value of interest in pooled separate accounts at beginning of year2022-12-31$46,584,615
Interest on participant loans2022-12-31$16,281
Value of interest in common/collective trusts at end of year2022-12-31$3,482,579
Value of interest in common/collective trusts at beginning of year2022-12-31$4,184,696
Net investment gain/loss from pooled separate accounts2022-12-31$-8,887,060
Net investment gain or loss from common/collective trusts2022-12-31$47,524
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2022-12-31No
Was there a failure to transmit to the plan any participant contributions2022-12-31No
Has the plan failed to provide any benefit when due under the plan2022-12-31No
Contributions received in cash from employer2022-12-31$1,944,126
Employer contributions (assets) at end of year2022-12-31$1,038,980
Employer contributions (assets) at beginning of year2022-12-31$992,224
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2022-12-31$5,934,987
Contract administrator fees2022-12-31$9,953
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-32022-12-31No
Did the plan have assets held for investment2022-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2022-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2022-12-31No
Opinion of an independent qualified public accountant for this plan2022-12-31Unqualified
Accountancy firm name2022-12-31MAYER HOFFMAN MCCANN CPAS
Accountancy firm EIN2022-12-31431947695
2021 : ROSENTHAL & ROSENTHAL INC. EMPLOYEES THRIFT SAVING 2021 401k financial data
Total income from all sources (including contributions)2021-12-31$10,937,396
Total of all expenses incurred2021-12-31$1,002,627
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2021-12-31$959,499
Expenses. Certain deemed distributions of participant loans2021-12-31$36,990
Total contributions o plan (from employers,participants, others, non cash contrinutions)2021-12-31$3,832,903
Value of total assets at end of year2021-12-31$52,231,987
Value of total assets at beginning of year2021-12-31$42,297,218
Total of administrative expenses incurred including professional, contract, advisory and management fees2021-12-31$6,138
Total interest from all sources2021-12-31$14,232
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2021-12-31No
Was this plan covered by a fidelity bond2021-12-31Yes
Value of fidelity bond cover2021-12-31$500,000
If this is an individual account plan, was there a blackout period2021-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2021-12-31$0
Were there any nonexempt tranactions with any party-in-interest2021-12-31No
Contributions received from participants2021-12-31$1,977,313
Participant contributions at end of year2021-12-31$470,452
Participant contributions at beginning of year2021-12-31$527,128
Income. Received or receivable in cash from other sources (including rollovers)2021-12-31$3,939
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2021-12-31No
Value of net income/loss2021-12-31$9,934,769
Value of net assets at end of year (total assets less liabilities)2021-12-31$52,231,987
Value of net assets at beginning of year (total assets less liabilities)2021-12-31$42,297,218
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2021-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2021-12-31No
Were any leases to which the plan was party in default or uncollectible2021-12-31No
Value of interest in pooled separate accounts at end of year2021-12-31$46,584,615
Value of interest in pooled separate accounts at beginning of year2021-12-31$37,274,135
Interest on participant loans2021-12-31$14,232
Value of interest in common/collective trusts at end of year2021-12-31$4,184,696
Value of interest in common/collective trusts at beginning of year2021-12-31$4,491,777
Net investment gain/loss from pooled separate accounts2021-12-31$7,090,261
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2021-12-31No
Was there a failure to transmit to the plan any participant contributions2021-12-31No
Has the plan failed to provide any benefit when due under the plan2021-12-31No
Contributions received in cash from employer2021-12-31$1,851,651
Employer contributions (assets) at end of year2021-12-31$992,224
Employer contributions (assets) at beginning of year2021-12-31$4,178
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2021-12-31$959,499
Contract administrator fees2021-12-31$6,138
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-32021-12-31No
Did the plan have assets held for investment2021-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2021-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2021-12-31No
Opinion of an independent qualified public accountant for this plan2021-12-31Unqualified
Accountancy firm name2021-12-31MAYER HOFFMAN MCCANN CPAS
Accountancy firm EIN2021-12-31431947695
2020 : ROSENTHAL & ROSENTHAL INC. EMPLOYEES THRIFT SAVING 2020 401k financial data
Total income from all sources (including contributions)2020-12-31$8,291,342
Total of all expenses incurred2020-12-31$2,507,725
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2020-12-31$2,390,142
Expenses. Certain deemed distributions of participant loans2020-12-31$109,841
Total contributions o plan (from employers,participants, others, non cash contrinutions)2020-12-31$2,817,629
Value of total assets at end of year2020-12-31$42,297,218
Value of total assets at beginning of year2020-12-31$36,513,601
Total of administrative expenses incurred including professional, contract, advisory and management fees2020-12-31$7,742
Total interest from all sources2020-12-31$15,945
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2020-12-31No
Was this plan covered by a fidelity bond2020-12-31Yes
Value of fidelity bond cover2020-12-31$500,000
If this is an individual account plan, was there a blackout period2020-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2020-12-31$0
Were there any nonexempt tranactions with any party-in-interest2020-12-31No
Contributions received from participants2020-12-31$1,929,787
Participant contributions at end of year2020-12-31$527,128
Participant contributions at beginning of year2020-12-31$595,269
Income. Received or receivable in cash from other sources (including rollovers)2020-12-31$126,703
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2020-12-31No
Value of net income/loss2020-12-31$5,783,617
Value of net assets at end of year (total assets less liabilities)2020-12-31$42,297,218
Value of net assets at beginning of year (total assets less liabilities)2020-12-31$36,513,601
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2020-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2020-12-31No
Were any leases to which the plan was party in default or uncollectible2020-12-31No
Value of interest in pooled separate accounts at end of year2020-12-31$37,274,135
Value of interest in pooled separate accounts at beginning of year2020-12-31$30,979,806
Interest on participant loans2020-12-31$15,945
Value of interest in common/collective trusts at end of year2020-12-31$4,491,777
Value of interest in common/collective trusts at beginning of year2020-12-31$3,884,861
Net investment gain/loss from pooled separate accounts2020-12-31$5,457,768
Net investment gain or loss from common/collective trusts2020-12-31$0
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2020-12-31No
Was there a failure to transmit to the plan any participant contributions2020-12-31No
Has the plan failed to provide any benefit when due under the plan2020-12-31No
Contributions received in cash from employer2020-12-31$761,139
Employer contributions (assets) at end of year2020-12-31$4,178
Employer contributions (assets) at beginning of year2020-12-31$1,053,665
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2020-12-31$2,390,142
Contract administrator fees2020-12-31$7,742
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-32020-12-31No
Did the plan have assets held for investment2020-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2020-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2020-12-31No
Opinion of an independent qualified public accountant for this plan2020-12-31Disclaimer
Accountancy firm name2020-12-31MARKS PANETH LLP
Accountancy firm EIN2020-12-31113518842
2019 : ROSENTHAL & ROSENTHAL INC. EMPLOYEES THRIFT SAVING 2019 401k financial data
Total income from all sources (including contributions)2019-12-31$10,488,759
Total of all expenses incurred2019-12-31$2,137,281
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2019-12-31$2,089,484
Expenses. Certain deemed distributions of participant loans2019-12-31$35,647
Total contributions o plan (from employers,participants, others, non cash contrinutions)2019-12-31$4,250,247
Value of total assets at end of year2019-12-31$36,513,601
Value of total assets at beginning of year2019-12-31$28,162,123
Total of administrative expenses incurred including professional, contract, advisory and management fees2019-12-31$12,150
Total interest from all sources2019-12-31$23,389
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2019-12-31No
Was this plan covered by a fidelity bond2019-12-31Yes
Value of fidelity bond cover2019-12-31$1,000,000
If this is an individual account plan, was there a blackout period2019-12-31No
Were there any nonexempt tranactions with any party-in-interest2019-12-31No
Contributions received from participants2019-12-31$2,063,873
Participant contributions at end of year2019-12-31$595,269
Participant contributions at beginning of year2019-12-31$483,660
Income. Received or receivable in cash from other sources (including rollovers)2019-12-31$218,630
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2019-12-31No
Value of net income/loss2019-12-31$8,351,478
Value of net assets at end of year (total assets less liabilities)2019-12-31$36,513,601
Value of net assets at beginning of year (total assets less liabilities)2019-12-31$28,162,123
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2019-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2019-12-31No
Were any leases to which the plan was party in default or uncollectible2019-12-31No
Value of interest in pooled separate accounts at end of year2019-12-31$30,979,806
Value of interest in pooled separate accounts at beginning of year2019-12-31$23,363,999
Interest on participant loans2019-12-31$23,389
Value of interest in common/collective trusts at end of year2019-12-31$3,884,861
Value of interest in common/collective trusts at beginning of year2019-12-31$3,264,756
Net investment gain/loss from pooled separate accounts2019-12-31$6,052,961
Net investment gain or loss from common/collective trusts2019-12-31$162,162
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2019-12-31No
Was there a failure to transmit to the plan any participant contributions2019-12-31No
Has the plan failed to provide any benefit when due under the plan2019-12-31No
Contributions received in cash from employer2019-12-31$1,967,744
Employer contributions (assets) at end of year2019-12-31$1,053,665
Employer contributions (assets) at beginning of year2019-12-31$1,049,708
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2019-12-31$2,089,484
Contract administrator fees2019-12-31$12,150
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-32019-12-31No
Did the plan have assets held for investment2019-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2019-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2019-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2019-12-31Yes
Opinion of an independent qualified public accountant for this plan2019-12-31Disclaimer
Accountancy firm name2019-12-31MARKS PANETH LLP
Accountancy firm EIN2019-12-31113518842
2018 : ROSENTHAL & ROSENTHAL INC. EMPLOYEES THRIFT SAVING 2018 401k financial data
Total income from all sources (including contributions)2018-12-31$2,293,544
Total of all expenses incurred2018-12-31$1,608,404
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2018-12-31$1,565,203
Expenses. Certain deemed distributions of participant loans2018-12-31$35,377
Total contributions o plan (from employers,participants, others, non cash contrinutions)2018-12-31$3,859,304
Value of total assets at end of year2018-12-31$28,162,123
Value of total assets at beginning of year2018-12-31$27,476,983
Total of administrative expenses incurred including professional, contract, advisory and management fees2018-12-31$7,824
Total interest from all sources2018-12-31$17,244
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2018-12-31No
Was this plan covered by a fidelity bond2018-12-31Yes
Value of fidelity bond cover2018-12-31$1,000,000
If this is an individual account plan, was there a blackout period2018-12-31No
Were there any nonexempt tranactions with any party-in-interest2018-12-31No
Contributions received from participants2018-12-31$1,780,808
Participant contributions at end of year2018-12-31$483,660
Participant contributions at beginning of year2018-12-31$381,387
Income. Received or receivable in cash from other sources (including rollovers)2018-12-31$237,520
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2018-12-31No
Value of net income/loss2018-12-31$685,140
Value of net assets at end of year (total assets less liabilities)2018-12-31$28,162,123
Value of net assets at beginning of year (total assets less liabilities)2018-12-31$27,476,983
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2018-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2018-12-31No
Were any leases to which the plan was party in default or uncollectible2018-12-31No
Value of interest in pooled separate accounts at end of year2018-12-31$23,363,999
Value of interest in pooled separate accounts at beginning of year2018-12-31$22,557,047
Interest on participant loans2018-12-31$17,244
Value of interest in common/collective trusts at end of year2018-12-31$3,264,756
Value of interest in common/collective trusts at beginning of year2018-12-31$3,674,152
Net investment gain/loss from pooled separate accounts2018-12-31$-1,602,393
Net investment gain or loss from common/collective trusts2018-12-31$19,389
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2018-12-31No
Was there a failure to transmit to the plan any participant contributions2018-12-31No
Has the plan failed to provide any benefit when due under the plan2018-12-31No
Contributions received in cash from employer2018-12-31$1,840,976
Employer contributions (assets) at end of year2018-12-31$1,049,708
Employer contributions (assets) at beginning of year2018-12-31$864,397
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2018-12-31$1,565,203
Contract administrator fees2018-12-31$7,824
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-32018-12-31No
Did the plan have assets held for investment2018-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2018-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2018-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2018-12-31Yes
Opinion of an independent qualified public accountant for this plan2018-12-31Disclaimer
Accountancy firm name2018-12-31MARKS PANETH LLP
Accountancy firm EIN2018-12-31113518842
2017 : ROSENTHAL & ROSENTHAL INC. EMPLOYEES THRIFT SAVING 2017 401k financial data
Total income from all sources (including contributions)2017-12-31$9,191,845
Total of all expenses incurred2017-12-31$2,175,074
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2017-12-31$2,167,726
Total contributions o plan (from employers,participants, others, non cash contrinutions)2017-12-31$5,736,200
Value of total assets at end of year2017-12-31$27,476,983
Value of total assets at beginning of year2017-12-31$20,460,212
Total of administrative expenses incurred including professional, contract, advisory and management fees2017-12-31$7,348
Total interest from all sources2017-12-31$9,816
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2017-12-31No
Was this plan covered by a fidelity bond2017-12-31Yes
Value of fidelity bond cover2017-12-31$1,000,000
If this is an individual account plan, was there a blackout period2017-12-31No
Were there any nonexempt tranactions with any party-in-interest2017-12-31No
Contributions received from participants2017-12-31$1,540,261
Participant contributions at end of year2017-12-31$381,387
Participant contributions at beginning of year2017-12-31$303,802
Income. Received or receivable in cash from other sources (including rollovers)2017-12-31$2,653,858
Administrative expenses (other) incurred2017-12-31$7,348
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2017-12-31No
Value of net income/loss2017-12-31$7,016,771
Value of net assets at end of year (total assets less liabilities)2017-12-31$27,476,983
Value of net assets at beginning of year (total assets less liabilities)2017-12-31$20,460,212
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2017-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2017-12-31No
Were any leases to which the plan was party in default or uncollectible2017-12-31No
Value of interest in pooled separate accounts at end of year2017-12-31$22,557,047
Value of interest in pooled separate accounts at beginning of year2017-12-31$16,669,140
Interest on participant loans2017-12-31$9,816
Value of interest in common/collective trusts at end of year2017-12-31$3,674,152
Value of interest in common/collective trusts at beginning of year2017-12-31$2,967,012
Net investment gain/loss from pooled separate accounts2017-12-31$3,411,777
Net investment gain or loss from common/collective trusts2017-12-31$34,052
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2017-12-31No
Was there a failure to transmit to the plan any participant contributions2017-12-31Yes
Has the plan failed to provide any benefit when due under the plan2017-12-31No
Contributions received in cash from employer2017-12-31$1,542,081
Employer contributions (assets) at end of year2017-12-31$864,397
Employer contributions (assets) at beginning of year2017-12-31$520,258
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2017-12-31$2,167,726
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-32017-12-31No
Did the plan have assets held for investment2017-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2017-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2017-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2017-12-31Yes
Opinion of an independent qualified public accountant for this plan2017-12-31Disclaimer
Accountancy firm name2017-12-31MARKS PANETH LLP
Accountancy firm EIN2017-12-31113518842
2016 : ROSENTHAL & ROSENTHAL INC. EMPLOYEES THRIFT SAVING 2016 401k financial data
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2016-12-31$11,751
Total income from all sources (including contributions)2016-12-31$4,501,130
Total of all expenses incurred2016-12-31$2,264,372
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2016-12-31$2,257,594
Value of total corrective distributions2016-12-31$0
Total contributions o plan (from employers,participants, others, non cash contrinutions)2016-12-31$3,229,666
Value of total assets at end of year2016-12-31$20,460,212
Value of total assets at beginning of year2016-12-31$18,235,205
Total of administrative expenses incurred including professional, contract, advisory and management fees2016-12-31$6,778
Total interest from all sources2016-12-31$6,375
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2016-12-31No
Was this plan covered by a fidelity bond2016-12-31Yes
Value of fidelity bond cover2016-12-31$1,000,000
If this is an individual account plan, was there a blackout period2016-12-31No
Were there any nonexempt tranactions with any party-in-interest2016-12-31No
Contributions received from participants2016-12-31$1,441,800
Participant contributions at end of year2016-12-31$303,802
Participant contributions at beginning of year2016-12-31$253,205
Income. Received or receivable in cash from other sources (including rollovers)2016-12-31$596,763
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year2016-12-31$11,751
Administrative expenses (other) incurred2016-12-31$6,778
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2016-12-31No
Value of net income/loss2016-12-31$2,236,758
Value of net assets at end of year (total assets less liabilities)2016-12-31$20,460,212
Value of net assets at beginning of year (total assets less liabilities)2016-12-31$18,223,454
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2016-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2016-12-31No
Were any leases to which the plan was party in default or uncollectible2016-12-31No
Value of interest in pooled separate accounts at end of year2016-12-31$16,669,140
Value of interest in pooled separate accounts at beginning of year2016-12-31$17,590,279
Interest on participant loans2016-12-31$6,375
Value of interest in common/collective trusts at end of year2016-12-31$2,967,012
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 year2016-12-31$0
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2016-12-31$45,205
Net investment gain/loss from pooled separate accounts2016-12-31$1,265,089
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2016-12-31No
Was there a failure to transmit to the plan any participant contributions2016-12-31Yes
Has the plan failed to provide any benefit when due under the plan2016-12-31No
Contributions received in cash from employer2016-12-31$1,191,103
Employer contributions (assets) at end of year2016-12-31$520,258
Employer contributions (assets) at beginning of year2016-12-31$346,516
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2016-12-31$2,257,594
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-32016-12-31No
Did the plan have assets held for investment2016-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2016-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2016-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2016-12-31Yes
Opinion of an independent qualified public accountant for this plan2016-12-31Disclaimer
Accountancy firm name2016-12-31MARKS PANETH LLP
Accountancy firm EIN2016-12-31113518842
2015 : ROSENTHAL & ROSENTHAL INC. EMPLOYEES THRIFT SAVING 2015 401k financial data
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2015-12-31$11,751
Total income from all sources (including contributions)2015-12-31$2,255,627
Total of all expenses incurred2015-12-31$1,875,472
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2015-12-31$1,858,237
Value of total corrective distributions2015-12-31$11,751
Total contributions o plan (from employers,participants, others, non cash contrinutions)2015-12-31$2,161,588
Value of total assets at end of year2015-12-31$18,235,205
Value of total assets at beginning of year2015-12-31$17,843,299
Total of administrative expenses incurred including professional, contract, advisory and management fees2015-12-31$5,484
Total interest from all sources2015-12-31$7,991
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2015-12-31No
Was this plan covered by a fidelity bond2015-12-31Yes
Value of fidelity bond cover2015-12-31$3,000,000
If this is an individual account plan, was there a blackout period2015-12-31No
Were there any nonexempt tranactions with any party-in-interest2015-12-31No
Contributions received from participants2015-12-31$1,325,874
Participant contributions at end of year2015-12-31$253,205
Participant contributions at beginning of year2015-12-31$450,601
Income. Received or receivable in cash from other sources (including rollovers)2015-12-31$270,496
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year2015-12-31$11,751
Administrative expenses (other) incurred2015-12-31$5,484
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2015-12-31No
Value of net income/loss2015-12-31$380,155
Value of net assets at end of year (total assets less liabilities)2015-12-31$18,223,454
Value of net assets at beginning of year (total assets less liabilities)2015-12-31$17,843,299
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2015-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2015-12-31No
Were any leases to which the plan was party in default or uncollectible2015-12-31No
Value of interest in pooled separate accounts at end of year2015-12-31$17,590,279
Value of interest in pooled separate accounts at beginning of year2015-12-31$17,117,266
Interest on participant loans2015-12-31$7,787
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)2015-12-31$204
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2015-12-31$45,205
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2015-12-31$164,592
Net investment gain/loss from pooled separate accounts2015-12-31$86,048
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2015-12-31No
Was there a failure to transmit to the plan any participant contributions2015-12-31No
Has the plan failed to provide any benefit when due under the plan2015-12-31No
Contributions received in cash from employer2015-12-31$565,218
Employer contributions (assets) at end of year2015-12-31$346,516
Employer contributions (assets) at beginning of year2015-12-31$110,840
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2015-12-31$1,858,237
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-32015-12-31No
Did the plan have assets held for investment2015-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2015-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2015-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2015-12-31Yes
Opinion of an independent qualified public accountant for this plan2015-12-31Disclaimer
Accountancy firm name2015-12-31MARKS PANETH LLP
Accountancy firm EIN2015-12-31113518842
2014 : ROSENTHAL & ROSENTHAL INC. EMPLOYEES THRIFT SAVING 2014 401k financial data
Total income from all sources (including contributions)2014-12-31$2,380,012
Total of all expenses incurred2014-12-31$247,902
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2014-12-31$242,148
Total contributions o plan (from employers,participants, others, non cash contrinutions)2014-12-31$1,145,748
Value of total assets at end of year2014-12-31$17,843,299
Value of total assets at beginning of year2014-12-31$15,711,189
Total of administrative expenses incurred including professional, contract, advisory and management fees2014-12-31$5,754
Total interest from all sources2014-12-31$9,656
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2014-12-31No
Was this plan covered by a fidelity bond2014-12-31Yes
Value of fidelity bond cover2014-12-31$3,000,000
If this is an individual account plan, was there a blackout period2014-12-31No
Were there any nonexempt tranactions with any party-in-interest2014-12-31No
Contributions received from participants2014-12-31$1,065,758
Participant contributions at end of year2014-12-31$450,601
Participant contributions at beginning of year2014-12-31$443,722
Income. Received or receivable in cash from other sources (including rollovers)2014-12-31$13,000
Administrative expenses (other) incurred2014-12-31$5,754
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2014-12-31No
Value of net income/loss2014-12-31$2,132,110
Value of net assets at end of year (total assets less liabilities)2014-12-31$17,843,299
Value of net assets at beginning of year (total assets less liabilities)2014-12-31$15,711,189
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2014-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2014-12-31No
Were any leases to which the plan was party in default or uncollectible2014-12-31No
Value of interest in pooled separate accounts at end of year2014-12-31$17,117,266
Value of interest in pooled separate accounts at beginning of year2014-12-31$14,766,749
Interest on participant loans2014-12-31$9,656
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2014-12-31$164,592
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2014-12-31$434,539
Net investment gain/loss from pooled separate accounts2014-12-31$1,224,608
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2014-12-31No
Was there a failure to transmit to the plan any participant contributions2014-12-31No
Has the plan failed to provide any benefit when due under the plan2014-12-31No
Contributions received in cash from employer2014-12-31$66,990
Employer contributions (assets) at end of year2014-12-31$110,840
Employer contributions (assets) at beginning of year2014-12-31$66,179
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2014-12-31$242,148
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-32014-12-31No
Did the plan have assets held for investment2014-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2014-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2014-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2014-12-31Yes
Opinion of an independent qualified public accountant for this plan2014-12-31Disclaimer
Accountancy firm name2014-12-31MARKS PANETH LLP
Accountancy firm EIN2014-12-31113518842
2013 : ROSENTHAL & ROSENTHAL INC. EMPLOYEES THRIFT SAVING 2013 401k financial data
Total income from all sources (including contributions)2013-12-31$3,614,720
Total of all expenses incurred2013-12-31$1,203,007
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2013-12-31$1,196,946
Total contributions o plan (from employers,participants, others, non cash contrinutions)2013-12-31$1,074,564
Value of total assets at end of year2013-12-31$15,711,189
Value of total assets at beginning of year2013-12-31$13,299,476
Total of administrative expenses incurred including professional, contract, advisory and management fees2013-12-31$6,061
Total interest from all sources2013-12-31$9,189
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2013-12-31No
Was this plan covered by a fidelity bond2013-12-31Yes
Value of fidelity bond cover2013-12-31$3,000,000
If this is an individual account plan, was there a blackout period2013-12-31No
Were there any nonexempt tranactions with any party-in-interest2013-12-31No
Contributions received from participants2013-12-31$970,677
Participant contributions at end of year2013-12-31$443,722
Participant contributions at beginning of year2013-12-31$383,032
Income. Received or receivable in cash from other sources (including rollovers)2013-12-31$37,708
Administrative expenses (other) incurred2013-12-31$6,061
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2013-12-31No
Value of net income/loss2013-12-31$2,411,713
Value of net assets at end of year (total assets less liabilities)2013-12-31$15,711,189
Value of net assets at beginning of year (total assets less liabilities)2013-12-31$13,299,476
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2013-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2013-12-31No
Were any leases to which the plan was party in default or uncollectible2013-12-31No
Value of interest in pooled separate accounts at end of year2013-12-31$14,766,749
Value of interest in pooled separate accounts at beginning of year2013-12-31$11,856,559
Interest on participant loans2013-12-31$9,189
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2013-12-31$434,539
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2013-12-31$992,260
Net investment gain/loss from pooled separate accounts2013-12-31$2,530,967
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2013-12-31No
Was there a failure to transmit to the plan any participant contributions2013-12-31No
Has the plan failed to provide any benefit when due under the plan2013-12-31No
Contributions received in cash from employer2013-12-31$66,179
Employer contributions (assets) at end of year2013-12-31$66,179
Employer contributions (assets) at beginning of year2013-12-31$67,625
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2013-12-31$1,196,946
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-32013-12-31No
Did the plan have assets held for investment2013-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2013-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2013-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2013-12-31Yes
Opinion of an independent qualified public accountant for this plan2013-12-31Disclaimer
Accountancy firm name2013-12-31MARKS PANETH LLP
Accountancy firm EIN2013-12-31113518842
2012 : ROSENTHAL & ROSENTHAL INC. EMPLOYEES THRIFT SAVING 2012 401k financial data
Total income from all sources (including contributions)2012-12-31$2,281,232
Total of all expenses incurred2012-12-31$666,837
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2012-12-31$662,366
Total contributions o plan (from employers,participants, others, non cash contrinutions)2012-12-31$1,053,445
Value of total assets at end of year2012-12-31$13,299,476
Value of total assets at beginning of year2012-12-31$11,685,081
Total of administrative expenses incurred including professional, contract, advisory and management fees2012-12-31$4,471
Total interest from all sources2012-12-31$7,346
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2012-12-31No
Was this plan covered by a fidelity bond2012-12-31Yes
Value of fidelity bond cover2012-12-31$3,000,000
If this is an individual account plan, was there a blackout period2012-12-31No
Were there any nonexempt tranactions with any party-in-interest2012-12-31No
Contributions received from participants2012-12-31$942,188
Participant contributions at end of year2012-12-31$383,032
Participant contributions at beginning of year2012-12-31$264,571
Income. Received or receivable in cash from other sources (including rollovers)2012-12-31$43,932
Administrative expenses (other) incurred2012-12-31$4,471
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2012-12-31No
Value of net income/loss2012-12-31$1,614,395
Value of net assets at end of year (total assets less liabilities)2012-12-31$13,299,476
Value of net assets at beginning of year (total assets less liabilities)2012-12-31$11,685,081
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2012-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2012-12-31No
Were any leases to which the plan was party in default or uncollectible2012-12-31No
Value of interest in pooled separate accounts at end of year2012-12-31$11,856,559
Value of interest in pooled separate accounts at beginning of year2012-12-31$10,280,658
Interest on participant loans2012-12-31$7,346
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2012-12-31$992,260
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2012-12-31$1,139,552
Net investment gain/loss from pooled separate accounts2012-12-31$1,220,441
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2012-12-31No
Was there a failure to transmit to the plan any participant contributions2012-12-31No
Has the plan failed to provide any benefit when due under the plan2012-12-31No
Contributions received in cash from employer2012-12-31$67,325
Employer contributions (assets) at end of year2012-12-31$67,625
Employer contributions (assets) at beginning of year2012-12-31$300
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2012-12-31$662,366
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-32012-12-31No
Did the plan have assets held for investment2012-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2012-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2012-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2012-12-31Yes
Opinion of an independent qualified public accountant for this plan2012-12-31Disclaimer
Accountancy firm name2012-12-31MARKS PANETH & SHRON LLP
Accountancy firm EIN2012-12-31113518842
2011 : ROSENTHAL & ROSENTHAL INC. EMPLOYEES THRIFT SAVING 2011 401k financial data
Total income from all sources (including contributions)2011-12-31$927,589
Total of all expenses incurred2011-12-31$684,310
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2011-12-31$679,701
Total contributions o plan (from employers,participants, others, non cash contrinutions)2011-12-31$954,487
Value of total assets at end of year2011-12-31$11,685,081
Value of total assets at beginning of year2011-12-31$11,441,802
Total of administrative expenses incurred including professional, contract, advisory and management fees2011-12-31$4,609
Total interest from all sources2011-12-31$7,188
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2011-12-31No
Was this plan covered by a fidelity bond2011-12-31Yes
Value of fidelity bond cover2011-12-31$3,000,000
If this is an individual account plan, was there a blackout period2011-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2011-12-31$0
Were there any nonexempt tranactions with any party-in-interest2011-12-31No
Contributions received from participants2011-12-31$887,667
Participant contributions at end of year2011-12-31$264,571
Participant contributions at beginning of year2011-12-31$281,539
Administrative expenses (other) incurred2011-12-31$4,609
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2011-12-31No
Value of net income/loss2011-12-31$243,279
Value of net assets at end of year (total assets less liabilities)2011-12-31$11,685,081
Value of net assets at beginning of year (total assets less liabilities)2011-12-31$11,441,802
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2011-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2011-12-31No
Were any leases to which the plan was party in default or uncollectible2011-12-31No
Value of interest in pooled separate accounts at end of year2011-12-31$10,280,658
Value of interest in pooled separate accounts at beginning of year2011-12-31$9,983,644
Interest on participant loans2011-12-31$7,188
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2011-12-31$1,139,552
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2011-12-31$1,110,715
Net investment gain/loss from pooled separate accounts2011-12-31$-34,086
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2011-12-31No
Was there a failure to transmit to the plan any participant contributions2011-12-31No
Has the plan failed to provide any benefit when due under the plan2011-12-31No
Contributions received in cash from employer2011-12-31$66,820
Employer contributions (assets) at end of year2011-12-31$300
Employer contributions (assets) at beginning of year2011-12-31$65,904
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2011-12-31$679,701
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-32011-12-31No
Did the plan have assets held for investment2011-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2011-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2011-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2011-12-31Yes
Opinion of an independent qualified public accountant for this plan2011-12-31Disclaimer
Accountancy firm name2011-12-31MARKS PANETH & SHRON, LLP
Accountancy firm EIN2011-12-31113518842
2010 : ROSENTHAL & ROSENTHAL INC. EMPLOYEES THRIFT SAVING 2010 401k financial data
Total income from all sources (including contributions)2010-12-31$1,949,346
Total of all expenses incurred2010-12-31$649,732
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2010-12-31$644,250
Total contributions o plan (from employers,participants, others, non cash contrinutions)2010-12-31$948,203
Value of total assets at end of year2010-12-31$11,441,802
Value of total assets at beginning of year2010-12-31$10,142,188
Total of administrative expenses incurred including professional, contract, advisory and management fees2010-12-31$5,482
Total interest from all sources2010-12-31$7,627
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2010-12-31No
Was this plan covered by a fidelity bond2010-12-31Yes
Value of fidelity bond cover2010-12-31$3,000,000
If this is an individual account plan, was there a blackout period2010-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2010-12-31$0
Were there any nonexempt tranactions with any party-in-interest2010-12-31No
Contributions received from participants2010-12-31$882,299
Participant contributions at end of year2010-12-31$281,539
Participant contributions at beginning of year2010-12-31$233,293
Administrative expenses (other) incurred2010-12-31$5,482
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2010-12-31No
Value of net income/loss2010-12-31$1,299,614
Value of net assets at end of year (total assets less liabilities)2010-12-31$11,441,802
Value of net assets at beginning of year (total assets less liabilities)2010-12-31$10,142,188
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2010-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2010-12-31No
Were any leases to which the plan was party in default or uncollectible2010-12-31No
Value of interest in pooled separate accounts at end of year2010-12-31$9,983,644
Value of interest in pooled separate accounts at beginning of year2010-12-31$8,538,347
Interest on participant loans2010-12-31$7,627
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2010-12-31$1,110,715
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2010-12-31$1,370,548
Net investment gain/loss from pooled separate accounts2010-12-31$993,516
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2010-12-31No
Was there a failure to transmit to the plan any participant contributions2010-12-31No
Has the plan failed to provide any benefit when due under the plan2010-12-31No
Contributions received in cash from employer2010-12-31$65,904
Employer contributions (assets) at end of year2010-12-31$65,904
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2010-12-31$644,250
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-32010-12-31No
Did the plan have assets held for investment2010-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2010-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2010-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2010-12-31Yes
Opinion of an independent qualified public accountant for this plan2010-12-31Disclaimer
Accountancy firm name2010-12-31MARKS PANETH & SHRON, LLP
Accountancy firm EIN2010-12-31113518842
2009 : ROSENTHAL & ROSENTHAL INC. EMPLOYEES THRIFT SAVING 2009 401k financial data
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2009-12-31$0

Form 5500 Responses for ROSENTHAL & ROSENTHAL INC. EMPLOYEES THRIFT SAVING

2023: ROSENTHAL & ROSENTHAL INC. EMPLOYEES THRIFT SAVING 2023 form 5500 responses
2023-01-01Type of plan entitySingle employer plan
2023-01-01Plan funding arrangement – InsuranceYes
2023-01-01Plan funding arrangement – TrustYes
2023-01-01Plan benefit arrangement – InsuranceYes
2023-01-01Plan benefit arrangement - TrustYes
2022: ROSENTHAL & ROSENTHAL INC. EMPLOYEES THRIFT SAVING 2022 form 5500 responses
2022-01-01Type of plan entitySingle employer plan
2022-01-01Plan funding arrangement – InsuranceYes
2022-01-01Plan funding arrangement – TrustYes
2022-01-01Plan benefit arrangement – InsuranceYes
2022-01-01Plan benefit arrangement - TrustYes
2021: ROSENTHAL & ROSENTHAL INC. EMPLOYEES THRIFT SAVING 2021 form 5500 responses
2021-01-01Type of plan entitySingle employer plan
2021-01-01Plan funding arrangement – InsuranceYes
2021-01-01Plan funding arrangement – TrustYes
2021-01-01Plan benefit arrangement – InsuranceYes
2021-01-01Plan benefit arrangement - TrustYes
2020: ROSENTHAL & ROSENTHAL INC. EMPLOYEES THRIFT SAVING 2020 form 5500 responses
2020-01-01Type of plan entitySingle employer plan
2020-01-01Plan funding arrangement – InsuranceYes
2020-01-01Plan funding arrangement – TrustYes
2020-01-01Plan benefit arrangement – InsuranceYes
2020-01-01Plan benefit arrangement - TrustYes
2019: ROSENTHAL & ROSENTHAL INC. EMPLOYEES THRIFT SAVING 2019 form 5500 responses
2019-01-01Type of plan entitySingle employer plan
2019-01-01Plan funding arrangement – InsuranceYes
2019-01-01Plan funding arrangement – TrustYes
2019-01-01Plan benefit arrangement – InsuranceYes
2019-01-01Plan benefit arrangement - TrustYes
2018: ROSENTHAL & ROSENTHAL INC. EMPLOYEES THRIFT SAVING 2018 form 5500 responses
2018-01-01Type of plan entitySingle employer plan
2018-01-01Plan funding arrangement – InsuranceYes
2018-01-01Plan funding arrangement – TrustYes
2018-01-01Plan benefit arrangement – InsuranceYes
2018-01-01Plan benefit arrangement - TrustYes
2017: ROSENTHAL & ROSENTHAL INC. EMPLOYEES THRIFT SAVING 2017 form 5500 responses
2017-01-01Type of plan entitySingle employer plan
2017-01-01Submission has been amendedYes
2017-01-01Plan funding arrangement – InsuranceYes
2017-01-01Plan funding arrangement – TrustYes
2017-01-01Plan benefit arrangement – InsuranceYes
2017-01-01Plan benefit arrangement - TrustYes
2016: ROSENTHAL & ROSENTHAL INC. EMPLOYEES THRIFT SAVING 2016 form 5500 responses
2016-01-01Type of plan entitySingle employer plan
2016-01-01Plan funding arrangement – InsuranceYes
2016-01-01Plan funding arrangement – TrustYes
2016-01-01Plan benefit arrangement – InsuranceYes
2016-01-01Plan benefit arrangement - TrustYes
2015: ROSENTHAL & ROSENTHAL INC. EMPLOYEES THRIFT SAVING 2015 form 5500 responses
2015-01-01Type of plan entitySingle employer plan
2015-01-01Plan funding arrangement – InsuranceYes
2015-01-01Plan funding arrangement – TrustYes
2015-01-01Plan benefit arrangement – InsuranceYes
2015-01-01Plan benefit arrangement - TrustYes
2014: ROSENTHAL & ROSENTHAL INC. EMPLOYEES THRIFT SAVING 2014 form 5500 responses
2014-01-01Type of plan entitySingle employer plan
2014-01-01Plan funding arrangement – InsuranceYes
2014-01-01Plan funding arrangement – TrustYes
2014-01-01Plan benefit arrangement – InsuranceYes
2014-01-01Plan benefit arrangement - TrustYes
2013: ROSENTHAL & ROSENTHAL INC. EMPLOYEES THRIFT SAVING 2013 form 5500 responses
2013-01-01Type of plan entitySingle employer plan
2013-01-01Plan funding arrangement – InsuranceYes
2013-01-01Plan funding arrangement – TrustYes
2013-01-01Plan benefit arrangement – InsuranceYes
2013-01-01Plan benefit arrangement - TrustYes
2012: ROSENTHAL & ROSENTHAL INC. EMPLOYEES THRIFT SAVING 2012 form 5500 responses
2012-01-01Type of plan entitySingle employer plan
2012-01-01Plan funding arrangement – InsuranceYes
2012-01-01Plan funding arrangement – TrustYes
2012-01-01Plan benefit arrangement – InsuranceYes
2012-01-01Plan benefit arrangement - TrustYes
2011: ROSENTHAL & ROSENTHAL INC. EMPLOYEES THRIFT SAVING 2011 form 5500 responses
2011-01-01Type of plan entitySingle employer plan
2011-01-01Plan funding arrangement – InsuranceYes
2011-01-01Plan funding arrangement – TrustYes
2011-01-01Plan benefit arrangement – InsuranceYes
2011-01-01Plan benefit arrangement - TrustYes
2009: ROSENTHAL & ROSENTHAL INC. EMPLOYEES THRIFT SAVING 2009 form 5500 responses
2009-01-01Type of plan entitySingle employer plan
2009-01-01Submission has been amendedYes
2009-01-01This submission is the final filingNo
2009-01-01Plan funding arrangement – InsuranceYes
2009-01-01Plan funding arrangement – TrustYes
2009-01-01Plan benefit arrangement – InsuranceYes
2009-01-01Plan benefit arrangement - TrustYes

Insurance Providers Used on plan

PRINCIPAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 61271 )
Policy contract number377417
Policy instance 1
Insurance contract or identification number377417
Number of Individuals Covered260
Insurance policy start date2023-01-01
Insurance policy end date2023-12-31
Total amount of commissions paid to insurance brokerUSD $37,827
Total amount of fees paid to insurance companyUSD $0
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
PRINCIPAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 61271 )
Policy contract number467968
Policy instance 2
Insurance contract or identification number467968
Number of Individuals Covered260
Insurance policy start date2023-01-01
Insurance policy end date2023-12-31
Total amount of commissions paid to insurance brokerUSD $195
Total amount of fees paid to insurance companyUSD $0
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
PRINCIPAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 61271 )
Policy contract number377417
Policy instance 1
Insurance contract or identification number377417
Number of Individuals Covered254
Insurance policy start date2022-01-01
Insurance policy end date2022-12-31
Total amount of commissions paid to insurance brokerUSD $40,363
Total amount of fees paid to insurance companyUSD $0
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
Commission paid to Insurance BrokerUSD $40,363
Amount paid for insurance broker fees0
Insurance broker organization code?3
PRINCIPAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 61271 )
Policy contract number377417
Policy instance 1
Insurance contract or identification number377417
Number of Individuals Covered245
Insurance policy start date2021-01-01
Insurance policy end date2021-12-31
Total amount of commissions paid to insurance brokerUSD $40,979
Total amount of fees paid to insurance companyUSD $0
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
Commission paid to Insurance BrokerUSD $40,979
Amount paid for insurance broker fees0
Insurance broker organization code?3
PRINCIPAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 61271 )
Policy contract number377417
Policy instance 1
Insurance contract or identification number377417
Number of Individuals Covered242
Insurance policy start date2020-01-01
Insurance policy end date2020-12-31
Total amount of commissions paid to insurance brokerUSD $30,149
Total amount of fees paid to insurance companyUSD $0
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
Commission paid to Insurance BrokerUSD $30,149
Amount paid for insurance broker fees0
Insurance broker organization code?3
PRINCIPAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 61271 )
Policy contract number377417
Policy instance 1
Insurance contract or identification number377417
Number of Individuals Covered257
Insurance policy start date2019-01-01
Insurance policy end date2019-12-31
Total amount of commissions paid to insurance brokerUSD $26,702
Total amount of fees paid to insurance companyUSD $0
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
Commission paid to Insurance BrokerUSD $26,702
Insurance broker organization code?3
PRINCIPAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 61271 )
Policy contract number377417
Policy instance 1
Insurance contract or identification number377417
Number of Individuals Covered261
Insurance policy start date2018-01-01
Insurance policy end date2018-12-31
Total amount of commissions paid to insurance brokerUSD $24,091
Total amount of fees paid to insurance companyUSD $0
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
Commission paid to Insurance BrokerUSD $24,091
Insurance broker organization code?3
PRINCIPAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 61271 )
Policy contract number377417
Policy instance 1
Insurance contract or identification number377417
Number of Individuals Covered230
Insurance policy start date2017-01-01
Insurance policy end date2017-12-31
Total amount of commissions paid to insurance brokerUSD $18,105
Total amount of fees paid to insurance companyUSD $1,483
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
Commission paid to Insurance BrokerUSD $18,105
Amount paid for insurance broker fees1483
Additional information about fees paid to insurance brokerREFERRAL/SERVICE FEE
Insurance broker organization code?3
Insurance broker nameNY LIFE SECURITIES LLC

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