STONE & YOUNGBERG HOLDINGS LLC has sponsored the creation of one or more 401k plans.
Measure | Date | Value |
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2012 : STONE & YOUNGBERG 401(K) PLAN 2012 401k financial data |
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Total income from all sources (including contributions) | 2012-10-31 | $547,658 |
Total of all expenses incurred | 2012-10-31 | $9,160,453 |
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others | 2012-10-31 | $9,143,964 |
Total contributions o plan (from employers,participants, others, non cash contrinutions) | 2012-10-31 | $0 |
Value of total assets at end of year | 2012-10-31 | $0 |
Value of total assets at beginning of year | 2012-10-31 | $8,612,795 |
Total of administrative expenses incurred including professional, contract, advisory and management fees | 2012-10-31 | $16,489 |
Total interest from all sources | 2012-10-31 | $72 |
Total dividends received (eg from common stock, registered investment company shares) | 2012-10-31 | $-2,047 |
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year | 2012-10-31 | Yes |
Value of any plan assets that reverted to the employer resulting from resoluton to terminate the plan | 2012-10-31 | $0 |
Total dividends received from registered investment company shares (eg mutual funds) | 2012-10-31 | $-2,047 |
Administrative expenses professional fees incurred | 2012-10-31 | $12,525 |
Was this plan covered by a fidelity bond | 2012-10-31 | Yes |
Value of fidelity bond cover | 2012-10-31 | $500,000 |
If this is an individual account plan, was there a blackout period | 2012-10-31 | No |
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities | 2012-10-31 | $0 |
Were there any nonexempt tranactions with any party-in-interest | 2012-10-31 | No |
Contributions received from participants | 2012-10-31 | $0 |
Assets. Other investments not covered elsewhere at end of year | 2012-10-31 | $0 |
Assets. Other investments not covered elsewhere at beginning of year | 2012-10-31 | $4,007,438 |
Income. Received or receivable in cash from other sources (including rollovers) | 2012-10-31 | $0 |
Value of other receiveables (less allowance for doubtful accounts) at end of year | 2012-10-31 | $0 |
Value of other receiveables (less allowance for doubtful accounts) at beginning of year | 2012-10-31 | $2,227 |
Other income not declared elsewhere | 2012-10-31 | $462,377 |
Administrative expenses (other) incurred | 2012-10-31 | $1,219 |
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser | 2012-10-31 | No |
Value of net income/loss | 2012-10-31 | $-8,612,795 |
Value of net assets at end of year (total assets less liabilities) | 2012-10-31 | $0 |
Value of net assets at beginning of year (total assets less liabilities) | 2012-10-31 | $8,612,795 |
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond) | 2012-10-31 | No |
Were any loans by the plan or fixed income obligations due to the plan in default | 2012-10-31 | No |
Were any leases to which the plan was party in default or uncollectible | 2012-10-31 | No |
Assets. partnership/joint venture interests at end of year | 2012-10-31 | $0 |
Assets. partnership/joint venture interests at beginning of year | 2012-10-31 | $934,759 |
Investment advisory and management fees | 2012-10-31 | $2,745 |
Value of interest in registered invesment companies (eg mutual funds) at end of year | 2012-10-31 | $0 |
Value of interest in registered invesment companies (eg mutual funds) at beginning of year | 2012-10-31 | $2,535,872 |
Value of interest in common/collective trusts at end of year | 2012-10-31 | $0 |
Value of interest in common/collective trusts at beginning of year | 2012-10-31 | $1,132,499 |
Interest earned from interest bearing cash (including money market accounts and certificates of deposit) | 2012-10-31 | $72 |
Net investment gain/loss from registered investment companies (e.g. mutual funds) | 2012-10-31 | $91,733 |
Net investment gain or loss from common/collective trusts | 2012-10-31 | $-4,477 |
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets | 2012-10-31 | No |
Was there a failure to transmit to the plan any participant contributions | 2012-10-31 | No |
Has the plan failed to provide any benefit when due under the plan | 2012-10-31 | No |
Contributions received in cash from employer | 2012-10-31 | $0 |
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers | 2012-10-31 | $9,143,964 |
Did the plan have assets held for investment | 2012-10-31 | No |
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser | 2012-10-31 | No |
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC | 2012-10-31 | Yes |
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d) | 2012-10-31 | Yes |
Opinion of an independent qualified public accountant for this plan | 2012-10-31 | Disclaimer |
Accountancy firm name | 2012-10-31 | MOSS ADAMS, LLP |
Accountancy firm EIN | 2012-10-31 | 910189318 |
2011 : STONE & YOUNGBERG 401(K) PLAN 2011 401k financial data |
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Total unrealized appreciation/depreciation of assets | 2011-12-31 | $0 |
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2011-12-31 | $0 |
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2011-12-31 | $0 |
Total income from all sources (including contributions) | 2011-12-31 | $2,912,115 |
Total loss/gain on sale of assets | 2011-12-31 | $0 |
Total of all expenses incurred | 2011-12-31 | $39,028,532 |
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others | 2011-12-31 | $38,850,230 |
Value of total corrective distributions | 2011-12-31 | $54,879 |
Total contributions o plan (from employers,participants, others, non cash contrinutions) | 2011-12-31 | $3,691,112 |
Value of total assets at end of year | 2011-12-31 | $8,612,795 |
Value of total assets at beginning of year | 2011-12-31 | $44,729,212 |
Total of administrative expenses incurred including professional, contract, advisory and management fees | 2011-12-31 | $123,423 |
Total interest from all sources | 2011-12-31 | $0 |
Total dividends received (eg from common stock, registered investment company shares) | 2011-12-31 | $199,621 |
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year | 2011-12-31 | No |
Total dividends received from registered investment company shares (eg mutual funds) | 2011-12-31 | $199,621 |
Administrative expenses professional fees incurred | 2011-12-31 | $16,508 |
Was this plan covered by a fidelity bond | 2011-12-31 | Yes |
Value of fidelity bond cover | 2011-12-31 | $500,000 |
If this is an individual account plan, was there a blackout period | 2011-12-31 | No |
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities | 2011-12-31 | $0 |
Were there any nonexempt tranactions with any party-in-interest | 2011-12-31 | No |
Contributions received from participants | 2011-12-31 | $2,168,165 |
Assets. Other investments not covered elsewhere at end of year | 2011-12-31 | $4,007,438 |
Assets. Other investments not covered elsewhere at beginning of year | 2011-12-31 | $21,104,728 |
Income. Received or receivable in cash from other sources (including rollovers) | 2011-12-31 | $87,819 |
Value of other receiveables (less allowance for doubtful accounts) at end of year | 2011-12-31 | $2,227 |
Value of other receiveables (less allowance for doubtful accounts) at beginning of year | 2011-12-31 | $11,857 |
Other income not declared elsewhere | 2011-12-31 | $273,769 |
Administrative expenses (other) incurred | 2011-12-31 | $54,327 |
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser | 2011-12-31 | No |
Value of net income/loss | 2011-12-31 | $-36,116,417 |
Value of net assets at end of year (total assets less liabilities) | 2011-12-31 | $8,612,795 |
Value of net assets at beginning of year (total assets less liabilities) | 2011-12-31 | $44,729,212 |
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond) | 2011-12-31 | No |
Were any loans by the plan or fixed income obligations due to the plan in default | 2011-12-31 | No |
Were any leases to which the plan was party in default or uncollectible | 2011-12-31 | No |
Assets. partnership/joint venture interests at end of year | 2011-12-31 | $934,759 |
Assets. partnership/joint venture interests at beginning of year | 2011-12-31 | $2,688,681 |
Investment advisory and management fees | 2011-12-31 | $52,588 |
Value of interest in registered invesment companies (eg mutual funds) at end of year | 2011-12-31 | $2,535,872 |
Value of interest in registered invesment companies (eg mutual funds) at beginning of year | 2011-12-31 | $19,465,026 |
Value of interest in common/collective trusts at end of year | 2011-12-31 | $1,132,499 |
Value of interest in common/collective trusts at beginning of year | 2011-12-31 | $1,458,920 |
Net investment gain/loss from registered investment companies (e.g. mutual funds) | 2011-12-31 | $-1,288,978 |
Net investment gain or loss from common/collective trusts | 2011-12-31 | $36,591 |
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets | 2011-12-31 | No |
Was there a failure to transmit to the plan any participant contributions | 2011-12-31 | No |
Has the plan failed to provide any benefit when due under the plan | 2011-12-31 | No |
Contributions received in cash from employer | 2011-12-31 | $1,435,128 |
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers | 2011-12-31 | $38,850,230 |
Did the plan have assets held for investment | 2011-12-31 | Yes |
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser | 2011-12-31 | No |
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC | 2011-12-31 | No |
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d) | 2011-12-31 | Yes |
Opinion of an independent qualified public accountant for this plan | 2011-12-31 | Disclaimer |
Accountancy firm name | 2011-12-31 | MOSS ADAMS, LLP |
Accountancy firm EIN | 2011-12-31 | 910189318 |
2010 : STONE & YOUNGBERG 401(K) PLAN 2010 401k financial data |
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Total unrealized appreciation/depreciation of assets | 2010-12-31 | $0 |
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2010-12-31 | $0 |
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2010-12-31 | $0 |
Total income from all sources (including contributions) | 2010-12-31 | $6,973,068 |
Total loss/gain on sale of assets | 2010-12-31 | $0 |
Total of all expenses incurred | 2010-12-31 | $1,862,152 |
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others | 2010-12-31 | $1,758,081 |
Total contributions o plan (from employers,participants, others, non cash contrinutions) | 2010-12-31 | $2,416,010 |
Value of total assets at end of year | 2010-12-31 | $44,729,212 |
Value of total assets at beginning of year | 2010-12-31 | $39,618,296 |
Total of administrative expenses incurred including professional, contract, advisory and management fees | 2010-12-31 | $104,071 |
Total interest from all sources | 2010-12-31 | $0 |
Total dividends received (eg from common stock, registered investment company shares) | 2010-12-31 | $431,967 |
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year | 2010-12-31 | No |
Total dividends received from registered investment company shares (eg mutual funds) | 2010-12-31 | $431,967 |
Administrative expenses professional fees incurred | 2010-12-31 | $11,000 |
Was this plan covered by a fidelity bond | 2010-12-31 | Yes |
Value of fidelity bond cover | 2010-12-31 | $500,000 |
If this is an individual account plan, was there a blackout period | 2010-12-31 | No |
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities | 2010-12-31 | $0 |
Were there any nonexempt tranactions with any party-in-interest | 2010-12-31 | No |
Contributions received from participants | 2010-12-31 | $2,300,256 |
Assets. Other investments not covered elsewhere at end of year | 2010-12-31 | $21,104,728 |
Assets. Other investments not covered elsewhere at beginning of year | 2010-12-31 | $19,142,240 |
Income. Received or receivable in cash from other sources (including rollovers) | 2010-12-31 | $111,048 |
Value of other receiveables (less allowance for doubtful accounts) at end of year | 2010-12-31 | $11,857 |
Value of other receiveables (less allowance for doubtful accounts) at beginning of year | 2010-12-31 | $14,053 |
Other income not declared elsewhere | 2010-12-31 | $2,078,518 |
Administrative expenses (other) incurred | 2010-12-31 | $46,575 |
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser | 2010-12-31 | No |
Value of net income/loss | 2010-12-31 | $5,110,916 |
Value of net assets at end of year (total assets less liabilities) | 2010-12-31 | $44,729,212 |
Value of net assets at beginning of year (total assets less liabilities) | 2010-12-31 | $39,618,296 |
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond) | 2010-12-31 | No |
Were any loans by the plan or fixed income obligations due to the plan in default | 2010-12-31 | No |
Were any leases to which the plan was party in default or uncollectible | 2010-12-31 | No |
Assets. partnership/joint venture interests at end of year | 2010-12-31 | $2,688,681 |
Assets. partnership/joint venture interests at beginning of year | 2010-12-31 | $2,696,328 |
Investment advisory and management fees | 2010-12-31 | $46,496 |
Value of interest in registered invesment companies (eg mutual funds) at end of year | 2010-12-31 | $19,465,026 |
Value of interest in registered invesment companies (eg mutual funds) at beginning of year | 2010-12-31 | $15,401,151 |
Value of interest in common/collective trusts at end of year | 2010-12-31 | $1,458,920 |
Value of interest in common/collective trusts at beginning of year | 2010-12-31 | $1,049,792 |
Net investment gain/loss from registered investment companies (e.g. mutual funds) | 2010-12-31 | $1,987,021 |
Net investment gain or loss from common/collective trusts | 2010-12-31 | $59,552 |
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets | 2010-12-31 | No |
Was there a failure to transmit to the plan any participant contributions | 2010-12-31 | No |
Has the plan failed to provide any benefit when due under the plan | 2010-12-31 | No |
Contributions received in cash from employer | 2010-12-31 | $4,706 |
Employer contributions (assets) at beginning of year | 2010-12-31 | $1,314,732 |
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers | 2010-12-31 | $1,758,081 |
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-3 | 2010-12-31 | No |
Did the plan have assets held for investment | 2010-12-31 | Yes |
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser | 2010-12-31 | No |
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC | 2010-12-31 | No |
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d) | 2010-12-31 | Yes |
Opinion of an independent qualified public accountant for this plan | 2010-12-31 | Disclaimer |
Accountancy firm name | 2010-12-31 | MOSS ADAMS, LLP |
Accountancy firm EIN | 2010-12-31 | 910189318 |
2009 : STONE & YOUNGBERG 401(K) PLAN 2009 401k financial data |
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Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities | 2009-12-31 | $0 |