401k Plan data: THE BROWNSTEIN GROUP PROFIT SHARING 401(K) PLAN plan

THE BROWNSTEIN GROUP PROFIT SHARING 401(K) PLAN 401k Plan overview

Plan Name	THE BROWNSTEIN GROUP PROFIT SHARING 401(K) PLAN
Plan identification number	001

THE BROWNSTEIN GROUP PROFIT SHARING 401(K) PLAN Benefits

401k Plan Type

Defined Contribution Pension

Plan Features/Benefits

Age/Service Weighted or new comparability or similar plan - Age/Service Weighted Plan: Allocations are based on age, service, or age and service. New comparability or similar plan: Allocations are based on participant classifications and a classification(s) consists entirely or predominantly of highly compensated employees; or the plan provides an additional allocation rate on compensation above a specified threshold, and the theshold or additional rate exceeds the maximum threshold or rate allowed under the permitted disparity rules of section 401(l).
Profit-sharing
ERISA section 404(c) Plan - This plan, or any part of it is intended to meet the conditions of 29 CFR 2550.404c-1.
Total participant-directed account plan - Participants have the opportunity to direct the investment of all the assets allocated to their individual accounts, regardless of whether 29 CFR 2550.404c-1 is intended to be met.
Partial participant-directed account plan - Participants have the opportunity to direct the investment of a portion of the assets allocated to their individual accounts, regardless of whether 29 CFR 2550.404c-1 is intended to be met.
Code section 401(k) feature - A cash or deferred arrangement described in Code section 401(k) that is part of a qualified defined contribution plan that provides for an election by employees to defer part of their compensation or receive these amounts in cash.
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.
Total or partial participant-directed account plan - plan uses default investment account for participants who fail to direct assets in their account.
Plan covering Self-Employed individuals.
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.
Plan sponsor(s) is (are) a member(s) of a controlled group (Code sections 414(b), (c), or (m)).

401k Sponsoring company profile

BROWNSTEIN GROUP, INC. has sponsored the creation of one or more 401k plans.

Company Name: BROWNSTEIN GROUP, INC.

Employer identification number (EIN): 232055594

NAIC Classification: 541800

Form 5500 Filing Information

Submission information for form 5500 for 401k plan THE BROWNSTEIN GROUP PROFIT SHARING 401(K) PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2023-01-01 CAROL PETRO 2024-09-30
001 2022-01-01
001 2021-01-01
001 2020-01-01
001 2019-01-01
001 2018-01-01
001 2017-01-01 CAROL PETRO 2018-06-29
001 2016-01-01 CAROL PETRO 2017-02-23
001 2015-01-01 CAROL PETRO 2016-09-08
001 2014-01-01 JOHN A. STARR 2015-05-13 CAROL PETRO 2015-05-13
001 2013-01-01 CAROL PETRO 2014-09-26
001 2012-01-01 CAROL PETRO 2013-06-26
001 2011-01-01 CAROL PETRO 2012-05-14
001 2010-01-01 BERNARD BROWNSTEIN 2011-06-16

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed	Name of Company Sponsor	Date Sponsor Signed
001	2023-01-01	CAROL PETRO	2024-09-30
001	2022-01-01
001	2021-01-01
001	2020-01-01
001	2019-01-01
001	2018-01-01
001	2017-01-01	CAROL PETRO	2018-06-29
001	2016-01-01	CAROL PETRO	2017-02-23
001	2015-01-01	CAROL PETRO	2016-09-08
001	2014-01-01	JOHN A. STARR	2015-05-13	CAROL PETRO	2015-05-13
001	2013-01-01	CAROL PETRO	2014-09-26
001	2012-01-01	CAROL PETRO	2013-06-26
001	2011-01-01	CAROL PETRO	2012-05-14
001	2010-01-01	BERNARD BROWNSTEIN	2011-06-16

Plan Statistics for THE BROWNSTEIN GROUP PROFIT SHARING 401(K) PLAN

401k plan membership statisitcs for THE BROWNSTEIN GROUP PROFIT SHARING 401(K) PLAN

Measure Date Value
2022: THE BROWNSTEIN GROUP PROFIT SHARING 401(K) PLAN 2022 401k membership
Total participants, beginning-of-year 2022-01-01 112
Total number of active participants reported on line 7a of the Form 5500 2022-01-01 70
Number of retired or separated participants receiving benefits 2022-01-01 0
Number of other retired or separated participants entitled to future benefits 2022-01-01 27
Total of all active and inactive participants 2022-01-01 97
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2022-01-01 0
Total participants 2022-01-01 97
Number of participants with account balances 2022-01-01 93
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2022-01-01 7
2021: THE BROWNSTEIN GROUP PROFIT SHARING 401(K) PLAN 2021 401k membership
Total participants, beginning-of-year 2021-01-01 108
Total number of active participants reported on line 7a of the Form 5500 2021-01-01 64
Number of retired or separated participants receiving benefits 2021-01-01 0
Number of other retired or separated participants entitled to future benefits 2021-01-01 37
Total of all active and inactive participants 2021-01-01 101
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2021-01-01 0
Total participants 2021-01-01 101
Number of participants with account balances 2021-01-01 90
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2021-01-01 10
2020: THE BROWNSTEIN GROUP PROFIT SHARING 401(K) PLAN 2020 401k membership
Total participants, beginning-of-year 2020-01-01 110
Total number of active participants reported on line 7a of the Form 5500 2020-01-01 73
Number of retired or separated participants receiving benefits 2020-01-01 0
Number of other retired or separated participants entitled to future benefits 2020-01-01 30
Total of all active and inactive participants 2020-01-01 103
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2020-01-01 0
Total participants 2020-01-01 103
Number of participants with account balances 2020-01-01 92
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2020-01-01 6
2019: THE BROWNSTEIN GROUP PROFIT SHARING 401(K) PLAN 2019 401k membership
Total participants, beginning-of-year 2019-01-01 110
Total number of active participants reported on line 7a of the Form 5500 2019-01-01 73
Number of retired or separated participants receiving benefits 2019-01-01 1
Number of other retired or separated participants entitled to future benefits 2019-01-01 25
Total of all active and inactive participants 2019-01-01 99
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2019-01-01 0
Total participants 2019-01-01 99
Number of participants with account balances 2019-01-01 89
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2019-01-01 9
2018: THE BROWNSTEIN GROUP PROFIT SHARING 401(K) PLAN 2018 401k membership
Total participants, beginning-of-year 2018-01-01 124
Total number of active participants reported on line 7a of the Form 5500 2018-01-01 71
Number of retired or separated participants receiving benefits 2018-01-01 0
Number of other retired or separated participants entitled to future benefits 2018-01-01 28
Total of all active and inactive participants 2018-01-01 99
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2018-01-01 0
Total participants 2018-01-01 99
Number of participants with account balances 2018-01-01 89
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2018-01-01 5

Measure	Date	Value
2022: THE BROWNSTEIN GROUP PROFIT SHARING 401(K) PLAN 2022 401k membership
Total participants, beginning-of-year	2022-01-01	112
Total number of active participants reported on line 7a of the Form 5500	2022-01-01	70
Number of retired or separated participants receiving benefits	2022-01-01	0
Number of other retired or separated participants entitled to future benefits	2022-01-01	27
Total of all active and inactive participants	2022-01-01	97
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2022-01-01	0
Total participants	2022-01-01	97
Number of participants with account balances	2022-01-01	93
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2022-01-01	7
2021: THE BROWNSTEIN GROUP PROFIT SHARING 401(K) PLAN 2021 401k membership
Total participants, beginning-of-year	2021-01-01	108
Total number of active participants reported on line 7a of the Form 5500	2021-01-01	64
Number of retired or separated participants receiving benefits	2021-01-01	0
Number of other retired or separated participants entitled to future benefits	2021-01-01	37
Total of all active and inactive participants	2021-01-01	101
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2021-01-01	0
Total participants	2021-01-01	101
Number of participants with account balances	2021-01-01	90
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2021-01-01	10
2020: THE BROWNSTEIN GROUP PROFIT SHARING 401(K) PLAN 2020 401k membership
Total participants, beginning-of-year	2020-01-01	110
Total number of active participants reported on line 7a of the Form 5500	2020-01-01	73
Number of retired or separated participants receiving benefits	2020-01-01	0
Number of other retired or separated participants entitled to future benefits	2020-01-01	30
Total of all active and inactive participants	2020-01-01	103
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2020-01-01	0
Total participants	2020-01-01	103
Number of participants with account balances	2020-01-01	92
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2020-01-01	6
2019: THE BROWNSTEIN GROUP PROFIT SHARING 401(K) PLAN 2019 401k membership
Total participants, beginning-of-year	2019-01-01	110
Total number of active participants reported on line 7a of the Form 5500	2019-01-01	73
Number of retired or separated participants receiving benefits	2019-01-01	1
Number of other retired or separated participants entitled to future benefits	2019-01-01	25
Total of all active and inactive participants	2019-01-01	99
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2019-01-01	0
Total participants	2019-01-01	99
Number of participants with account balances	2019-01-01	89
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2019-01-01	9
2018: THE BROWNSTEIN GROUP PROFIT SHARING 401(K) PLAN 2018 401k membership
Total participants, beginning-of-year	2018-01-01	124
Total number of active participants reported on line 7a of the Form 5500	2018-01-01	71
Number of retired or separated participants receiving benefits	2018-01-01	0
Number of other retired or separated participants entitled to future benefits	2018-01-01	28
Total of all active and inactive participants	2018-01-01	99
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2018-01-01	0
Total participants	2018-01-01	99
Number of participants with account balances	2018-01-01	89
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2018-01-01	5

Financial Data on THE BROWNSTEIN GROUP PROFIT SHARING 401(K) PLAN

Measure	Date	Value
2022 : THE BROWNSTEIN GROUP PROFIT SHARING 401(K) PLAN 2022 401k financial data
Total unrealized appreciation/depreciation of assets	2022-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2022-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2022-12-31	$0
Total income from all sources (including contributions)	2022-12-31	$-802,017
Total loss/gain on sale of assets	2022-12-31	$0
Total of all expenses incurred	2022-12-31	$632,940
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2022-12-31	$563,723
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2022-12-31	$904,761
Value of total assets at end of year	2022-12-31	$9,612,789
Value of total assets at beginning of year	2022-12-31	$11,047,746
Total of administrative expenses incurred including professional, contract, advisory and management fees	2022-12-31	$69,217
Total interest from all sources	2022-12-31	$2,603
Total dividends received (eg from common stock, registered investment company shares)	2022-12-31	$242,836
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2022-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2022-12-31	$242,836
Was this plan covered by a fidelity bond	2022-12-31	Yes
Value of fidelity bond cover	2022-12-31	$500,000
If this is an individual account plan, was there a blackout period	2022-12-31	No
Were there any nonexempt tranactions with any party-in-interest	2022-12-31	No
Contributions received from participants	2022-12-31	$537,105
Participant contributions at end of year	2022-12-31	$43,663
Participant contributions at beginning of year	2022-12-31	$71,412
Income. Received or receivable in cash from other sources (including rollovers)	2022-12-31	$49,325
Value of other receiveables (less allowance for doubtful accounts) at end of year	2022-12-31	$5,821
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2022-12-31	$5,015
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2022-12-31	No
Value of net income/loss	2022-12-31	$-1,434,957
Value of net assets at end of year (total assets less liabilities)	2022-12-31	$9,612,789
Value of net assets at beginning of year (total assets less liabilities)	2022-12-31	$11,047,746
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2022-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2022-12-31	No
Were any leases to which the plan was party in default or uncollectible	2022-12-31	No
Investment advisory and management fees	2022-12-31	$69,217
Value of interest in registered invesment companies (eg mutual funds) at end of year	2022-12-31	$9,428,583
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2022-12-31	$10,881,422
Interest on participant loans	2022-12-31	$2,603
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2022-12-31	$134,722
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2022-12-31	$89,897
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2022-12-31	$-1,952,217
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2022-12-31	No
Was there a failure to transmit to the plan any participant contributions	2022-12-31	Yes
Has the plan failed to provide any benefit when due under the plan	2022-12-31	No
Contributions received in cash from employer	2022-12-31	$318,331
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2022-12-31	$563,723
Did the plan have assets held for investment	2022-12-31	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	2022-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2022-12-31	No
Opinion of an independent qualified public accountant for this plan	2022-12-31	Unqualified
Accountancy firm name	2022-12-31	EISNERAMPER LLP
Accountancy firm EIN	2022-12-31	871363769
2021 : THE BROWNSTEIN GROUP PROFIT SHARING 401(K) PLAN 2021 401k financial data
Total unrealized appreciation/depreciation of assets	2021-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2021-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2021-12-31	$0
Total income from all sources (including contributions)	2021-12-31	$2,186,674
Total loss/gain on sale of assets	2021-12-31	$0
Total of all expenses incurred	2021-12-31	$933,532
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2021-12-31	$821,704
Value of total corrective distributions	2021-12-31	$41,961
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2021-12-31	$802,102
Value of total assets at end of year	2021-12-31	$11,047,746
Value of total assets at beginning of year	2021-12-31	$9,794,604
Total of administrative expenses incurred including professional, contract, advisory and management fees	2021-12-31	$69,867
Total interest from all sources	2021-12-31	$3,395
Total dividends received (eg from common stock, registered investment company shares)	2021-12-31	$872,833
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2021-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2021-12-31	$872,833
Was this plan covered by a fidelity bond	2021-12-31	Yes
Value of fidelity bond cover	2021-12-31	$500,000
If this is an individual account plan, was there a blackout period	2021-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2021-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2021-12-31	No
Contributions received from participants	2021-12-31	$453,081
Participant contributions at end of year	2021-12-31	$71,412
Participant contributions at beginning of year	2021-12-31	$80,197
Value of other receiveables (less allowance for doubtful accounts) at end of year	2021-12-31	$5,015
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2021-12-31	$4,930
Other income not declared elsewhere	2021-12-31	$802
Total non interest bearing cash at end of year	2021-12-31	$0
Total non interest bearing cash at beginning of year	2021-12-31	$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2021-12-31	No
Value of net income/loss	2021-12-31	$1,253,142
Value of net assets at end of year (total assets less liabilities)	2021-12-31	$11,047,746
Value of net assets at beginning of year (total assets less liabilities)	2021-12-31	$9,794,604
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2021-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2021-12-31	No
Were any leases to which the plan was party in default or uncollectible	2021-12-31	No
Investment advisory and management fees	2021-12-31	$69,867
Value of interest in registered invesment companies (eg mutual funds) at end of year	2021-12-31	$10,881,422
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2021-12-31	$9,631,586
Interest on participant loans	2021-12-31	$3,395
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2021-12-31	$0
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2021-12-31	$0
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2021-12-31	$0
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2021-12-31	$89,897
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2021-12-31	$77,891
Asset value of US Government securities at end of year	2021-12-31	$0
Asset value of US Government securities at beginning of year	2021-12-31	$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2021-12-31	$507,542
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2021-12-31	No
Was there a failure to transmit to the plan any participant contributions	2021-12-31	No
Has the plan failed to provide any benefit when due under the plan	2021-12-31	No
Contributions received in cash from employer	2021-12-31	$349,021
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2021-12-31	$821,704
Asset. Corporate debt instrument debt (other) at end of year	2021-12-31	$0
Asset. Corporate debt instrument debt (other) at beginning of year	2021-12-31	$0
Did the plan have assets held for investment	2021-12-31	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	2021-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2021-12-31	No
Opinion of an independent qualified public accountant for this plan	2021-12-31	Unqualified
Accountancy firm name	2021-12-31	EISNERAMPER LLP
Accountancy firm EIN	2021-12-31	871363769
2020 : THE BROWNSTEIN GROUP PROFIT SHARING 401(K) PLAN 2020 401k financial data
Total unrealized appreciation/depreciation of assets	2020-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2020-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2020-12-31	$0
Total income from all sources (including contributions)	2020-12-31	$2,103,034
Total loss/gain on sale of assets	2020-12-31	$0
Total of all expenses incurred	2020-12-31	$300,501
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2020-12-31	$239,324
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2020-12-31	$844,594
Value of total assets at end of year	2020-12-31	$9,794,604
Value of total assets at beginning of year	2020-12-31	$7,992,071
Total of administrative expenses incurred including professional, contract, advisory and management fees	2020-12-31	$61,177
Total interest from all sources	2020-12-31	$3,293
Total dividends received (eg from common stock, registered investment company shares)	2020-12-31	$266,170
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2020-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2020-12-31	$266,170
Administrative expenses professional fees incurred	2020-12-31	$35,599
Was this plan covered by a fidelity bond	2020-12-31	Yes
Value of fidelity bond cover	2020-12-31	$500,000
If this is an individual account plan, was there a blackout period	2020-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2020-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2020-12-31	No
Contributions received from participants	2020-12-31	$461,155
Participant contributions at end of year	2020-12-31	$80,197
Participant contributions at beginning of year	2020-12-31	$58,832
Income. Received or receivable in cash from other sources (including rollovers)	2020-12-31	$10,021
Value of other receiveables (less allowance for doubtful accounts) at end of year	2020-12-31	$4,930
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2020-12-31	$4,563
Other income not declared elsewhere	2020-12-31	$1,827
Total non interest bearing cash at end of year	2020-12-31	$0
Total non interest bearing cash at beginning of year	2020-12-31	$815
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2020-12-31	No
Value of net income/loss	2020-12-31	$1,802,533
Value of net assets at end of year (total assets less liabilities)	2020-12-31	$9,794,604
Value of net assets at beginning of year (total assets less liabilities)	2020-12-31	$7,992,071
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2020-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2020-12-31	No
Were any leases to which the plan was party in default or uncollectible	2020-12-31	No
Investment advisory and management fees	2020-12-31	$25,578
Value of interest in registered invesment companies (eg mutual funds) at end of year	2020-12-31	$9,631,586
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2020-12-31	$7,284,951
Interest on participant loans	2020-12-31	$3,293
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2020-12-31	$0
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2020-12-31	$297,808
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2020-12-31	$297,808
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2020-12-31	$77,891
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2020-12-31	$30,240
Asset value of US Government securities at end of year	2020-12-31	$0
Asset value of US Government securities at beginning of year	2020-12-31	$78,535
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2020-12-31	$987,150
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2020-12-31	No
Was there a failure to transmit to the plan any participant contributions	2020-12-31	No
Has the plan failed to provide any benefit when due under the plan	2020-12-31	No
Contributions received in cash from employer	2020-12-31	$373,418
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2020-12-31	$239,324
Asset. Corporate debt instrument debt (other) at end of year	2020-12-31	$0
Asset. Corporate debt instrument debt (other) at beginning of year	2020-12-31	$236,327
Did the plan have assets held for investment	2020-12-31	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	2020-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2020-12-31	No
Opinion of an independent qualified public accountant for this plan	2020-12-31	Disclaimer
Accountancy firm name	2020-12-31	EISNERAMPER LLP
Accountancy firm EIN	2020-12-31	131639826
2019 : THE BROWNSTEIN GROUP PROFIT SHARING 401(K) PLAN 2019 401k financial data
Total unrealized appreciation/depreciation of assets	2019-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2019-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2019-12-31	$0
Total income from all sources (including contributions)	2019-12-31	$2,181,798
Total loss/gain on sale of assets	2019-12-31	$0
Total of all expenses incurred	2019-12-31	$845,490
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2019-12-31	$782,518
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2019-12-31	$787,520
Value of total assets at end of year	2019-12-31	$7,992,071
Value of total assets at beginning of year	2019-12-31	$6,655,763
Total of administrative expenses incurred including professional, contract, advisory and management fees	2019-12-31	$62,972
Total interest from all sources	2019-12-31	$1,888
Total dividends received (eg from common stock, registered investment company shares)	2019-12-31	$229,306
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2019-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2019-12-31	$229,306
Administrative expenses professional fees incurred	2019-12-31	$62,972
Was this plan covered by a fidelity bond	2019-12-31	Yes
Value of fidelity bond cover	2019-12-31	$500,000
If this is an individual account plan, was there a blackout period	2019-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2019-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2019-12-31	No
Contributions received from participants	2019-12-31	$431,337
Participant contributions at end of year	2019-12-31	$58,832
Participant contributions at beginning of year	2019-12-31	$43,979
Income. Received or receivable in cash from other sources (including rollovers)	2019-12-31	$32,149
Value of other receiveables (less allowance for doubtful accounts) at end of year	2019-12-31	$4,563
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2019-12-31	$3,172
Other income not declared elsewhere	2019-12-31	$823
Total non interest bearing cash at end of year	2019-12-31	$815
Total non interest bearing cash at beginning of year	2019-12-31	$877
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2019-12-31	No
Value of net income/loss	2019-12-31	$1,336,308
Value of net assets at end of year (total assets less liabilities)	2019-12-31	$7,992,071
Value of net assets at beginning of year (total assets less liabilities)	2019-12-31	$6,655,763
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2019-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2019-12-31	No
Were any leases to which the plan was party in default or uncollectible	2019-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2019-12-31	$7,284,951
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2019-12-31	$6,097,318
Interest on participant loans	2019-12-31	$1,888
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2019-12-31	$297,808
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2019-12-31	$169,343
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2019-12-31	$169,343
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2019-12-31	$30,240
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2019-12-31	$101,953
Asset value of US Government securities at end of year	2019-12-31	$78,535
Asset value of US Government securities at beginning of year	2019-12-31	$154,768
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2019-12-31	$1,162,261
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2019-12-31	No
Was there a failure to transmit to the plan any participant contributions	2019-12-31	No
Has the plan failed to provide any benefit when due under the plan	2019-12-31	No
Contributions received in cash from employer	2019-12-31	$324,034
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2019-12-31	$782,518
Asset. Corporate debt instrument debt (other) at end of year	2019-12-31	$236,327
Asset. Corporate debt instrument debt (other) at beginning of year	2019-12-31	$84,353
Did the plan have assets held for investment	2019-12-31	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	2019-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2019-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2019-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2019-12-31	Disclaimer
Accountancy firm name	2019-12-31	EISNERAMPER LLP
Accountancy firm EIN	2019-12-31	131639826
2018 : THE BROWNSTEIN GROUP PROFIT SHARING 401(K) PLAN 2018 401k financial data
Total unrealized appreciation/depreciation of assets	2018-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2018-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2018-12-31	$0
Total income from all sources (including contributions)	2018-12-31	$324,775
Total loss/gain on sale of assets	2018-12-31	$0
Total of all expenses incurred	2018-12-31	$543,083
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2018-12-31	$481,765
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2018-12-31	$727,163
Value of total assets at end of year	2018-12-31	$6,655,763
Value of total assets at beginning of year	2018-12-31	$6,874,071
Total of administrative expenses incurred including professional, contract, advisory and management fees	2018-12-31	$61,318
Total interest from all sources	2018-12-31	$2,742
Total dividends received (eg from common stock, registered investment company shares)	2018-12-31	$181,312
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2018-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2018-12-31	$181,312
Administrative expenses professional fees incurred	2018-12-31	$36,573
Was this plan covered by a fidelity bond	2018-12-31	Yes
Value of fidelity bond cover	2018-12-31	$500,000
If this is an individual account plan, was there a blackout period	2018-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2018-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2018-12-31	No
Contributions received from participants	2018-12-31	$405,151
Participant contributions at end of year	2018-12-31	$43,979
Participant contributions at beginning of year	2018-12-31	$61,390
Income. Received or receivable in cash from other sources (including rollovers)	2018-12-31	$66,736
Value of other receiveables (less allowance for doubtful accounts) at end of year	2018-12-31	$3,172
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2018-12-31	$2,754
Other income not declared elsewhere	2018-12-31	$1,287
Total non interest bearing cash at end of year	2018-12-31	$877
Total non interest bearing cash at beginning of year	2018-12-31	$947
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2018-12-31	No
Value of net income/loss	2018-12-31	$-218,308
Value of net assets at end of year (total assets less liabilities)	2018-12-31	$6,655,763
Value of net assets at beginning of year (total assets less liabilities)	2018-12-31	$6,874,071
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2018-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2018-12-31	No
Were any leases to which the plan was party in default or uncollectible	2018-12-31	No
Investment advisory and management fees	2018-12-31	$24,745
Value of interest in registered invesment companies (eg mutual funds) at end of year	2018-12-31	$6,097,318
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2018-12-31	$6,158,263
Interest on participant loans	2018-12-31	$2,742
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2018-12-31	$169,343
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2018-12-31	$178,933
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2018-12-31	$178,933
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2018-12-31	$101,953
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2018-12-31	$136,799
Asset value of US Government securities at end of year	2018-12-31	$154,768
Asset value of US Government securities at beginning of year	2018-12-31	$30,183
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2018-12-31	$-587,729
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2018-12-31	No
Was there a failure to transmit to the plan any participant contributions	2018-12-31	No
Has the plan failed to provide any benefit when due under the plan	2018-12-31	No
Contributions received in cash from employer	2018-12-31	$255,276
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2018-12-31	$481,765
Asset. Corporate debt instrument debt (other) at end of year	2018-12-31	$84,353
Asset. Corporate debt instrument debt (other) at beginning of year	2018-12-31	$193,320
Assets. Corporate common stocks other than exployer securities at end of year	2018-12-31	$0
Assets. Corporate common stocks other than exployer securities at beginning of year	2018-12-31	$111,482
Did the plan have assets held for investment	2018-12-31	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	2018-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2018-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2018-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2018-12-31	Disclaimer
Accountancy firm name	2018-12-31	EISNERAMPER LLP
Accountancy firm EIN	2018-12-31	131639826

Form 5500 Responses for THE BROWNSTEIN GROUP PROFIT SHARING 401(K) PLAN

2022: THE BROWNSTEIN GROUP PROFIT SHARING 401(K) PLAN 2022 form 5500 responses
2022-01-01	Type of plan entity	Single employer plan
2022-01-01	Submission has been amended	No
2022-01-01	This submission is the final filing	No
2022-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2022-01-01	Plan is a collectively bargained plan	No
2022-01-01	Plan funding arrangement – Insurance	Yes
2022-01-01	Plan funding arrangement – Trust	Yes
2022-01-01	Plan benefit arrangement - Trust	Yes
2021: THE BROWNSTEIN GROUP PROFIT SHARING 401(K) PLAN 2021 form 5500 responses
2021-01-01	Type of plan entity	Single employer plan
2021-01-01	Submission has been amended	No
2021-01-01	This submission is the final filing	No
2021-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2021-01-01	Plan is a collectively bargained plan	No
2021-01-01	Plan funding arrangement – Insurance	Yes
2021-01-01	Plan funding arrangement – Trust	Yes
2021-01-01	Plan benefit arrangement - Trust	Yes
2020: THE BROWNSTEIN GROUP PROFIT SHARING 401(K) PLAN 2020 form 5500 responses
2020-01-01	Type of plan entity	Single employer plan
2020-01-01	Submission has been amended	No
2020-01-01	This submission is the final filing	No
2020-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2020-01-01	Plan is a collectively bargained plan	No
2020-01-01	Plan funding arrangement – Insurance	Yes
2020-01-01	Plan funding arrangement – Trust	Yes
2020-01-01	Plan benefit arrangement - Trust	Yes
2019: THE BROWNSTEIN GROUP PROFIT SHARING 401(K) PLAN 2019 form 5500 responses
2019-01-01	Type of plan entity	Single employer plan
2019-01-01	Submission has been amended	No
2019-01-01	This submission is the final filing	No
2019-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2019-01-01	Plan is a collectively bargained plan	No
2019-01-01	Plan funding arrangement – Insurance	Yes
2019-01-01	Plan funding arrangement – Trust	Yes
2019-01-01	Plan benefit arrangement - Trust	Yes
2018: THE BROWNSTEIN GROUP PROFIT SHARING 401(K) PLAN 2018 form 5500 responses
2018-01-01	Type of plan entity	Single employer plan
2018-01-01	Submission has been amended	No
2018-01-01	This submission is the final filing	No
2018-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2018-01-01	Plan is a collectively bargained plan	No
2018-01-01	Plan funding arrangement – Insurance	Yes
2018-01-01	Plan funding arrangement – Trust	Yes
2018-01-01	Plan benefit arrangement - Trust	Yes

Insurance Providers Used on plan

GREAT-WEST LIFE & ANNUITY INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 68322 )

Policy contract number

370872-01

Policy instance

Insurance contract or identification number	370872-01
Number of Individuals Covered	6
Insurance policy start date	2022-01-01
Insurance policy end date	2022-12-31
Total amount of commissions paid to insurance broker	USD $547
Total amount of fees paid to insurance company	USD $0
Are there contracts with allocated funds for individual policies?	0
Are there contracts with allocated funds for group deferred annuity?	No
Are there contracts with allocated funds for types other than group deferred annuity or individual?	No
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Contracts With Unallocated Funds Deposit Administration	0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?	No
Are there contracts with unallocated funds for contracts of type guaranteed investment?	No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	Yes
Health Insurance Welfare Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
Were dividends or retroactive rate refunds paid in cash?	No
Were dividends or retroactive rate refunds paid as a credit?	No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No
Commission paid to Insurance Broker	USD $547
Insurance broker organization code?	3

GREAT-WEST LIFE & ANNUITY INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 68322 )

Policy contract number

370872-01

Policy instance

Insurance contract or identification number	370872-01
Number of Individuals Covered	5
Insurance policy start date	2021-01-01
Insurance policy end date	2021-12-31
Total amount of commissions paid to insurance broker	USD $346
Total amount of fees paid to insurance company	USD $0
Are there contracts with allocated funds for individual policies?	0
Are there contracts with allocated funds for group deferred annuity?	No
Are there contracts with allocated funds for types other than group deferred annuity or individual?	No
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Contracts With Unallocated Funds Deposit Administration	0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?	No
Are there contracts with unallocated funds for contracts of type guaranteed investment?	No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	Yes
Health Insurance Welfare Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
Were dividends or retroactive rate refunds paid in cash?	No
Were dividends or retroactive rate refunds paid as a credit?	No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No
Commission paid to Insurance Broker	USD $346
Insurance broker organization code?	3

GREAT-WEST LIFE & ANNUITY INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 68322 )

Policy contract number

370872-01

Policy instance

Insurance contract or identification number	370872-01
Number of Individuals Covered	103
Insurance policy start date	2020-01-01
Insurance policy end date	2020-12-31
Total amount of commissions paid to insurance broker	USD $276
Total amount of fees paid to insurance company	USD $0
Are there contracts with allocated funds for individual policies?	0
Are there contracts with allocated funds for group deferred annuity?	No
Are there contracts with allocated funds for types other than group deferred annuity or individual?	No
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Contracts With Unallocated Funds Deposit Administration	0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?	No
Are there contracts with unallocated funds for contracts of type guaranteed investment?	No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	Yes
Health Insurance Welfare Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
Were dividends or retroactive rate refunds paid in cash?	No
Were dividends or retroactive rate refunds paid as a credit?	No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No
Commission paid to Insurance Broker	USD $276
Insurance broker organization code?	3

GREAT-WEST LIFE & ANNUITY INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 68322 )

Policy contract number

370872-01

Policy instance

Insurance contract or identification number	370872-01
Number of Individuals Covered	99
Insurance policy start date	2019-01-01
Insurance policy end date	2019-12-31
Total amount of commissions paid to insurance broker	USD $138
Total amount of fees paid to insurance company	USD $0
Are there contracts with allocated funds for individual policies?	0
Are there contracts with allocated funds for group deferred annuity?	No
Are there contracts with allocated funds for types other than group deferred annuity or individual?	No
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Contracts With Unallocated Funds Deposit Administration	0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?	No
Are there contracts with unallocated funds for contracts of type guaranteed investment?	No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	Yes
Health Insurance Welfare Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
Were dividends or retroactive rate refunds paid in cash?	No
Were dividends or retroactive rate refunds paid as a credit?	No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No
Commission paid to Insurance Broker	USD $138
Insurance broker organization code?	3

GREAT-WEST LIFE & ANNUITY INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 68322 )

Policy contract number

370872-01

Policy instance

Insurance contract or identification number	117300
Number of Individuals Covered	497
Insurance policy start date	2017-01-01
Insurance policy end date	2017-12-31
Total amount of commissions paid to insurance broker	USD $0
Total amount of fees paid to insurance company	USD $0
Are there contracts with allocated funds for individual policies?	0
Are there contracts with allocated funds for group deferred annuity?	No
Are there contracts with allocated funds for types other than group deferred annuity or individual?	No
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Contracts With Unallocated Funds Deposit Administration	0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?	No
Are there contracts with unallocated funds for contracts of type guaranteed investment?	No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	No
Health Insurance Welfare Benefit	Yes
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
Were dividends or retroactive rate refunds paid in cash?	No
Were dividends or retroactive rate refunds paid as a credit?	No
Welfare Benefit Premiums Paid to Carrier	USD $2,545,038
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No
Insurance broker organization code?	3
Commission paid to Insurance Broker	USD $541

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Company Name:	BROWNSTEIN GROUP, INC.
Employer identification number (EIN):	232055594
NAIC Classification:	541800