401k Plan data: R. O. WHITESELL AND ASSOC, INC. EMPLOYEES' RETIREMENT PLAN plan

R. O. WHITESELL AND ASSOC, INC. EMPLOYEES' RETIREMENT PLAN 401k Plan overview

Plan Name	R. O. WHITESELL AND ASSOC, INC. EMPLOYEES' RETIREMENT PLAN
Plan identification number	001

R. O. WHITESELL AND ASSOC, INC. EMPLOYEES' RETIREMENT PLAN Benefits

401k Plan Type

Defined 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

R.O. WHITESELL & ASSOCIATES, INC. has sponsored the creation of one or more 401k plans.

Company Name: R.O. WHITESELL & ASSOCIATES, INC.

Employer identification number (EIN): 351998487

NAIC Classification: 423600

Form 5500 Filing Information

Submission information for form 5500 for 401k plan R. O. WHITESELL AND ASSOC, INC. EMPLOYEES' RETIREMENT PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2023-01-01
001 2022-01-01
001 2021-01-01
001 2020-01-01
001 2019-01-01
001 2018-01-01 STEPHEN M. UNDERHILL 2019-07-10 STEPHEN M. UNDERHILL 2019-07-10
001 2017-01-01 STEPHEN UNDERHILL 2018-09-10
001 2016-01-01 STEPHEN UNDERHILL 2017-07-19
001 2015-01-01 STEPHEN UNDERHILL 2016-07-13 STEPHEN UNDERHILL 2016-07-13
001 2014-01-01 STEPHEN UNDERHILL 2015-06-23
001 2013-01-01 STEPHEN UNDERHILL 2014-07-22
001 2012-01-01 STEPHEN M UNDERHILL 2013-08-27
001 2011-01-01 STEPHEN M UNDERHILL 2012-07-23
001 2010-01-01 STEPHEN M. UNDERHILL 2011-07-28

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed	Name of Company Sponsor	Date Sponsor Signed
001	2023-01-01
001	2022-01-01
001	2021-01-01
001	2020-01-01
001	2019-01-01
001	2018-01-01	STEPHEN M. UNDERHILL	2019-07-10	STEPHEN M. UNDERHILL	2019-07-10
001	2017-01-01	STEPHEN UNDERHILL	2018-09-10
001	2016-01-01	STEPHEN UNDERHILL	2017-07-19
001	2015-01-01	STEPHEN UNDERHILL	2016-07-13	STEPHEN UNDERHILL	2016-07-13
001	2014-01-01	STEPHEN UNDERHILL	2015-06-23
001	2013-01-01	STEPHEN UNDERHILL	2014-07-22
001	2012-01-01	STEPHEN M UNDERHILL	2013-08-27
001	2011-01-01	STEPHEN M UNDERHILL	2012-07-23
001	2010-01-01	STEPHEN M. UNDERHILL	2011-07-28

Plan Statistics for R. O. WHITESELL AND ASSOC, INC. EMPLOYEES' RETIREMENT PLAN

401k plan membership statisitcs for R. O. WHITESELL AND ASSOC, INC. EMPLOYEES' RETIREMENT PLAN

Measure Date Value
2023: R. O. WHITESELL AND ASSOC, INC. EMPLOYEES' RETIREMENT PLAN 2023 401k membership
Total participants, beginning-of-year 2023-01-01 37
Total number of active participants reported on line 7a of the Form 5500 2023-01-01 34
Number of retired or separated participants receiving benefits 2023-01-01 6
Number of other retired or separated participants entitled to future benefits 2023-01-01 2
Total of all active and inactive participants 2023-01-01 42
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2023-01-01 0
Total participants 2023-01-01 42
Number of participants with account balances 2023-01-01 36
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2023-01-01 0
2022: R. O. WHITESELL AND ASSOC, INC. EMPLOYEES' RETIREMENT PLAN 2022 401k membership
Total participants, beginning-of-year 2022-01-01 36
Total number of active participants reported on line 7a of the Form 5500 2022-01-01 31
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 6
Total of all active and inactive participants 2022-01-01 37
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2022-01-01 0
Total participants 2022-01-01 37
Number of participants with account balances 2022-01-01 36
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2022-01-01 0
2021: R. O. WHITESELL AND ASSOC, INC. EMPLOYEES' RETIREMENT PLAN 2021 401k membership
Total participants, beginning-of-year 2021-01-01 41
Total number of active participants reported on line 7a of the Form 5500 2021-01-01 32
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 4
Total of all active and inactive participants 2021-01-01 36
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2021-01-01 0
Total participants 2021-01-01 36
Number of participants with account balances 2021-01-01 36
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2021-01-01 0
2020: R. O. WHITESELL AND ASSOC, INC. EMPLOYEES' RETIREMENT PLAN 2020 401k membership
Total participants, beginning-of-year 2020-01-01 43
Total number of active participants reported on line 7a of the Form 5500 2020-01-01 37
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 4
Total of all active and inactive participants 2020-01-01 41
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2020-01-01 0
Total participants 2020-01-01 41
Number of participants with account balances 2020-01-01 38
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2020-01-01 0
2019: R. O. WHITESELL AND ASSOC, INC. EMPLOYEES' RETIREMENT PLAN 2019 401k membership
Total participants, beginning-of-year 2019-01-01 50
Total number of active participants reported on line 7a of the Form 5500 2019-01-01 38
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 4
Total of all active and inactive participants 2019-01-01 43
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2019-01-01 0
Total participants 2019-01-01 43
Number of participants with account balances 2019-01-01 42
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2019-01-01 0

Measure	Date	Value
2023: R. O. WHITESELL AND ASSOC, INC. EMPLOYEES' RETIREMENT PLAN 2023 401k membership
Total participants, beginning-of-year	2023-01-01	37
Total number of active participants reported on line 7a of the Form 5500	2023-01-01	34
Number of retired or separated participants receiving benefits	2023-01-01	6
Number of other retired or separated participants entitled to future benefits	2023-01-01	2
Total of all active and inactive participants	2023-01-01	42
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2023-01-01	0
Total participants	2023-01-01	42
Number of participants with account balances	2023-01-01	36
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2023-01-01	0
2022: R. O. WHITESELL AND ASSOC, INC. EMPLOYEES' RETIREMENT PLAN 2022 401k membership
Total participants, beginning-of-year	2022-01-01	36
Total number of active participants reported on line 7a of the Form 5500	2022-01-01	31
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	6
Total of all active and inactive participants	2022-01-01	37
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2022-01-01	0
Total participants	2022-01-01	37
Number of participants with account balances	2022-01-01	36
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2022-01-01	0
2021: R. O. WHITESELL AND ASSOC, INC. EMPLOYEES' RETIREMENT PLAN 2021 401k membership
Total participants, beginning-of-year	2021-01-01	41
Total number of active participants reported on line 7a of the Form 5500	2021-01-01	32
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	4
Total of all active and inactive participants	2021-01-01	36
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2021-01-01	0
Total participants	2021-01-01	36
Number of participants with account balances	2021-01-01	36
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2021-01-01	0
2020: R. O. WHITESELL AND ASSOC, INC. EMPLOYEES' RETIREMENT PLAN 2020 401k membership
Total participants, beginning-of-year	2020-01-01	43
Total number of active participants reported on line 7a of the Form 5500	2020-01-01	37
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	4
Total of all active and inactive participants	2020-01-01	41
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2020-01-01	0
Total participants	2020-01-01	41
Number of participants with account balances	2020-01-01	38
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2020-01-01	0
2019: R. O. WHITESELL AND ASSOC, INC. EMPLOYEES' RETIREMENT PLAN 2019 401k membership
Total participants, beginning-of-year	2019-01-01	50
Total number of active participants reported on line 7a of the Form 5500	2019-01-01	38
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	4
Total of all active and inactive participants	2019-01-01	43
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2019-01-01	0
Total participants	2019-01-01	43
Number of participants with account balances	2019-01-01	42
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2019-01-01	0

Financial Data on R. O. WHITESELL AND ASSOC, INC. EMPLOYEES' RETIREMENT PLAN

Measure	Date	Value
2023 : R. O. WHITESELL AND ASSOC, INC. EMPLOYEES' RETIREMENT PLAN 2023 401k financial data
Total plan liabilities at end of year	2023-12-31	$0
Total plan liabilities at beginning of year	2023-12-31	$0
Total income from all sources	2023-12-31	$2,096,842
Expenses. Total of all expenses incurred	2023-12-31	$743,095
Benefits paid (including direct rollovers)	2023-12-31	$713,015
Total plan assets at end of year	2023-12-31	$9,396,701
Total plan assets at beginning of year	2023-12-31	$8,042,954
Value of fidelity bond covering the plan	2023-12-31	$500,000
Total contributions received or receivable from participants	2023-12-31	$242,680
Expenses. Other expenses not covered elsewhere	2023-12-31	$0
Contributions received from other sources (not participants or employers)	2023-12-31	$0
Other income received	2023-12-31	$1,761,680
Noncash contributions received	2023-12-31	$0
Net income (gross income less expenses)	2023-12-31	$1,353,747
Net plan assets at end of year (total assets less liabilities)	2023-12-31	$9,396,701
Net plan assets at beginning of year (total assets less liabilities)	2023-12-31	$8,042,954
Total contributions received or receivable from employer(s)	2023-12-31	$92,482
Value of certain deemed distributions of participant loans	2023-12-31	$30,080
Value of corrective distributions	2023-12-31	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2023-12-31	$0
2022 : R. O. WHITESELL AND ASSOC, INC. EMPLOYEES' RETIREMENT PLAN 2022 401k financial data
Transfers to/from the plan	2022-12-31	$0
Total plan liabilities at end of year	2022-12-31	$0
Total plan liabilities at beginning of year	2022-12-31	$0
Total income from all sources	2022-12-31	$-1,862,714
Expenses. Total of all expenses incurred	2022-12-31	$1,591,717
Benefits paid (including direct rollovers)	2022-12-31	$1,558,359
Total plan assets at end of year	2022-12-31	$8,042,954
Total plan assets at beginning of year	2022-12-31	$11,497,385
Value of fidelity bond covering the plan	2022-12-31	$500,000
Total contributions received or receivable from participants	2022-12-31	$259,523
Expenses. Other expenses not covered elsewhere	2022-12-31	$0
Contributions received from other sources (not participants or employers)	2022-12-31	$0
Other income received	2022-12-31	$-2,170,099
Noncash contributions received	2022-12-31	$0
Net income (gross income less expenses)	2022-12-31	$-3,454,431
Net plan assets at end of year (total assets less liabilities)	2022-12-31	$8,042,954
Net plan assets at beginning of year (total assets less liabilities)	2022-12-31	$11,497,385
Total contributions received or receivable from employer(s)	2022-12-31	$47,862
Value of certain deemed distributions of participant loans	2022-12-31	$0
Value of corrective distributions	2022-12-31	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2022-12-31	$33,358
2021 : R. O. WHITESELL AND ASSOC, INC. EMPLOYEES' RETIREMENT PLAN 2021 401k financial data
Transfers to/from the plan	2021-12-31	$0
Total plan liabilities at end of year	2021-12-31	$0
Total plan liabilities at beginning of year	2021-12-31	$0
Total income from all sources	2021-12-31	$2,129,761
Expenses. Total of all expenses incurred	2021-12-31	$1,291,062
Benefits paid (including direct rollovers)	2021-12-31	$1,253,344
Total plan assets at end of year	2021-12-31	$11,497,385
Total plan assets at beginning of year	2021-12-31	$10,658,686
Value of fidelity bond covering the plan	2021-12-31	$500,000
Assets. Value of tangible personal property	2021-12-31	$0
Total contributions received or receivable from participants	2021-12-31	$320,625
Assets. Value of loans (other than to participants)	2021-12-31	$0
Expenses. Other expenses not covered elsewhere	2021-12-31	$0
Contributions received from other sources (not participants or employers)	2021-12-31	$0
Other income received	2021-12-31	$1,809,136
Noncash contributions received	2021-12-31	$0
Net income (gross income less expenses)	2021-12-31	$838,699
Net plan assets at end of year (total assets less liabilities)	2021-12-31	$11,497,385
Net plan assets at beginning of year (total assets less liabilities)	2021-12-31	$10,658,686
Assets. Value of participant loans	2021-12-31	$0
Assets. Value of assets in partnership/joint-venture interests	2021-12-31	$0
Assets. Value of real-estate (other than employer real property)	2021-12-31	$0
Value of participant contributions where there was a failure to transmit these to the plan within the time period described in 29 CFR 2510.3-102	2021-12-31	$0
Assets. Value of employer securities	2021-12-31	$0
Assets. Value of employer real property	2021-12-31	$0
Total contributions received or receivable from employer(s)	2021-12-31	$0
Value of certain deemed distributions of participant loans	2021-12-31	$0
Value of corrective distributions	2021-12-31	$868
Expenses. Administrative service providers (salaries,fees and commissions)	2021-12-31	$36,850
2020 : R. O. WHITESELL AND ASSOC, INC. EMPLOYEES' RETIREMENT PLAN 2020 401k financial data
Transfers to/from the plan	2020-12-31	$0
Total plan liabilities at end of year	2020-12-31	$0
Total plan liabilities at beginning of year	2020-12-31	$0
Total income from all sources	2020-12-31	$2,635,123
Expenses. Total of all expenses incurred	2020-12-31	$2,228,388
Benefits paid (including direct rollovers)	2020-12-31	$2,194,896
Total plan assets at end of year	2020-12-31	$10,658,686
Total plan assets at beginning of year	2020-12-31	$10,251,951
Value of fidelity bond covering the plan	2020-12-31	$500,000
Assets. Value of tangible personal property	2020-12-31	$0
Total contributions received or receivable from participants	2020-12-31	$290,002
Assets. Value of loans (other than to participants)	2020-12-31	$0
Expenses. Other expenses not covered elsewhere	2020-12-31	$0
Contributions received from other sources (not participants or employers)	2020-12-31	$0
Other income received	2020-12-31	$2,296,578
Noncash contributions received	2020-12-31	$0
Net income (gross income less expenses)	2020-12-31	$406,735
Net plan assets at end of year (total assets less liabilities)	2020-12-31	$10,658,686
Net plan assets at beginning of year (total assets less liabilities)	2020-12-31	$10,251,951
Assets. Value of participant loans	2020-12-31	$0
Assets. Value of assets in partnership/joint-venture interests	2020-12-31	$0
Assets. Value of real-estate (other than employer real property)	2020-12-31	$0
Value of participant contributions where there was a failure to transmit these to the plan within the time period described in 29 CFR 2510.3-102	2020-12-31	$0
Assets. Value of employer securities	2020-12-31	$0
Assets. Value of employer real property	2020-12-31	$0
Total contributions received or receivable from employer(s)	2020-12-31	$48,543
Value of certain deemed distributions of participant loans	2020-12-31	$0
Value of corrective distributions	2020-12-31	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2020-12-31	$33,492
2019 : R. O. WHITESELL AND ASSOC, INC. EMPLOYEES' RETIREMENT PLAN 2019 401k financial data
Transfers to/from the plan	2019-12-31	$0
Total plan liabilities at end of year	2019-12-31	$0
Total plan liabilities at beginning of year	2019-12-31	$0
Total income from all sources	2019-12-31	$2,684,516
Expenses. Total of all expenses incurred	2019-12-31	$1,888,067
Benefits paid (including direct rollovers)	2019-12-31	$1,859,581
Total plan assets at end of year	2019-12-31	$10,251,951
Total plan assets at beginning of year	2019-12-31	$9,455,502
Value of fidelity bond covering the plan	2019-12-31	$500,000
Total contributions received or receivable from participants	2019-12-31	$267,361
Expenses. Other expenses not covered elsewhere	2019-12-31	$0
Contributions received from other sources (not participants or employers)	2019-12-31	$0
Other income received	2019-12-31	$2,347,421
Noncash contributions received	2019-12-31	$0
Net income (gross income less expenses)	2019-12-31	$796,449
Net plan assets at end of year (total assets less liabilities)	2019-12-31	$10,251,951
Net plan assets at beginning of year (total assets less liabilities)	2019-12-31	$9,455,502
Value of participant contributions where there was a failure to transmit these to the plan within the time period described in 29 CFR 2510.3-102	2019-12-31	$0
Total contributions received or receivable from employer(s)	2019-12-31	$69,734
Value of certain deemed distributions of participant loans	2019-12-31	$0
Value of corrective distributions	2019-12-31	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2019-12-31	$28,486

Form 5500 Responses for R. O. WHITESELL AND ASSOC, INC. EMPLOYEES' RETIREMENT PLAN

2023: R. O. WHITESELL AND ASSOC, INC. EMPLOYEES' RETIREMENT PLAN 2023 form 5500 responses
2023-01-01	Type of plan entity	Single employer plan
2023-01-01	Submission has been amended	No
2023-01-01	This submission is the final filing	No
2023-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2023-01-01	Plan is a collectively bargained plan	No
2023-01-01	Plan funding arrangement – Insurance	Yes
2023-01-01	Plan funding arrangement – Trust	Yes
2023-01-01	Plan benefit arrangement – Insurance	Yes
2023-01-01	Plan benefit arrangement - Trust	Yes
2022: R. O. WHITESELL AND ASSOC, INC. EMPLOYEES' RETIREMENT 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 – Trust	Yes
2022-01-01	Plan benefit arrangement - Trust	Yes
2021: R. O. WHITESELL AND ASSOC, INC. EMPLOYEES' RETIREMENT PLAN 2021 form 5500 responses
2021-01-01	Type of plan entity	Single employer plan
2021-01-01	This submission is the final filing	No
2021-01-01	Plan is a collectively bargained plan	No
2021-01-01	Plan funding arrangement – Trust	Yes
2021-01-01	Plan benefit arrangement - Trust	Yes
2020: R. O. WHITESELL AND ASSOC, INC. EMPLOYEES' RETIREMENT PLAN 2020 form 5500 responses
2020-01-01	Type of plan entity	Single employer plan
2020-01-01	This submission is the final filing	No
2020-01-01	Plan is a collectively bargained plan	No
2020-01-01	Plan funding arrangement – Trust	Yes
2020-01-01	Plan benefit arrangement - Trust	Yes
2019: R. O. WHITESELL AND ASSOC, INC. EMPLOYEES' RETIREMENT 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 – Trust	Yes
2019-01-01	Plan benefit arrangement - Trust	Yes

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Company Name:	R.O. WHITESELL & ASSOCIATES, INC.
Employer identification number (EIN):	351998487
NAIC Classification:	423600