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ZACKS INVESTMENT RESEARCH, INC. 401(K) SAVINGS PLAN 401k Plan overview

Plan NameZACKS INVESTMENT RESEARCH, INC. 401(K) SAVINGS PLAN
Plan identification number 001

ZACKS INVESTMENT RESEARCH, INC. 401(K) SAVINGS PLAN Benefits

401k Plan TypeDefined Contribution Pension
Plan Features/Benefits
  • 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.
  • Plan sponsor(s) received services of leased employees, as defined in Code section 414(n), during the plan year.
  • Plan sponsor(s) is (are) a member(s) of a controlled group (Code sections 414(b), (c), or (m)).

401k Sponsoring company profile

ZACKS INVESTMENT RESEARCH, INC. has sponsored the creation of one or more 401k plans.

Company Name:ZACKS INVESTMENT RESEARCH, INC.
Employer identification number (EIN):363108701
NAIC Classification:523900

Form 5500 Filing Information

Submission information for form 5500 for 401k plan ZACKS INVESTMENT RESEARCH, INC. 401(K) SAVINGS PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator SignedName of Company SponsorDate Sponsor Signed
0012023-01-01
0012022-01-01
0012021-01-01
0012020-01-01
0012019-01-01
0012018-03-01
0012017-03-01DON RALPH DON RALPH2018-12-14
0012016-03-01DONALD RALPH DONALD RALPH2017-12-15
0012015-03-01DON RALPH DON RALPH2016-12-15
0012014-03-01DONALD RALPH DONALD RALPH2015-12-15
0012013-03-01DON RALPH DON RALPH2014-12-15
0012012-03-01DONALD RALPH DONALD RALPH2013-12-16
0012011-03-01DONALD RALPH DONALD RALPH2012-12-17
0012010-03-01DON RALPH DON RALPH2011-12-15
0012009-03-01DONALD RALPH DONALD RALPH2010-12-14

Plan Statistics for ZACKS INVESTMENT RESEARCH, INC. 401(K) SAVINGS PLAN

401k plan membership statisitcs for ZACKS INVESTMENT RESEARCH, INC. 401(K) SAVINGS PLAN

Measure Date Value
2023: ZACKS INVESTMENT RESEARCH, INC. 401(K) SAVINGS PLAN 2023 401k membership
Total participants, beginning-of-year2023-01-01337
Total number of active participants reported on line 7a of the Form 55002023-01-01280
Number of retired or separated participants receiving benefits2023-01-010
Number of other retired or separated participants entitled to future benefits2023-01-0168
Total of all active and inactive participants2023-01-01348
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2023-01-010
Total participants2023-01-01348
Number of participants with account balances2023-01-01287
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2023-01-010
2022: ZACKS INVESTMENT RESEARCH, INC. 401(K) SAVINGS PLAN 2022 401k membership
Total participants, beginning-of-year2022-01-01331
Total number of active participants reported on line 7a of the Form 55002022-01-01274
Number of retired or separated participants receiving benefits2022-01-010
Number of other retired or separated participants entitled to future benefits2022-01-0162
Total of all active and inactive participants2022-01-01336
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2022-01-011
Total participants2022-01-01337
Number of participants with account balances2022-01-01281
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2022-01-010
2021: ZACKS INVESTMENT RESEARCH, INC. 401(K) SAVINGS PLAN 2021 401k membership
Total participants, beginning-of-year2021-01-01319
Total number of active participants reported on line 7a of the Form 55002021-01-01261
Number of retired or separated participants receiving benefits2021-01-010
Number of other retired or separated participants entitled to future benefits2021-01-0169
Total of all active and inactive participants2021-01-01330
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2021-01-011
Total participants2021-01-01331
Number of participants with account balances2021-01-01276
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2021-01-010
2020: ZACKS INVESTMENT RESEARCH, INC. 401(K) SAVINGS PLAN 2020 401k membership
Total participants, beginning-of-year2020-01-01313
Total number of active participants reported on line 7a of the Form 55002020-01-01256
Number of retired or separated participants receiving benefits2020-01-010
Number of other retired or separated participants entitled to future benefits2020-01-0162
Total of all active and inactive participants2020-01-01318
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2020-01-011
Total participants2020-01-01319
Number of participants with account balances2020-01-01259
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2020-01-010
2019: ZACKS INVESTMENT RESEARCH, INC. 401(K) SAVINGS PLAN 2019 401k membership
Total participants, beginning-of-year2019-01-01315
Total number of active participants reported on line 7a of the Form 55002019-01-01262
Number of retired or separated participants receiving benefits2019-01-0149
Number of other retired or separated participants entitled to future benefits2019-01-010
Total of all active and inactive participants2019-01-01311
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2019-01-011
Total participants2019-01-01312
Number of participants with account balances2019-01-01254
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2019-01-010
2018: ZACKS INVESTMENT RESEARCH, INC. 401(K) SAVINGS PLAN 2018 401k membership
Total participants, beginning-of-year2018-03-01302
Total number of active participants reported on line 7a of the Form 55002018-03-01268
Number of retired or separated participants receiving benefits2018-03-010
Number of other retired or separated participants entitled to future benefits2018-03-0145
Total of all active and inactive participants2018-03-01313
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2018-03-010
Total participants2018-03-01313
Number of participants with account balances2018-03-01257
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2018-03-010
2017: ZACKS INVESTMENT RESEARCH, INC. 401(K) SAVINGS PLAN 2017 401k membership
Total participants, beginning-of-year2017-03-01301
Total number of active participants reported on line 7a of the Form 55002017-03-01259
Number of retired or separated participants receiving benefits2017-03-010
Number of other retired or separated participants entitled to future benefits2017-03-0140
Total of all active and inactive participants2017-03-01299
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2017-03-010
Total participants2017-03-01299
Number of participants with account balances2017-03-01244
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2017-03-010
2016: ZACKS INVESTMENT RESEARCH, INC. 401(K) SAVINGS PLAN 2016 401k membership
Total participants, beginning-of-year2016-03-01291
Total number of active participants reported on line 7a of the Form 55002016-03-01263
Number of retired or separated participants receiving benefits2016-03-010
Number of other retired or separated participants entitled to future benefits2016-03-0139
Total of all active and inactive participants2016-03-01302
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2016-03-010
Total participants2016-03-01302
Number of participants with account balances2016-03-01240
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2016-03-010
2015: ZACKS INVESTMENT RESEARCH, INC. 401(K) SAVINGS PLAN 2015 401k membership
Total participants, beginning-of-year2015-03-01279
Total number of active participants reported on line 7a of the Form 55002015-03-01246
Number of retired or separated participants receiving benefits2015-03-010
Number of other retired or separated participants entitled to future benefits2015-03-0139
Total of all active and inactive participants2015-03-01285
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2015-03-010
Total participants2015-03-01285
Number of participants with account balances2015-03-01222
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2015-03-010
2014: ZACKS INVESTMENT RESEARCH, INC. 401(K) SAVINGS PLAN 2014 401k membership
Total participants, beginning-of-year2014-03-01268
Total number of active participants reported on line 7a of the Form 55002014-03-01237
Number of retired or separated participants receiving benefits2014-03-010
Number of other retired or separated participants entitled to future benefits2014-03-0135
Total of all active and inactive participants2014-03-01272
Total participants2014-03-01272
Number of participants with account balances2014-03-01207
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2014-03-010
2013: ZACKS INVESTMENT RESEARCH, INC. 401(K) SAVINGS PLAN 2013 401k membership
Total participants, beginning-of-year2013-03-01259
Total number of active participants reported on line 7a of the Form 55002013-03-01219
Number of retired or separated participants receiving benefits2013-03-010
Number of other retired or separated participants entitled to future benefits2013-03-0123
Total of all active and inactive participants2013-03-01242
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2013-03-010
Total participants2013-03-01242
Number of participants with account balances2013-03-01143
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2013-03-010
2012: ZACKS INVESTMENT RESEARCH, INC. 401(K) SAVINGS PLAN 2012 401k membership
Total participants, beginning-of-year2012-03-01281
Total number of active participants reported on line 7a of the Form 55002012-03-01218
Number of retired or separated participants receiving benefits2012-03-010
Number of other retired or separated participants entitled to future benefits2012-03-0129
Total of all active and inactive participants2012-03-01247
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2012-03-010
Total participants2012-03-01247
Number of participants with account balances2012-03-01133
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2012-03-010
2011: ZACKS INVESTMENT RESEARCH, INC. 401(K) SAVINGS PLAN 2011 401k membership
Total participants, beginning-of-year2011-03-01269
Total number of active participants reported on line 7a of the Form 55002011-03-01222
Number of retired or separated participants receiving benefits2011-03-010
Number of other retired or separated participants entitled to future benefits2011-03-0137
Total of all active and inactive participants2011-03-01259
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2011-03-010
Total participants2011-03-01259
Number of participants with account balances2011-03-01146
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2011-03-010
2010: ZACKS INVESTMENT RESEARCH, INC. 401(K) SAVINGS PLAN 2010 401k membership
Total participants, beginning-of-year2010-03-01269
Total number of active participants reported on line 7a of the Form 55002010-03-01208
Number of retired or separated participants receiving benefits2010-03-0121
Number of other retired or separated participants entitled to future benefits2010-03-0139
Total of all active and inactive participants2010-03-01268
Total participants2010-03-01268
Number of participants with account balances2010-03-01137
2009: ZACKS INVESTMENT RESEARCH, INC. 401(K) SAVINGS PLAN 2009 401k membership
Total participants, beginning-of-year2009-03-01310
Total number of active participants reported on line 7a of the Form 55002009-03-01208
Number of retired or separated participants receiving benefits2009-03-0112
Number of other retired or separated participants entitled to future benefits2009-03-0149
Total of all active and inactive participants2009-03-01269
Total participants2009-03-01269
Number of participants with account balances2009-03-01146

Financial Data on ZACKS INVESTMENT RESEARCH, INC. 401(K) SAVINGS PLAN

Measure Date Value
2023 : ZACKS INVESTMENT RESEARCH, INC. 401(K) SAVINGS PLAN 2023 401k financial data
Total income from all sources (including contributions)2023-12-31$7,704,861
Total of all expenses incurred2023-12-31$865,061
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2023-12-31$788,251
Total contributions o plan (from employers,participants, others, non cash contrinutions)2023-12-31$2,329,709
Value of total assets at end of year2023-12-31$31,904,189
Value of total assets at beginning of year2023-12-31$25,064,389
Total of administrative expenses incurred including professional, contract, advisory and management fees2023-12-31$76,810
Total interest from all sources2023-12-31$22,990
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2023-12-31No
Was this plan covered by a fidelity bond2023-12-31Yes
Value of fidelity bond cover2023-12-31$500,000
If this is an individual account plan, was there a blackout period2023-12-31No
Were there any nonexempt tranactions with any party-in-interest2023-12-31No
Contributions received from participants2023-12-31$2,226,523
Participant contributions at end of year2023-12-31$377,925
Participant contributions at beginning of year2023-12-31$423,750
Participant contributions at end of year2023-12-31$0
Participant contributions at beginning of year2023-12-31$0
Income. Received or receivable in cash from other sources (including rollovers)2023-12-31$103,186
Administrative expenses (other) incurred2023-12-31$4,423
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2023-12-31No
Value of net income/loss2023-12-31$6,839,800
Value of net assets at end of year (total assets less liabilities)2023-12-31$31,904,189
Value of net assets at beginning of year (total assets less liabilities)2023-12-31$25,064,389
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2023-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2023-12-31No
Were any leases to which the plan was party in default or uncollectible2023-12-31No
Investment advisory and management fees2023-12-31$19,759
Value of interest in pooled separate accounts at end of year2023-12-31$31,526,264
Value of interest in pooled separate accounts at beginning of year2023-12-31$24,640,639
Interest on participant loans2023-12-31$22,990
Net investment gain/loss from pooled separate accounts2023-12-31$5,352,162
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2023-12-31No
Was there a failure to transmit to the plan any participant contributions2023-12-31No
Has the plan failed to provide any benefit when due under the plan2023-12-31No
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2023-12-31$788,251
Contract administrator fees2023-12-31$52,628
Did the plan have assets held for investment2023-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2023-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2023-12-31No
Opinion of an independent qualified public accountant for this plan2023-12-31Unqualified
Accountancy firm name2023-12-31BAKER TILLY US, LLP
Accountancy firm EIN2023-12-31301413443
2022 : ZACKS INVESTMENT RESEARCH, INC. 401(K) SAVINGS PLAN 2022 401k financial data
Total income from all sources (including contributions)2022-12-31$-3,542,397
Total of all expenses incurred2022-12-31$883,350
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2022-12-31$812,446
Total contributions o plan (from employers,participants, others, non cash contrinutions)2022-12-31$2,141,815
Value of total assets at end of year2022-12-31$25,064,389
Value of total assets at beginning of year2022-12-31$29,490,136
Total of administrative expenses incurred including professional, contract, advisory and management fees2022-12-31$70,904
Total interest from all sources2022-12-31$18,546
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2022-12-31No
Was this plan covered by a fidelity bond2022-12-31Yes
Value of fidelity bond cover2022-12-31$500,000
If this is an individual account plan, was there a blackout period2022-12-31No
Were there any nonexempt tranactions with any party-in-interest2022-12-31No
Contributions received from participants2022-12-31$2,141,815
Participant contributions at end of year2022-12-31$423,750
Participant contributions at beginning of year2022-12-31$405,778
Participant contributions at end of year2022-12-31$0
Participant contributions at beginning of year2022-12-31$4,573
Administrative expenses (other) incurred2022-12-31$5,822
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2022-12-31No
Value of net income/loss2022-12-31$-4,425,747
Value of net assets at end of year (total assets less liabilities)2022-12-31$25,064,389
Value of net assets at beginning of year (total assets less liabilities)2022-12-31$29,490,136
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2022-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2022-12-31No
Were any leases to which the plan was party in default or uncollectible2022-12-31No
Value of interest in pooled separate accounts at end of year2022-12-31$24,640,639
Value of interest in pooled separate accounts at beginning of year2022-12-31$29,079,785
Interest on participant loans2022-12-31$18,546
Net investment gain/loss from pooled separate accounts2022-12-31$-5,702,758
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2022-12-31No
Was there a failure to transmit to the plan any participant contributions2022-12-31No
Has the plan failed to provide any benefit when due under the plan2022-12-31No
Contributions received in cash from employer2022-12-31$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2022-12-31$812,446
Contract administrator fees2022-12-31$65,082
Did the plan have assets held for investment2022-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2022-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2022-12-31No
Opinion of an independent qualified public accountant for this plan2022-12-31Unqualified
Accountancy firm name2022-12-31BAKER TILLY US, LLP
Accountancy firm EIN2022-12-31390859910
2021 : ZACKS INVESTMENT RESEARCH, INC. 401(K) SAVINGS PLAN 2021 401k financial data
Total income from all sources (including contributions)2021-12-31$5,944,177
Total of all expenses incurred2021-12-31$1,079,741
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2021-12-31$985,268
Total contributions o plan (from employers,participants, others, non cash contrinutions)2021-12-31$2,157,839
Value of total assets at end of year2021-12-31$29,490,136
Value of total assets at beginning of year2021-12-31$24,625,700
Total of administrative expenses incurred including professional, contract, advisory and management fees2021-12-31$94,473
Total interest from all sources2021-12-31$18,121
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2021-12-31No
Administrative expenses professional fees incurred2021-12-31$12,128
Was this plan covered by a fidelity bond2021-12-31Yes
Value of fidelity bond cover2021-12-31$500,000
If this is an individual account plan, was there a blackout period2021-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2021-12-31$0
Were there any nonexempt tranactions with any party-in-interest2021-12-31No
Contributions received from participants2021-12-31$2,078,421
Participant contributions at end of year2021-12-31$405,778
Participant contributions at beginning of year2021-12-31$337,018
Participant contributions at end of year2021-12-31$4,573
Income. Received or receivable in cash from other sources (including rollovers)2021-12-31$79,418
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2021-12-31No
Value of net income/loss2021-12-31$4,864,436
Value of net assets at end of year (total assets less liabilities)2021-12-31$29,490,136
Value of net assets at beginning of year (total assets less liabilities)2021-12-31$24,625,700
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2021-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2021-12-31No
Were any leases to which the plan was party in default or uncollectible2021-12-31No
Value of interest in pooled separate accounts at end of year2021-12-31$29,079,785
Value of interest in pooled separate accounts at beginning of year2021-12-31$24,288,682
Interest on participant loans2021-12-31$18,121
Net investment gain/loss from pooled separate accounts2021-12-31$3,768,217
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2021-12-31No
Was there a failure to transmit to the plan any participant contributions2021-12-31No
Has the plan failed to provide any benefit when due under the plan2021-12-31No
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2021-12-31$985,268
Contract administrator fees2021-12-31$82,345
Did the plan have assets held for investment2021-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2021-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2021-12-31No
Opinion of an independent qualified public accountant for this plan2021-12-31Unqualified
Accountancy firm name2021-12-31BAKER TILLY US, LLP
Accountancy firm EIN2021-12-31390859910
2020 : ZACKS INVESTMENT RESEARCH, INC. 401(K) SAVINGS PLAN 2020 401k financial data
Total income from all sources (including contributions)2020-12-31$5,873,590
Total of all expenses incurred2020-12-31$567,566
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2020-12-31$514,734
Value of total corrective distributions2020-12-31$7,754
Total contributions o plan (from employers,participants, others, non cash contrinutions)2020-12-31$1,887,015
Value of total assets at end of year2020-12-31$24,625,700
Value of total assets at beginning of year2020-12-31$19,319,676
Total of administrative expenses incurred including professional, contract, advisory and management fees2020-12-31$45,078
Total interest from all sources2020-12-31$14,504
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2020-12-31No
Administrative expenses professional fees incurred2020-12-31$27,429
Was this plan covered by a fidelity bond2020-12-31Yes
Value of fidelity bond cover2020-12-31$500,000
If this is an individual account plan, was there a blackout period2020-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2020-12-31$0
Were there any nonexempt tranactions with any party-in-interest2020-12-31No
Contributions received from participants2020-12-31$1,870,826
Participant contributions at end of year2020-12-31$337,018
Participant contributions at beginning of year2020-12-31$253,577
Income. Received or receivable in cash from other sources (including rollovers)2020-12-31$14,360
Other income not declared elsewhere2020-12-31$55,122
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2020-12-31No
Value of net income/loss2020-12-31$5,306,024
Value of net assets at end of year (total assets less liabilities)2020-12-31$24,625,700
Value of net assets at beginning of year (total assets less liabilities)2020-12-31$19,319,676
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2020-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2020-12-31No
Were any leases to which the plan was party in default or uncollectible2020-12-31No
Value of interest in pooled separate accounts at end of year2020-12-31$24,288,682
Value of interest in pooled separate accounts at beginning of year2020-12-31$19,066,099
Interest on participant loans2020-12-31$14,504
Net investment gain/loss from pooled separate accounts2020-12-31$3,916,949
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2020-12-31No
Was there a failure to transmit to the plan any participant contributions2020-12-31No
Has the plan failed to provide any benefit when due under the plan2020-12-31No
Contributions received in cash from employer2020-12-31$1,829
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2020-12-31$514,734
Contract administrator fees2020-12-31$17,649
Did the plan have assets held for investment2020-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2020-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2020-12-31No
Opinion of an independent qualified public accountant for this plan2020-12-31Unqualified
Accountancy firm name2020-12-31BAKER TILLY US, LLP
Accountancy firm EIN2020-12-31390859910
2019 : ZACKS INVESTMENT RESEARCH, INC. 401(K) SAVINGS PLAN 2019 401k financial data
Total income from all sources (including contributions)2019-12-31$5,301,929
Total income from all sources (including contributions)2019-12-31$5,301,929
Total of all expenses incurred2019-12-31$896,437
Total of all expenses incurred2019-12-31$896,437
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2019-12-31$861,979
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2019-12-31$861,979
Total contributions o plan (from employers,participants, others, non cash contrinutions)2019-12-31$1,662,644
Total contributions o plan (from employers,participants, others, non cash contrinutions)2019-12-31$1,662,644
Value of total assets at end of year2019-12-31$19,319,676
Value of total assets at end of year2019-12-31$19,319,676
Value of total assets at beginning of year2019-12-31$14,914,184
Value of total assets at beginning of year2019-12-31$14,914,184
Total of administrative expenses incurred including professional, contract, advisory and management fees2019-12-31$34,458
Total of administrative expenses incurred including professional, contract, advisory and management fees2019-12-31$34,458
Total interest from all sources2019-12-31$12,614
Total interest from all sources2019-12-31$12,614
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2019-12-31No
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2019-12-31No
Was this plan covered by a fidelity bond2019-12-31Yes
Was this plan covered by a fidelity bond2019-12-31Yes
Value of fidelity bond cover2019-12-31$500,000
Value of fidelity bond cover2019-12-31$500,000
If this is an individual account plan, was there a blackout period2019-12-31No
If this is an individual account plan, was there a blackout period2019-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2019-12-31$0
Were there any nonexempt tranactions with any party-in-interest2019-12-31No
Were there any nonexempt tranactions with any party-in-interest2019-12-31No
Contributions received from participants2019-12-31$1,662,114
Contributions received from participants2019-12-31$1,662,114
Participant contributions at end of year2019-12-31$253,577
Participant contributions at end of year2019-12-31$253,577
Participant contributions at beginning of year2019-12-31$230,461
Participant contributions at beginning of year2019-12-31$230,461
Other income not declared elsewhere2019-12-31$59,400
Other income not declared elsewhere2019-12-31$59,400
Administrative expenses (other) incurred2019-12-31$33,620
Administrative expenses (other) incurred2019-12-31$33,620
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2019-12-31No
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2019-12-31No
Value of net income/loss2019-12-31$4,405,492
Value of net income/loss2019-12-31$4,405,492
Value of net assets at end of year (total assets less liabilities)2019-12-31$19,319,676
Value of net assets at end of year (total assets less liabilities)2019-12-31$19,319,676
Value of net assets at beginning of year (total assets less liabilities)2019-12-31$14,914,184
Value of net assets at beginning of year (total assets less liabilities)2019-12-31$14,914,184
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2019-12-31No
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2019-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2019-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2019-12-31No
Were any leases to which the plan was party in default or uncollectible2019-12-31No
Were any leases to which the plan was party in default or uncollectible2019-12-31No
Value of interest in pooled separate accounts at end of year2019-12-31$19,066,099
Value of interest in pooled separate accounts at end of year2019-12-31$19,066,099
Value of interest in pooled separate accounts at beginning of year2019-12-31$14,683,723
Value of interest in pooled separate accounts at beginning of year2019-12-31$14,683,723
Interest on participant loans2019-12-31$12,614
Interest on participant loans2019-12-31$12,614
Net investment gain/loss from pooled separate accounts2019-12-31$3,567,271
Net investment gain/loss from pooled separate accounts2019-12-31$3,567,271
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2019-12-31No
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2019-12-31No
Was there a failure to transmit to the plan any participant contributions2019-12-31No
Was there a failure to transmit to the plan any participant contributions2019-12-31No
Has the plan failed to provide any benefit when due under the plan2019-12-31No
Has the plan failed to provide any benefit when due under the plan2019-12-31No
Contributions received in cash from employer2019-12-31$530
Contributions received in cash from employer2019-12-31$530
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2019-12-31$861,979
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2019-12-31$861,979
Contract administrator fees2019-12-31$838
Contract administrator fees2019-12-31$838
Did the plan have assets held for investment2019-12-31Yes
Did the plan have assets held for investment2019-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2019-12-31No
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2019-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2019-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2019-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2019-12-31Yes
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2019-12-31Yes
Opinion of an independent qualified public accountant for this plan2019-12-31Disclaimer
Opinion of an independent qualified public accountant for this plan2019-12-31Disclaimer
Accountancy firm name2019-12-31BAKER TILLY US, LLP
Accountancy firm name2019-12-31BAKER TILLY US, LLP
Accountancy firm EIN2019-12-31390859910
Accountancy firm EIN2019-12-31390859910
2018 : ZACKS INVESTMENT RESEARCH, INC. 401(K) SAVINGS PLAN 2018 401k financial data
Total income from all sources (including contributions)2018-12-31$177,649
Total of all expenses incurred2018-12-31$871,667
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2018-12-31$846,592
Total contributions o plan (from employers,participants, others, non cash contrinutions)2018-12-31$1,288,293
Value of total assets at end of year2018-12-31$14,914,184
Value of total assets at beginning of year2018-12-31$15,608,202
Total of administrative expenses incurred including professional, contract, advisory and management fees2018-12-31$25,075
Total interest from all sources2018-12-31$9,219
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2018-12-31No
Was this plan covered by a fidelity bond2018-12-31Yes
Value of fidelity bond cover2018-12-31$500,000
If this is an individual account plan, was there a blackout period2018-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2018-12-31$0
Were there any nonexempt tranactions with any party-in-interest2018-12-31No
Participant contributions at end of year2018-12-31$230,461
Participant contributions at beginning of year2018-12-31$273,474
Income. Received or receivable in cash from other sources (including rollovers)2018-12-31$5,611
Other income not declared elsewhere2018-12-31$34,983
Administrative expenses (other) incurred2018-12-31$24,403
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2018-12-31No
Value of net income/loss2018-12-31$-694,018
Value of net assets at end of year (total assets less liabilities)2018-12-31$14,914,184
Value of net assets at beginning of year (total assets less liabilities)2018-12-31$15,608,202
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2018-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2018-12-31No
Were any leases to which the plan was party in default or uncollectible2018-12-31No
Value of interest in pooled separate accounts at end of year2018-12-31$14,683,723
Value of interest in pooled separate accounts at beginning of year2018-12-31$15,334,728
Interest on participant loans2018-12-31$9,219
Net investment gain/loss from pooled separate accounts2018-12-31$-1,154,846
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2018-12-31No
Was there a failure to transmit to the plan any participant contributions2018-12-31Yes
Has the plan failed to provide any benefit when due under the plan2018-12-31No
Contributions received in cash from employer2018-12-31$1,282,682
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2018-12-31$846,592
Contract administrator fees2018-12-31$672
Did the plan have assets held for investment2018-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2018-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2018-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2018-12-31Yes
Opinion of an independent qualified public accountant for this plan2018-12-31Disclaimer
Accountancy firm name2018-12-31BAKER TILLY VIRCHOW KRAUSE LLP
Accountancy firm EIN2018-12-31390859910
Total income from all sources (including contributions)2018-02-28$3,260,776
Total of all expenses incurred2018-02-28$444,902
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2018-02-28$360,192
Value of total corrective distributions2018-02-28$53,763
Total contributions o plan (from employers,participants, others, non cash contrinutions)2018-02-28$1,446,928
Value of total assets at end of year2018-02-28$15,608,202
Value of total assets at beginning of year2018-02-28$12,792,328
Total of administrative expenses incurred including professional, contract, advisory and management fees2018-02-28$30,947
Total interest from all sources2018-02-28$11,880
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2018-02-28No
Was this plan covered by a fidelity bond2018-02-28Yes
Value of fidelity bond cover2018-02-28$500,000
If this is an individual account plan, was there a blackout period2018-02-28No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2018-02-28$0
Were there any nonexempt tranactions with any party-in-interest2018-02-28No
Contributions received from participants2018-02-28$1,381,665
Participant contributions at end of year2018-02-28$273,474
Participant contributions at beginning of year2018-02-28$289,483
Participant contributions at beginning of year2018-02-28$101
Income. Received or receivable in cash from other sources (including rollovers)2018-02-28$65,263
Other income not declared elsewhere2018-02-28$27,438
Administrative expenses (other) incurred2018-02-28$30,199
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2018-02-28No
Value of net income/loss2018-02-28$2,815,874
Value of net assets at end of year (total assets less liabilities)2018-02-28$15,608,202
Value of net assets at beginning of year (total assets less liabilities)2018-02-28$12,792,328
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2018-02-28No
Were any loans by the plan or fixed income obligations due to the plan in default2018-02-28No
Were any leases to which the plan was party in default or uncollectible2018-02-28No
Value of interest in pooled separate accounts at end of year2018-02-28$15,334,728
Value of interest in pooled separate accounts at beginning of year2018-02-28$12,502,744
Income. Interest from loans (other than to participants)2018-02-28$11,880
Net investment gain/loss from pooled separate accounts2018-02-28$1,774,530
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2018-02-28No
Was there a failure to transmit to the plan any participant contributions2018-02-28Yes
Has the plan failed to provide any benefit when due under the plan2018-02-28No
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2018-02-28$360,192
Contract administrator fees2018-02-28$748
Did the plan have assets held for investment2018-02-28Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2018-02-28No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2018-02-28No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2018-02-28Yes
Opinion of an independent qualified public accountant for this plan2018-02-28Disclaimer
Accountancy firm name2018-02-28BAKER TILLY VIRCHOW KRAUSE LLP
Accountancy firm EIN2018-02-28390859910
2017 : ZACKS INVESTMENT RESEARCH, INC. 401(K) SAVINGS PLAN 2017 401k financial data
Total income from all sources (including contributions)2017-02-28$3,189,840
Total of all expenses incurred2017-02-28$729,641
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2017-02-28$702,638
Total contributions o plan (from employers,participants, others, non cash contrinutions)2017-02-28$1,246,677
Value of total assets at end of year2017-02-28$12,792,328
Value of total assets at beginning of year2017-02-28$10,332,129
Total of administrative expenses incurred including professional, contract, advisory and management fees2017-02-28$27,003
Total interest from all sources2017-02-28$12,000
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2017-02-28No
Was this plan covered by a fidelity bond2017-02-28Yes
Value of fidelity bond cover2017-02-28$500,000
If this is an individual account plan, was there a blackout period2017-02-28No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2017-02-28$0
Were there any nonexempt tranactions with any party-in-interest2017-02-28No
Contributions received from participants2017-02-28$1,245,582
Participant contributions at end of year2017-02-28$289,483
Participant contributions at beginning of year2017-02-28$260,674
Participant contributions at end of year2017-02-28$101
Participant contributions at beginning of year2017-02-28$100,454
Income. Received or receivable in cash from other sources (including rollovers)2017-02-28$1,095
Other income not declared elsewhere2017-02-28$17,796
Administrative expenses (other) incurred2017-02-28$26,333
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2017-02-28No
Value of net income/loss2017-02-28$2,460,199
Value of net assets at end of year (total assets less liabilities)2017-02-28$12,792,328
Value of net assets at beginning of year (total assets less liabilities)2017-02-28$10,332,129
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2017-02-28No
Were any loans by the plan or fixed income obligations due to the plan in default2017-02-28No
Were any leases to which the plan was party in default or uncollectible2017-02-28No
Value of interest in pooled separate accounts at end of year2017-02-28$12,502,744
Value of interest in pooled separate accounts at beginning of year2017-02-28$9,971,001
Interest on participant loans2017-02-28$12,000
Net investment gain/loss from pooled separate accounts2017-02-28$1,913,367
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2017-02-28No
Was there a failure to transmit to the plan any participant contributions2017-02-28Yes
Has the plan failed to provide any benefit when due under the plan2017-02-28No
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2017-02-28$702,638
Contract administrator fees2017-02-28$670
Did the plan have assets held for investment2017-02-28Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2017-02-28No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2017-02-28No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2017-02-28Yes
Opinion of an independent qualified public accountant for this plan2017-02-28Disclaimer
Accountancy firm name2017-02-28BAKER TILLY VIRCHOW KRAUSE LLP
Accountancy firm EIN2017-02-28390859910
2016 : ZACKS INVESTMENT RESEARCH, INC. 401(K) SAVINGS PLAN 2016 401k financial data
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2016-02-28$0
Total income from all sources (including contributions)2016-02-28$694,596
Total of all expenses incurred2016-02-28$432,492
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2016-02-28$405,882
Total contributions o plan (from employers,participants, others, non cash contrinutions)2016-02-28$1,675,534
Value of total assets at end of year2016-02-28$10,332,129
Value of total assets at beginning of year2016-02-28$10,070,025
Total of administrative expenses incurred including professional, contract, advisory and management fees2016-02-28$26,610
Total interest from all sources2016-02-28$9,975
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2016-02-28No
Was this plan covered by a fidelity bond2016-02-28Yes
Value of fidelity bond cover2016-02-28$500,000
If this is an individual account plan, was there a blackout period2016-02-28No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2016-02-28$0
Were there any nonexempt tranactions with any party-in-interest2016-02-28No
Contributions received from participants2016-02-28$1,272,265
Participant contributions at end of year2016-02-28$260,674
Participant contributions at beginning of year2016-02-28$195,703
Participant contributions at end of year2016-02-28$100,454
Participant contributions at beginning of year2016-02-28$413
Income. Received or receivable in cash from other sources (including rollovers)2016-02-28$403,269
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year2016-02-28$0
Other income not declared elsewhere2016-02-28$9,951
Administrative expenses (other) incurred2016-02-28$23,086
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2016-02-28No
Value of net income/loss2016-02-28$262,104
Value of net assets at end of year (total assets less liabilities)2016-02-28$10,332,129
Value of net assets at beginning of year (total assets less liabilities)2016-02-28$10,070,025
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2016-02-28No
Were any loans by the plan or fixed income obligations due to the plan in default2016-02-28No
Were any leases to which the plan was party in default or uncollectible2016-02-28No
Value of interest in pooled separate accounts at end of year2016-02-28$9,971,001
Value of interest in pooled separate accounts at beginning of year2016-02-28$9,873,909
Interest on participant loans2016-02-28$9,975
Net investment gain/loss from pooled separate accounts2016-02-28$-1,000,864
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2016-02-28No
Was there a failure to transmit to the plan any participant contributions2016-02-28Yes
Has the plan failed to provide any benefit when due under the plan2016-02-28No
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2016-02-28$405,882
Contract administrator fees2016-02-28$3,524
Did the plan have assets held for investment2016-02-28Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2016-02-28No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2016-02-28No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2016-02-28Yes
Opinion of an independent qualified public accountant for this plan2016-02-28Disclaimer
Accountancy firm name2016-02-28BAKER TILLY VIRCHOW KRAUSE LLP
Accountancy firm EIN2016-02-28390859910
2015 : ZACKS INVESTMENT RESEARCH, INC. 401(K) SAVINGS PLAN 2015 401k financial data
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2015-02-28$0
Total income from all sources (including contributions)2015-02-28$1,927,850
Total of all expenses incurred2015-02-28$374,168
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2015-02-28$309,305
Value of total corrective distributions2015-02-28$24,056
Total contributions o plan (from employers,participants, others, non cash contrinutions)2015-02-28$1,288,309
Value of total assets at end of year2015-02-28$10,070,025
Value of total assets at beginning of year2015-02-28$8,516,343
Total of administrative expenses incurred including professional, contract, advisory and management fees2015-02-28$40,807
Total interest from all sources2015-02-28$7,405
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2015-02-28No
Was this plan covered by a fidelity bond2015-02-28Yes
Value of fidelity bond cover2015-02-28$500,000
If this is an individual account plan, was there a blackout period2015-02-28No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2015-02-28$0
Were there any nonexempt tranactions with any party-in-interest2015-02-28No
Contributions received from participants2015-02-28$1,136,447
Participant contributions at end of year2015-02-28$195,703
Participant contributions at beginning of year2015-02-28$85,789
Participant contributions at end of year2015-02-28$413
Income. Received or receivable in cash from other sources (including rollovers)2015-02-28$151,265
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year2015-02-28$0
Administrative expenses (other) incurred2015-02-28$24,676
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2015-02-28No
Value of net income/loss2015-02-28$1,553,682
Value of net assets at end of year (total assets less liabilities)2015-02-28$10,070,025
Value of net assets at beginning of year (total assets less liabilities)2015-02-28$8,516,343
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2015-02-28No
Were any loans by the plan or fixed income obligations due to the plan in default2015-02-28No
Were any leases to which the plan was party in default or uncollectible2015-02-28No
Value of interest in pooled separate accounts at end of year2015-02-28$9,873,909
Value of interest in pooled separate accounts at beginning of year2015-02-28$8,430,554
Interest on participant loans2015-02-28$7,405
Net investment gain/loss from pooled separate accounts2015-02-28$632,136
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2015-02-28No
Was there a failure to transmit to the plan any participant contributions2015-02-28Yes
Has the plan failed to provide any benefit when due under the plan2015-02-28No
Contributions received in cash from employer2015-02-28$597
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2015-02-28$309,305
Contract administrator fees2015-02-28$16,131
Did the plan have assets held for investment2015-02-28Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2015-02-28No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2015-02-28No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2015-02-28Yes
Opinion of an independent qualified public accountant for this plan2015-02-28Disclaimer
Accountancy firm name2015-02-28BAKER TILLY VIRCHOW KRAUSE LLP
Accountancy firm EIN2015-02-28390859910
2014 : ZACKS INVESTMENT RESEARCH, INC. 401(K) SAVINGS PLAN 2014 401k financial data
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2014-02-28$402
Total income from all sources (including contributions)2014-02-28$2,581,434
Total of all expenses incurred2014-02-28$707,713
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2014-02-28$621,476
Value of total corrective distributions2014-02-28$44,659
Total contributions o plan (from employers,participants, others, non cash contrinutions)2014-02-28$1,282,181
Value of total assets at end of year2014-02-28$8,516,343
Value of total assets at beginning of year2014-02-28$6,643,024
Total of administrative expenses incurred including professional, contract, advisory and management fees2014-02-28$41,578
Total interest from all sources2014-02-28$2,962
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2014-02-28No
Was this plan covered by a fidelity bond2014-02-28Yes
Value of fidelity bond cover2014-02-28$500,000
If this is an individual account plan, was there a blackout period2014-02-28No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2014-02-28$0
Were there any nonexempt tranactions with any party-in-interest2014-02-28No
Contributions received from participants2014-02-28$940,176
Participant contributions at end of year2014-02-28$85,789
Participant contributions at beginning of year2014-02-28$53,645
Participant contributions at beginning of year2014-02-28$731
Income. Received or receivable in cash from other sources (including rollovers)2014-02-28$342,005
Administrative expenses (other) incurred2014-02-28$24,757
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2014-02-28No
Value of net income/loss2014-02-28$1,873,721
Value of net assets at end of year (total assets less liabilities)2014-02-28$8,516,343
Value of net assets at beginning of year (total assets less liabilities)2014-02-28$6,642,622
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2014-02-28No
Were any loans by the plan or fixed income obligations due to the plan in default2014-02-28No
Were any leases to which the plan was party in default or uncollectible2014-02-28No
Value of interest in pooled separate accounts at end of year2014-02-28$8,430,554
Value of interest in pooled separate accounts at beginning of year2014-02-28$6,588,648
Interest on participant loans2014-02-28$2,962
Income. Interest from loans (other than to participants)2014-02-28$0
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)2014-02-28$0
Net investment gain/loss from pooled separate accounts2014-02-28$1,296,291
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2014-02-28No
Was there a failure to transmit to the plan any participant contributions2014-02-28Yes
Has the plan failed to provide any benefit when due under the plan2014-02-28No
Contributions received in cash from employer2014-02-28$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2014-02-28$621,476
Contract administrator fees2014-02-28$16,821
Did the plan have assets held for investment2014-02-28Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2014-02-28No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2014-02-28No
Liabilities. Value of acquisition indebtedness at beginning of year2014-02-28$402
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2014-02-28Yes
Opinion of an independent qualified public accountant for this plan2014-02-28Disclaimer
Accountancy firm name2014-02-28BAKER TILLY VIRCHOW KRAUSE LLP
Accountancy firm EIN2014-02-28390859910
2013 : ZACKS INVESTMENT RESEARCH, INC. 401(K) SAVINGS PLAN 2013 401k financial data
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2013-02-28$402
Total income from all sources (including contributions)2013-02-28$1,875,612
Total of all expenses incurred2013-02-28$510,044
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2013-02-28$470,408
Total contributions o plan (from employers,participants, others, non cash contrinutions)2013-02-28$1,393,828
Value of total assets at end of year2013-02-28$6,643,024
Value of total assets at beginning of year2013-02-28$5,277,054
Total of administrative expenses incurred including professional, contract, advisory and management fees2013-02-28$39,636
Total interest from all sources2013-02-28$2,591
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2013-02-28No
Was this plan covered by a fidelity bond2013-02-28Yes
Value of fidelity bond cover2013-02-28$500,000
If this is an individual account plan, was there a blackout period2013-02-28No
Were there any nonexempt tranactions with any party-in-interest2013-02-28No
Contributions received from participants2013-02-28$858,226
Participant contributions at end of year2013-02-28$53,645
Participant contributions at beginning of year2013-02-28$58,177
Participant contributions at end of year2013-02-28$731
Participant contributions at beginning of year2013-02-28$69,472
Income. Received or receivable in cash from other sources (including rollovers)2013-02-28$535,602
Administrative expenses (other) incurred2013-02-28$25,872
Total non interest bearing cash at beginning of year2013-02-28$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2013-02-28No
Value of net income/loss2013-02-28$1,365,568
Value of net assets at end of year (total assets less liabilities)2013-02-28$6,642,622
Value of net assets at beginning of year (total assets less liabilities)2013-02-28$5,277,054
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2013-02-28No
Were any loans by the plan or fixed income obligations due to the plan in default2013-02-28No
Were any leases to which the plan was party in default or uncollectible2013-02-28No
Value of interest in pooled separate accounts at end of year2013-02-28$6,588,648
Value of interest in pooled separate accounts at beginning of year2013-02-28$5,149,405
Interest on participant loans2013-02-28$2,591
Net investment gain/loss from pooled separate accounts2013-02-28$479,193
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2013-02-28No
Was there a failure to transmit to the plan any participant contributions2013-02-28Yes
Has the plan failed to provide any benefit when due under the plan2013-02-28No
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2013-02-28$470,408
Contract administrator fees2013-02-28$13,764
Did the plan have assets held for investment2013-02-28Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2013-02-28No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2013-02-28No
Liabilities. Value of acquisition indebtedness at end of year2013-02-28$402
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2013-02-28Yes
Opinion of an independent qualified public accountant for this plan2013-02-28Disclaimer
Accountancy firm name2013-02-28BAKER TILLY VIRCHOW KRAUSE LLP
Accountancy firm EIN2013-02-28390859910
2012 : ZACKS INVESTMENT RESEARCH, INC. 401(K) SAVINGS PLAN 2012 401k financial data
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2012-02-29$0
Total income from all sources (including contributions)2012-02-29$892,529
Total of all expenses incurred2012-02-29$438,330
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2012-02-29$398,532
Total contributions o plan (from employers,participants, others, non cash contrinutions)2012-02-29$772,258
Value of total assets at end of year2012-02-29$5,277,054
Value of total assets at beginning of year2012-02-29$4,822,855
Total of administrative expenses incurred including professional, contract, advisory and management fees2012-02-29$39,798
Total interest from all sources2012-02-29$2,195
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2012-02-29No
Was this plan covered by a fidelity bond2012-02-29Yes
Value of fidelity bond cover2012-02-29$500,000
If this is an individual account plan, was there a blackout period2012-02-29No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2012-02-29$0
Were there any nonexempt tranactions with any party-in-interest2012-02-29No
Contributions received from participants2012-02-29$772,258
Participant contributions at end of year2012-02-29$58,177
Participant contributions at beginning of year2012-02-29$32,772
Participant contributions at end of year2012-02-29$69,472
Participant contributions at beginning of year2012-02-29$17
Administrative expenses (other) incurred2012-02-29$25,005
Total non interest bearing cash at end of year2012-02-29$0
Total non interest bearing cash at beginning of year2012-02-29$72
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2012-02-29No
Value of net income/loss2012-02-29$454,199
Value of net assets at end of year (total assets less liabilities)2012-02-29$5,277,054
Value of net assets at beginning of year (total assets less liabilities)2012-02-29$4,822,855
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2012-02-29No
Were any loans by the plan or fixed income obligations due to the plan in default2012-02-29No
Were any leases to which the plan was party in default or uncollectible2012-02-29No
Value of interest in pooled separate accounts at end of year2012-02-29$5,149,405
Value of interest in pooled separate accounts at beginning of year2012-02-29$4,789,994
Interest on participant loans2012-02-29$2,195
Net investment gain/loss from pooled separate accounts2012-02-29$118,076
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2012-02-29No
Was there a failure to transmit to the plan any participant contributions2012-02-29Yes
Has the plan failed to provide any benefit when due under the plan2012-02-29No
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2012-02-29$398,532
Contract administrator fees2012-02-29$14,793
Did the plan have assets held for investment2012-02-29Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2012-02-29No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2012-02-29No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2012-02-29Yes
Opinion of an independent qualified public accountant for this plan2012-02-29Disclaimer
Accountancy firm name2012-02-29BAKER TILLY VIRCHOW KRAUSE LLP
Accountancy firm EIN2012-02-29390859910
2011 : ZACKS INVESTMENT RESEARCH, INC. 401(K) SAVINGS PLAN 2011 401k financial data
Total unrealized appreciation/depreciation of assets2011-02-28$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2011-02-28$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2011-02-28$0
Total income from all sources (including contributions)2011-02-28$1,359,066
Total loss/gain on sale of assets2011-02-28$0
Total of all expenses incurred2011-02-28$497,977
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2011-02-28$442,992
Expenses. Certain deemed distributions of participant loans2011-02-28$16,993
Total contributions o plan (from employers,participants, others, non cash contrinutions)2011-02-28$636,325
Value of total assets at end of year2011-02-28$4,822,855
Value of total assets at beginning of year2011-02-28$3,961,766
Total of administrative expenses incurred including professional, contract, advisory and management fees2011-02-28$37,992
Total interest from all sources2011-02-28$3,081
Total dividends received (eg from common stock, registered investment company shares)2011-02-28$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2011-02-28No
Administrative expenses professional fees incurred2011-02-28$22,853
Was this plan covered by a fidelity bond2011-02-28Yes
Value of fidelity bond cover2011-02-28$200,000
If this is an individual account plan, was there a blackout period2011-02-28No
Were there any nonexempt tranactions with any party-in-interest2011-02-28No
Contributions received from participants2011-02-28$636,325
Participant contributions at end of year2011-02-28$32,772
Participant contributions at beginning of year2011-02-28$53,431
Participant contributions at end of year2011-02-28$17
Participant contributions at beginning of year2011-02-28$0
Administrative expenses (other) incurred2011-02-28$58
Total non interest bearing cash at end of year2011-02-28$72
Total non interest bearing cash at beginning of year2011-02-28$26
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2011-02-28No
Value of net income/loss2011-02-28$861,089
Value of net assets at end of year (total assets less liabilities)2011-02-28$4,822,855
Value of net assets at beginning of year (total assets less liabilities)2011-02-28$3,961,766
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2011-02-28No
Were any loans by the plan or fixed income obligations due to the plan in default2011-02-28No
Were any leases to which the plan was party in default or uncollectible2011-02-28No
Value of interest in pooled separate accounts at end of year2011-02-28$4,789,994
Value of interest in pooled separate accounts at beginning of year2011-02-28$3,908,309
Interest on participant loans2011-02-28$3,081
Net investment gain/loss from pooled separate accounts2011-02-28$719,660
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2011-02-28No
Was there a failure to transmit to the plan any participant contributions2011-02-28No
Has the plan failed to provide any benefit when due under the plan2011-02-28No
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2011-02-28$442,992
Contract administrator fees2011-02-28$15,081
Did the plan have assets held for investment2011-02-28Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2011-02-28No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2011-02-28No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2011-02-28Yes
Opinion of an independent qualified public accountant for this plan2011-02-28Disclaimer
Accountancy firm name2011-02-28BAKER TILLY VIRCHOW KRAUSE LLP
Accountancy firm EIN2011-02-28390859910

Form 5500 Responses for ZACKS INVESTMENT RESEARCH, INC. 401(K) SAVINGS PLAN

2023: ZACKS INVESTMENT RESEARCH, INC. 401(K) SAVINGS PLAN 2023 form 5500 responses
2023-01-01Type of plan entitySingle employer plan
2023-01-01Submission has been amendedNo
2023-01-01This submission is the final filingNo
2023-01-01This return/report is a short plan year return/report (less than 12 months)No
2023-01-01Plan is a collectively bargained planNo
2023-01-01Plan funding arrangement – InsuranceYes
2023-01-01Plan funding arrangement – TrustYes
2023-01-01Plan benefit arrangement - TrustYes
2022: ZACKS INVESTMENT RESEARCH, INC. 401(K) SAVINGS PLAN 2022 form 5500 responses
2022-01-01Type of plan entitySingle employer plan
2022-01-01Submission has been amendedNo
2022-01-01This submission is the final filingNo
2022-01-01This return/report is a short plan year return/report (less than 12 months)No
2022-01-01Plan is a collectively bargained planNo
2022-01-01Plan funding arrangement – InsuranceYes
2022-01-01Plan funding arrangement – TrustYes
2022-01-01Plan benefit arrangement - TrustYes
2021: ZACKS INVESTMENT RESEARCH, INC. 401(K) SAVINGS PLAN 2021 form 5500 responses
2021-01-01Type of plan entitySingle employer plan
2021-01-01Submission has been amendedNo
2021-01-01This submission is the final filingNo
2021-01-01This return/report is a short plan year return/report (less than 12 months)No
2021-01-01Plan is a collectively bargained planNo
2021-01-01Plan funding arrangement – InsuranceYes
2021-01-01Plan funding arrangement – TrustYes
2021-01-01Plan benefit arrangement - TrustYes
2020: ZACKS INVESTMENT RESEARCH, INC. 401(K) SAVINGS PLAN 2020 form 5500 responses
2020-01-01Type of plan entitySingle employer plan
2020-01-01Submission has been amendedNo
2020-01-01This submission is the final filingNo
2020-01-01This return/report is a short plan year return/report (less than 12 months)No
2020-01-01Plan is a collectively bargained planNo
2020-01-01Plan funding arrangement – InsuranceYes
2020-01-01Plan funding arrangement – TrustYes
2020-01-01Plan benefit arrangement - TrustYes
2019: ZACKS INVESTMENT RESEARCH, INC. 401(K) SAVINGS PLAN 2019 form 5500 responses
2019-01-01Type of plan entitySingle employer plan
2019-01-01Submission has been amendedNo
2019-01-01This submission is the final filingNo
2019-01-01This return/report is a short plan year return/report (less than 12 months)No
2019-01-01Plan is a collectively bargained planNo
2019-01-01Plan funding arrangement – InsuranceYes
2019-01-01Plan funding arrangement – TrustYes
2019-01-01Plan benefit arrangement - TrustYes
2018: ZACKS INVESTMENT RESEARCH, INC. 401(K) SAVINGS PLAN 2018 form 5500 responses
2018-03-01Type of plan entitySingle employer plan
2018-03-01Submission has been amendedNo
2018-03-01This submission is the final filingNo
2018-03-01This return/report is a short plan year return/report (less than 12 months)Yes
2018-03-01Plan is a collectively bargained planNo
2018-03-01Plan funding arrangement – InsuranceYes
2018-03-01Plan funding arrangement – TrustYes
2018-03-01Plan benefit arrangement - TrustYes
2017: ZACKS INVESTMENT RESEARCH, INC. 401(K) SAVINGS PLAN 2017 form 5500 responses
2017-03-01Type of plan entitySingle employer plan
2017-03-01Submission has been amendedNo
2017-03-01This submission is the final filingNo
2017-03-01This return/report is a short plan year return/report (less than 12 months)No
2017-03-01Plan is a collectively bargained planNo
2017-03-01Plan funding arrangement – InsuranceYes
2017-03-01Plan funding arrangement – TrustYes
2017-03-01Plan benefit arrangement - TrustYes
2016: ZACKS INVESTMENT RESEARCH, INC. 401(K) SAVINGS PLAN 2016 form 5500 responses
2016-03-01Type of plan entitySingle employer plan
2016-03-01Submission has been amendedNo
2016-03-01This submission is the final filingNo
2016-03-01This return/report is a short plan year return/report (less than 12 months)No
2016-03-01Plan is a collectively bargained planNo
2016-03-01Plan funding arrangement – InsuranceYes
2016-03-01Plan funding arrangement – TrustYes
2016-03-01Plan benefit arrangement - TrustYes
2015: ZACKS INVESTMENT RESEARCH, INC. 401(K) SAVINGS PLAN 2015 form 5500 responses
2015-03-01Type of plan entitySingle employer plan
2015-03-01Submission has been amendedNo
2015-03-01This submission is the final filingNo
2015-03-01This return/report is a short plan year return/report (less than 12 months)Yes
2015-03-01Plan is a collectively bargained planNo
2015-03-01Plan funding arrangement – InsuranceYes
2015-03-01Plan funding arrangement – TrustYes
2015-03-01Plan benefit arrangement - TrustYes
2014: ZACKS INVESTMENT RESEARCH, INC. 401(K) SAVINGS PLAN 2014 form 5500 responses
2014-03-01Type of plan entitySingle employer plan
2014-03-01Submission has been amendedNo
2014-03-01This submission is the final filingNo
2014-03-01This return/report is a short plan year return/report (less than 12 months)No
2014-03-01Plan is a collectively bargained planNo
2014-03-01Plan funding arrangement – InsuranceYes
2014-03-01Plan funding arrangement – TrustYes
2014-03-01Plan benefit arrangement - TrustYes
2013: ZACKS INVESTMENT RESEARCH, INC. 401(K) SAVINGS PLAN 2013 form 5500 responses
2013-03-01Type of plan entitySingle employer plan
2013-03-01Submission has been amendedNo
2013-03-01This submission is the final filingNo
2013-03-01This return/report is a short plan year return/report (less than 12 months)No
2013-03-01Plan is a collectively bargained planNo
2013-03-01Plan funding arrangement – InsuranceYes
2013-03-01Plan funding arrangement – TrustYes
2013-03-01Plan benefit arrangement - TrustYes
2012: ZACKS INVESTMENT RESEARCH, INC. 401(K) SAVINGS PLAN 2012 form 5500 responses
2012-03-01Type of plan entitySingle employer plan
2012-03-01Submission has been amendedYes
2012-03-01This submission is the final filingNo
2012-03-01This return/report is a short plan year return/report (less than 12 months)No
2012-03-01Plan is a collectively bargained planNo
2012-03-01Plan funding arrangement – InsuranceYes
2012-03-01Plan funding arrangement – TrustYes
2012-03-01Plan benefit arrangement - TrustYes
2011: ZACKS INVESTMENT RESEARCH, INC. 401(K) SAVINGS PLAN 2011 form 5500 responses
2011-03-01Type of plan entitySingle employer plan
2011-03-01Submission has been amendedNo
2011-03-01This submission is the final filingNo
2011-03-01This return/report is a short plan year return/report (less than 12 months)No
2011-03-01Plan is a collectively bargained planNo
2011-03-01Plan funding arrangement – InsuranceYes
2011-03-01Plan funding arrangement – TrustYes
2011-03-01Plan benefit arrangement – InsuranceYes
2011-03-01Plan benefit arrangement - TrustYes
2010: ZACKS INVESTMENT RESEARCH, INC. 401(K) SAVINGS PLAN 2010 form 5500 responses
2010-03-01Type of plan entitySingle employer plan
2010-03-01Submission has been amendedNo
2010-03-01This submission is the final filingNo
2010-03-01This return/report is a short plan year return/report (less than 12 months)No
2010-03-01Plan is a collectively bargained planNo
2010-03-01Plan funding arrangement – InsuranceYes
2010-03-01Plan funding arrangement – TrustYes
2010-03-01Plan benefit arrangement – InsuranceYes
2010-03-01Plan benefit arrangement - TrustYes
2009: ZACKS INVESTMENT RESEARCH, INC. 401(K) SAVINGS PLAN 2009 form 5500 responses
2009-03-01Type of plan entitySingle employer plan
2009-03-01Submission has been amendedNo
2009-03-01This submission is the final filingNo
2009-03-01This return/report is a short plan year return/report (less than 12 months)No
2009-03-01Plan is a collectively bargained planNo
2009-03-01Plan funding arrangement – InsuranceYes
2009-03-01Plan funding arrangement – TrustYes
2009-03-01Plan benefit arrangement – InsuranceYes
2009-03-01Plan benefit arrangement - TrustYes

Insurance Providers Used on plan

JOHN HANCOCK LIFE INSURANCE COMPANY (U.S.A.) (National Association of Insurance Commissioners NAIC id number: 65838 )
Policy contract number62531
Policy instance 1
Insurance contract or identification number62531
Number of Individuals Covered289
Insurance policy start date2023-01-01
Insurance policy end date2023-12-31
Total amount of commissions paid to insurance brokerUSD $14,084
Total amount of fees paid to insurance companyUSD $4,423
JOHN HANCOCK LIFE INSURANCE COMPANY (U.S.A.) (National Association of Insurance Commissioners NAIC id number: 65838 )
Policy contract number62531
Policy instance 1
Insurance contract or identification number62531
Insurance policy start date2022-01-01
Insurance policy end date2022-12-31
Total amount of commissions paid to insurance brokerUSD $30,939
Total amount of fees paid to insurance companyUSD $5,822
Commission paid to Insurance BrokerUSD $17,930
Insurance broker organization code?3
Amount paid for insurance broker fees5822
Additional information about fees paid to insurance brokerTPA SERVICE FEE
JOHN HANCOCK LIFE INSURANCE COMPANY (U.S.A.) (National Association of Insurance Commissioners NAIC id number: 65838 )
Policy contract number62531
Policy instance 1
Insurance contract or identification number62531
Number of Individuals Covered276
Insurance policy start date2021-01-01
Insurance policy end date2021-12-31
Total amount of commissions paid to insurance brokerUSD $32,352
Total amount of fees paid to insurance companyUSD $12,128
Commission paid to Insurance BrokerUSD $18,759
Insurance broker organization code?3
Amount paid for insurance broker fees12128
JOHN HANCOCK LIFE INSURANCE COMPANY (U.S.A.) (National Association of Insurance Commissioners NAIC id number: 65838 )
Policy contract number62531
Policy instance 1
Insurance contract or identification number62531
Number of Individuals Covered261
Insurance policy start date2020-01-01
Insurance policy end date2020-12-31
Total amount of commissions paid to insurance brokerUSD $29,449
Total amount of fees paid to insurance companyUSD $27,429
Commission paid to Insurance BrokerUSD $19,429
Insurance broker organization code?3
Amount paid for insurance broker fees27429
JOHN HANCOCK LIFE INSURANCE COMPANY (U.S.A.) (National Association of Insurance Commissioners NAIC id number: 65838 )
Policy contract number62531
Policy instance 1
Insurance contract or identification number62531
Number of Individuals Covered257
Insurance policy start date2019-01-01
Insurance policy end date2019-12-31
Total amount of commissions paid to insurance brokerUSD $28,634
Total amount of fees paid to insurance companyUSD $33,619
Commission paid to Insurance BrokerUSD $17,368
Insurance broker organization code?3
Amount paid for insurance broker fees33619
JOHN HANCOCK LIFE INSURANCE COMPANY (U.S.A.) (National Association of Insurance Commissioners NAIC id number: 65838 )
Policy contract number62531
Policy instance 1
Insurance contract or identification number62531
Number of Individuals Covered261
Insurance policy start date2018-03-01
Insurance policy end date2018-12-31
Total amount of commissions paid to insurance brokerUSD $19,893
Total amount of fees paid to insurance companyUSD $24,403
Commission paid to Insurance BrokerUSD $13,261
Insurance broker organization code?3
Amount paid for insurance broker fees24403
JOHN HANCOCK LIFE INSURANCE COMPANY (U.S.A.) (National Association of Insurance Commissioners NAIC id number: 65838 )
Policy contract number62531
Policy instance 1
Insurance contract or identification number62531
Number of Individuals Covered244
Insurance policy start date2017-03-01
Insurance policy end date2018-02-28
Total amount of commissions paid to insurance brokerUSD $21,093
Total amount of fees paid to insurance companyUSD $30,198
Commission paid to Insurance BrokerUSD $14,069
Insurance broker organization code?3
Amount paid for insurance broker fees30198
Additional information about fees paid to insurance brokerTPA AND ANNUAL AUDIT/ACCOUNTING FEE
Insurance broker nameE.R.I.S.A., INC.
JOHN HANCOCK LIFE INSURANCE COMPANY (U.S.A.) (National Association of Insurance Commissioners NAIC id number: 65838 )
Policy contract number62531
Policy instance 1
Insurance contract or identification number62531
Number of Individuals Covered222
Insurance policy start date2015-03-01
Insurance policy end date2016-02-28
Total amount of commissions paid to insurance brokerUSD $10,452
Total amount of fees paid to insurance companyUSD $23,085
Commission paid to Insurance BrokerUSD $5,801
Insurance broker organization code?3
Amount paid for insurance broker fees23085
Insurance broker nameE.R.I.S.A., INC.
JOHN HANCOCK LIFE INSURANCE COMPANY (U.S.A.) (National Association of Insurance Commissioners NAIC id number: 65838 )
Policy contract number62531
Policy instance 1
Insurance contract or identification number62531
Number of Individuals Covered207
Insurance policy start date2014-03-01
Insurance policy end date2015-02-28
Total amount of commissions paid to insurance brokerUSD $15,555
Total amount of fees paid to insurance companyUSD $29,225
Commission paid to Insurance BrokerUSD $15,555
Insurance broker organization code?3
Amount paid for insurance broker fees29225
Additional information about fees paid to insurance brokerTPA FEES
Insurance broker nameE.R.I.S.A., INC.
JOHN HANCOCK LIFE INSURANCE COMPANY (U.S.A.) (National Association of Insurance Commissioners NAIC id number: 65838 )
Policy contract number62531
Policy instance 1
Insurance contract or identification number62531
Number of Individuals Covered143
Insurance policy start date2013-03-01
Insurance policy end date2014-02-28
Total amount of commissions paid to insurance brokerUSD $19,599
Total amount of fees paid to insurance companyUSD $1
Commission paid to Insurance BrokerUSD $16,028
Insurance broker organization code?3
Amount paid for insurance broker fees0
Additional information about fees paid to insurance brokerTPA
Insurance broker nameFIDELITY MANAGEMENT & TRUST CO
JOHN HANCOCK LIFE INSURANCE COMPANY (U.S.A.) (National Association of Insurance Commissioners NAIC id number: 65838 )
Policy contract number62531
Policy instance 1
Insurance contract or identification number62531
Number of Individuals Covered133
Insurance policy start date2012-03-01
Insurance policy end date2013-02-28
Total amount of commissions paid to insurance brokerUSD $13,001
Total amount of fees paid to insurance companyUSD $28,766
Commission paid to Insurance BrokerUSD $13,001
Insurance broker organization code?3
Amount paid for insurance broker fees28764
Additional information about fees paid to insurance brokerREDEMPTION FEE
Insurance broker nameFIDELITY MANAGEMENT & TRUST CO
JOHN HANCOCK LIFE INSURANCE COMPANY (U.S.A.) (National Association of Insurance Commissioners NAIC id number: 65838 )
Policy contract number62531
Policy instance 1
Insurance contract or identification number62531
Number of Individuals Covered146
Insurance policy start date2011-03-01
Insurance policy end date2012-02-28
Total amount of commissions paid to insurance brokerUSD $10,735
Total amount of fees paid to insurance companyUSD $27,462
JOHN HANCOCK LIFE INSURANCE COMPANY (U.S.A.) (National Association of Insurance Commissioners NAIC id number: 65838 )
Policy contract number62531
Policy instance 1
Insurance contract or identification number62531
Number of Individuals Covered146
Insurance policy start date2010-03-01
Insurance policy end date2011-02-28
Total amount of commissions paid to insurance brokerUSD $8,525
Total amount of fees paid to insurance companyUSD $24,980

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