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SMITH & BROOKER, P.C. 401(K) PROFIT SHARING PLAN FOR EMPLOYEES 401k Plan overview

Plan NameSMITH & BROOKER, P.C. 401(K) PROFIT SHARING PLAN FOR EMPLOYEES
Plan identification number 002

SMITH & BROOKER, P.C. 401(K) PROFIT SHARING PLAN FOR EMPLOYEES Benefits

401k Plan TypeDefined Contribution Pension
Plan Features/Benefits
  • Profit-sharing
  • ERISA section 404(c) Plan - This plan, or any part of it is intended to meet the conditions of 29 CFR 2550.404c-1.
  • Total participant-directed account plan - Participants have the opportunity to direct the investment of all the assets allocated to their individual accounts, regardless of whether 29 CFR 2550.404c-1 is intended to be met.
  • Code section 401(k) feature - A cash or deferred arrangement described in Code section 401(k) that is part of a qualified defined contribution plan that provides for an election by employees to defer part of their compensation or receive these amounts in cash.
  • 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

SMITH & BROOKER, P.C. has sponsored the creation of one or more 401k plans.

Company Name:SMITH & BROOKER, P.C.
Employer identification number (EIN):381894543
NAIC Classification:541110
NAIC Description:Offices of Lawyers

Form 5500 Filing Information

Submission information for form 5500 for 401k plan SMITH & BROOKER, P.C. 401(K) PROFIT SHARING PLAN FOR EMPLOYEES

Plan id# Filing Submission Date Name of Administrator Date Administrator SignedName of Company SponsorDate Sponsor Signed
0022022-08-01KAREN KAYNER2023-10-02
0022021-08-01KAREN KAYNER2023-01-23
0022020-08-01KAREN KAYNER2021-11-04
0022018-08-01
0022017-08-01
0022016-08-01
0022015-08-01
0022014-08-01CHARLES HEWITT2016-05-10
0022013-08-01CHARLES HEWITT2015-02-17
0022012-08-01CHARLES HEWITT2014-01-24 CHARLES HEWITT2014-01-24
0022011-08-01CHARLES HEWITT2012-12-12 CHARLES HEWITT2012-12-12
0022010-08-01CHARLES HEWITT CHARLES HEWITT2012-03-12
0022009-08-01CHARLES HEWITT CHARLES HEWITT2010-12-07

Plan Statistics for SMITH & BROOKER, P.C. 401(K) PROFIT SHARING PLAN FOR EMPLOYEES

401k plan membership statisitcs for SMITH & BROOKER, P.C. 401(K) PROFIT SHARING PLAN FOR EMPLOYEES

Measure Date Value
2010: SMITH & BROOKER, P.C. 401(K) PROFIT SHARING PLAN FOR EMPLOYEES 2010 401k membership
Total participants, beginning-of-year2010-08-0113
Total number of active participants reported on line 7a of the Form 55002010-08-019
Number of retired or separated participants receiving benefits2010-08-010
Number of other retired or separated participants entitled to future benefits2010-08-014
Total of all active and inactive participants2010-08-0113
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2010-08-010
Total participants2010-08-0113
Number of participants with account balances2010-08-0112
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2010-08-010
2009: SMITH & BROOKER, P.C. 401(K) PROFIT SHARING PLAN FOR EMPLOYEES 2009 401k membership
Total participants, beginning-of-year2009-08-0112
Total number of active participants reported on line 7a of the Form 55002009-08-0110
Number of retired or separated participants receiving benefits2009-08-010
Number of other retired or separated participants entitled to future benefits2009-08-013
Total of all active and inactive participants2009-08-0113
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2009-08-010
Total participants2009-08-0113
Number of participants with account balances2009-08-0113
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2009-08-010

Financial Data on SMITH & BROOKER, P.C. 401(K) PROFIT SHARING PLAN FOR EMPLOYEES

Measure Date Value
2011 : SMITH & BROOKER, P.C. 401(K) PROFIT SHARING PLAN FOR EMPLOYEES 2011 401k financial data
Transfers to/from the plan2011-07-31$0
Total plan liabilities at end of year2011-07-31$0
Total plan liabilities at beginning of year2011-07-31$0
Total income from all sources2011-07-31$152,424
Expenses. Total of all expenses incurred2011-07-31$69,336
Benefits paid (including direct rollovers)2011-07-31$59,366
Total plan assets at end of year2011-07-31$1,148,678
Total plan assets at beginning of year2011-07-31$1,065,590
Value of fidelity bond covering the plan2011-07-31$100,000
Total contributions received or receivable from participants2011-07-31$18,710
Expenses. Other expenses not covered elsewhere2011-07-31$0
Contributions received from other sources (not participants or employers)2011-07-31$0
Other income received2011-07-31$126,623
Noncash contributions received2011-07-31$0
Net income (gross income less expenses)2011-07-31$83,088
Net plan assets at end of year (total assets less liabilities)2011-07-31$1,148,678
Net plan assets at beginning of year (total assets less liabilities)2011-07-31$1,065,590
Assets. Value of participant loans2011-07-31$84,510
Total contributions received or receivable from employer(s)2011-07-31$7,091
Value of certain deemed distributions of participant loans2011-07-31$0
Value of corrective distributions2011-07-31$0
Expenses. Administrative service providers (salaries,fees and commissions)2011-07-31$9,970
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2011-07-31$0
2010 : SMITH & BROOKER, P.C. 401(K) PROFIT SHARING PLAN FOR EMPLOYEES 2010 401k financial data
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2010-07-31$0

Form 5500 Responses for SMITH & BROOKER, P.C. 401(K) PROFIT SHARING PLAN FOR EMPLOYEES

2010: SMITH & BROOKER, P.C. 401(K) PROFIT SHARING PLAN FOR EMPLOYEES 2010 form 5500 responses
2010-08-01Type of plan entitySingle employer plan
2010-08-01Submission has been amendedNo
2010-08-01This submission is the final filingNo
2010-08-01This return/report is a short plan year return/report (less than 12 months)No
2010-08-01Plan is a collectively bargained planNo
2010-08-01Plan funding arrangement – InsuranceYes
2010-08-01Plan funding arrangement – TrustYes
2010-08-01Plan benefit arrangement – InsuranceYes
2010-08-01Plan benefit arrangement - TrustYes
2009: SMITH & BROOKER, P.C. 401(K) PROFIT SHARING PLAN FOR EMPLOYEES 2009 form 5500 responses
2009-08-01Type of plan entitySingle employer plan
2009-08-01Submission has been amendedNo
2009-08-01This submission is the final filingNo
2009-08-01This return/report is a short plan year return/report (less than 12 months)No
2009-08-01Plan is a collectively bargained planNo
2009-08-01Plan funding arrangement – InsuranceYes
2009-08-01Plan funding arrangement – TrustYes
2009-08-01Plan benefit arrangement – InsuranceYes
2009-08-01Plan benefit arrangement - TrustYes

Insurance Providers Used on plan

STATE FARM LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 69108 )
Policy contract numberLF-0550-8091
Policy instance 1
Insurance contract or identification numberLF-0550-8091
Number of Individuals Covered1
Insurance policy start date2010-08-01
Insurance policy end date2011-07-31
Total amount of commissions paid to insurance brokerUSD $0
Total amount of fees paid to insurance companyUSD $0
Are there contracts with allocated funds for individual policies?No
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?No
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
HARTFORD LIFE & ANNUITY (National Association of Insurance Commissioners NAIC id number: 71153 )
Policy contract numberVL9381446
Policy instance 2
Insurance contract or identification numberVL9381446
Number of Individuals Covered1
Insurance policy start date2010-08-01
Insurance policy end date2011-07-31
Total amount of commissions paid to insurance brokerUSD $0
Total amount of fees paid to insurance companyUSD $0
Are there contracts with allocated funds for individual policies?No
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?No
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
HARTFORD LIFE & ANNUITY (National Association of Insurance Commissioners NAIC id number: 71153 )
Policy contract numberVL9387868
Policy instance 3
Insurance contract or identification numberVL9387868
Number of Individuals Covered1
Insurance policy start date2010-08-01
Insurance policy end date2011-07-31
Total amount of commissions paid to insurance brokerUSD $0
Total amount of fees paid to insurance companyUSD $0
Are there contracts with allocated funds for individual policies?No
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?No
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No

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