401k Plan data: AMERICAN ASSOCIATION OF ORTHODONTISTS 401(K) PLAN plan

AMERICAN ASSOCIATION OF ORTHODONTISTS 401(K) PLAN 401k Plan overview

Plan Name	AMERICAN ASSOCIATION OF ORTHODONTISTS 401(K) PLAN
Plan identification number	002

AMERICAN ASSOCIATION OF ORTHODONTISTS 401(K) PLAN Benefits

401k Plan Type

Defined Contribution Pension

Plan Features/Benefits

Profit-sharing
ERISA section 404(c) Plan - This plan, or any part of it is intended to meet the conditions of 29 CFR 2550.404c-1.
Total participant-directed account plan - Participants have the opportunity to direct the investment of all the assets allocated to their individual accounts, regardless of whether 29 CFR 2550.404c-1 is intended to be met.
Code section 401(k) feature - A cash or deferred arrangement described in Code section 401(k) that is part of a qualified defined contribution plan that provides for an election by employees to defer part of their compensation or receive these amounts in cash.
Code section 401(m) arrangement - Employee contributions are allocated to separate accounts under the plan or employer contributions are based, in whole or in part, on employee deferrals or contribtions to the plan. Not applicable if plan is 401(k) plan with only QNECs and/or QMACs. Also not applicable if Code section 403(b)(1), 403(b)(7) or 408 arrangements/accounts/annuities.
Participant-directed brokerage accounts provided as an investment option under the plan.
Plan provides for automatic enrollment in plan that has employee contributions deducted from payroll.
Total or partial participant-directed account plan - plan uses default investment account for participants who fail to direct assets in their account.
Master plan - A pension plan that is made available by a sponsor for adoption by employers; that is the subject of a favorable opinion letter; and for which a single funding medium (for example, a trust or custodial account) is established for the joint use of all adopting employers.

401k Sponsoring company profile

AMERICAN ASSOCIATION OF ORTHODONTISTS has sponsored the creation of one or more 401k plans.

Company Name: AMERICAN ASSOCIATION OF ORTHODONTISTS

Employer identification number (EIN): 430763598

NAIC Classification: 813000
NAIC Description: Religious, Grantmaking, Civic, Professional, and Similar Organizations

Form 5500 Filing Information

Submission information for form 5500 for 401k plan AMERICAN ASSOCIATION OF ORTHODONTISTS 401(K) PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
002 2023-01-01
002 2022-01-01
002 2021-01-01
002 2020-01-01
002 2019-01-01
002 2018-01-01
002 2017-01-01
002 2016-01-01
002 2015-01-01
002 2014-01-01 JILL NOWAK 2015-08-13
002 2013-01-01 JILL NOWAK 2014-07-30
002 2012-01-01 JILL NOWAK 2013-05-28

Plan Statistics for AMERICAN ASSOCIATION OF ORTHODONTISTS 401(K) PLAN

401k plan membership statisitcs for AMERICAN ASSOCIATION OF ORTHODONTISTS 401(K) PLAN

Measure Date Value
2023: AMERICAN ASSOCIATION OF ORTHODONTISTS 401(K) PLAN 2023 401k membership
Total participants, beginning-of-year 2023-01-01 81
Total number of active participants reported on line 7a of the Form 5500 2023-01-01 58
Number of retired or separated participants receiving benefits 2023-01-01 0
Number of other retired or separated participants entitled to future benefits 2023-01-01 18
Total of all active and inactive participants 2023-01-01 76
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2023-01-01 0
Total participants 2023-01-01 76
Number of participants with account balances 2023-01-01 73
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2023-01-01 0
2022: AMERICAN ASSOCIATION OF ORTHODONTISTS 401(K) PLAN 2022 401k membership
Total participants, beginning-of-year 2022-01-01 74
Total number of active participants reported on line 7a of the Form 5500 2022-01-01 60
Number of retired or separated participants receiving benefits 2022-01-01 0
Number of other retired or separated participants entitled to future benefits 2022-01-01 21
Total of all active and inactive participants 2022-01-01 81
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2022-01-01 0
Total participants 2022-01-01 81
Number of participants with account balances 2022-01-01 72
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2022-01-01 10
2021: AMERICAN ASSOCIATION OF ORTHODONTISTS 401(K) PLAN 2021 401k membership
Total participants, beginning-of-year 2021-01-01 73
Total number of active participants reported on line 7a of the Form 5500 2021-01-01 57
Number of retired or separated participants receiving benefits 2021-01-01 0
Number of other retired or separated participants entitled to future benefits 2021-01-01 17
Total of all active and inactive participants 2021-01-01 74
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2021-01-01 0
Total participants 2021-01-01 74
Number of participants with account balances 2021-01-01 72
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2021-01-01 5
2020: AMERICAN ASSOCIATION OF ORTHODONTISTS 401(K) PLAN 2020 401k membership
Total participants, beginning-of-year 2020-01-01 73
Total number of active participants reported on line 7a of the Form 5500 2020-01-01 58
Number of retired or separated participants receiving benefits 2020-01-01 0
Number of other retired or separated participants entitled to future benefits 2020-01-01 15
Total of all active and inactive participants 2020-01-01 73
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2020-01-01 0
Total participants 2020-01-01 73
Number of participants with account balances 2020-01-01 69
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2020-01-01 6
2019: AMERICAN ASSOCIATION OF ORTHODONTISTS 401(K) PLAN 2019 401k membership
Total participants, beginning-of-year 2019-01-01 73
Total number of active participants reported on line 7a of the Form 5500 2019-01-01 59
Number of retired or separated participants receiving benefits 2019-01-01 0
Number of other retired or separated participants entitled to future benefits 2019-01-01 14
Total of all active and inactive participants 2019-01-01 73
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2019-01-01 0
Total participants 2019-01-01 73
Number of participants with account balances 2019-01-01 72
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2019-01-01 0

Measure	Date	Value
2023: AMERICAN ASSOCIATION OF ORTHODONTISTS 401(K) PLAN 2023 401k membership
Total participants, beginning-of-year	2023-01-01	81
Total number of active participants reported on line 7a of the Form 5500	2023-01-01	58
Number of retired or separated participants receiving benefits	2023-01-01	0
Number of other retired or separated participants entitled to future benefits	2023-01-01	18
Total of all active and inactive participants	2023-01-01	76
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2023-01-01	0
Total participants	2023-01-01	76
Number of participants with account balances	2023-01-01	73
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2023-01-01	0
2022: AMERICAN ASSOCIATION OF ORTHODONTISTS 401(K) PLAN 2022 401k membership
Total participants, beginning-of-year	2022-01-01	74
Total number of active participants reported on line 7a of the Form 5500	2022-01-01	60
Number of retired or separated participants receiving benefits	2022-01-01	0
Number of other retired or separated participants entitled to future benefits	2022-01-01	21
Total of all active and inactive participants	2022-01-01	81
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2022-01-01	0
Total participants	2022-01-01	81
Number of participants with account balances	2022-01-01	72
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2022-01-01	10
2021: AMERICAN ASSOCIATION OF ORTHODONTISTS 401(K) PLAN 2021 401k membership
Total participants, beginning-of-year	2021-01-01	73
Total number of active participants reported on line 7a of the Form 5500	2021-01-01	57
Number of retired or separated participants receiving benefits	2021-01-01	0
Number of other retired or separated participants entitled to future benefits	2021-01-01	17
Total of all active and inactive participants	2021-01-01	74
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2021-01-01	0
Total participants	2021-01-01	74
Number of participants with account balances	2021-01-01	72
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2021-01-01	5
2020: AMERICAN ASSOCIATION OF ORTHODONTISTS 401(K) PLAN 2020 401k membership
Total participants, beginning-of-year	2020-01-01	73
Total number of active participants reported on line 7a of the Form 5500	2020-01-01	58
Number of retired or separated participants receiving benefits	2020-01-01	0
Number of other retired or separated participants entitled to future benefits	2020-01-01	15
Total of all active and inactive participants	2020-01-01	73
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2020-01-01	0
Total participants	2020-01-01	73
Number of participants with account balances	2020-01-01	69
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2020-01-01	6
2019: AMERICAN ASSOCIATION OF ORTHODONTISTS 401(K) PLAN 2019 401k membership
Total participants, beginning-of-year	2019-01-01	73
Total number of active participants reported on line 7a of the Form 5500	2019-01-01	59
Number of retired or separated participants receiving benefits	2019-01-01	0
Number of other retired or separated participants entitled to future benefits	2019-01-01	14
Total of all active and inactive participants	2019-01-01	73
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2019-01-01	0
Total participants	2019-01-01	73
Number of participants with account balances	2019-01-01	72
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2019-01-01	0

Financial Data on AMERICAN ASSOCIATION OF ORTHODONTISTS 401(K) PLAN

Measure	Date	Value
2023 : AMERICAN ASSOCIATION OF ORTHODONTISTS 401(K) PLAN 2023 401k financial data
Transfers to/from the plan	2023-12-31	$0
Total plan liabilities at end of year	2023-12-31	$0
Total plan liabilities at beginning of year	2023-12-31	$0
Total income from all sources	2023-12-31	$2,764,548
Expenses. Total of all expenses incurred	2023-12-31	$92,111
Benefits paid (including direct rollovers)	2023-12-31	$92,872
Total plan assets at end of year	2023-12-31	$11,744,823
Total plan assets at beginning of year	2023-12-31	$9,072,386
Value of fidelity bond covering the plan	2023-12-31	$500,000
Assets. Value of tangible personal property	2023-12-31	$0
Total contributions received or receivable from participants	2023-12-31	$449,715
Assets. Value of loans (other than to participants)	2023-12-31	$0
Expenses. Other expenses not covered elsewhere	2023-12-31	$0
Contributions received from other sources (not participants or employers)	2023-12-31	$115,043
Other income received	2023-12-31	$1,710,662
Noncash contributions received	2023-12-31	$0
Net income (gross income less expenses)	2023-12-31	$2,672,437
Net plan assets at end of year (total assets less liabilities)	2023-12-31	$11,744,823
Net plan assets at beginning of year (total assets less liabilities)	2023-12-31	$9,072,386
Assets. Value of participant loans	2023-12-31	$101,200
Assets. Value of assets in partnership/joint-venture interests	2023-12-31	$0
Assets. Value of real-estate (other than employer real property)	2023-12-31	$0
Assets. Value of employer securities	2023-12-31	$0
Assets. Value of employer real property	2023-12-31	$0
Total contributions received or receivable from employer(s)	2023-12-31	$489,128
Value of certain deemed distributions of participant loans	2023-12-31	$0
Value of corrective distributions	2023-12-31	$78
Expenses. Administrative service providers (salaries,fees and commissions)	2023-12-31	$-839
2022 : AMERICAN ASSOCIATION OF ORTHODONTISTS 401(K) PLAN 2022 401k financial data
Transfers to/from the plan	2022-12-31	$0
Total plan liabilities at end of year	2022-12-31	$0
Total plan liabilities at beginning of year	2022-12-31	$0
Total income from all sources	2022-12-31	$-724,640
Expenses. Total of all expenses incurred	2022-12-31	$615,655
Benefits paid (including direct rollovers)	2022-12-31	$615,645
Total plan assets at end of year	2022-12-31	$9,072,386
Total plan assets at beginning of year	2022-12-31	$10,412,681
Value of fidelity bond covering the plan	2022-12-31	$500,000
Total contributions received or receivable from participants	2022-12-31	$414,032
Expenses. Other expenses not covered elsewhere	2022-12-31	$0
Contributions received from other sources (not participants or employers)	2022-12-31	$268,511
Other income received	2022-12-31	$-1,944,864
Noncash contributions received	2022-12-31	$0
Net income (gross income less expenses)	2022-12-31	$-1,340,295
Net plan assets at end of year (total assets less liabilities)	2022-12-31	$9,072,386
Net plan assets at beginning of year (total assets less liabilities)	2022-12-31	$10,412,681
Assets. Value of participant loans	2022-12-31	$64,166
Total contributions received or receivable from employer(s)	2022-12-31	$537,681
Value of certain deemed distributions of participant loans	2022-12-31	$0
Value of corrective distributions	2022-12-31	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2022-12-31	$10
2021 : AMERICAN ASSOCIATION OF ORTHODONTISTS 401(K) PLAN 2021 401k financial data
Transfers to/from the plan	2021-12-31	$0
Total plan liabilities at end of year	2021-12-31	$0
Total plan liabilities at beginning of year	2021-12-31	$0
Total income from all sources	2021-12-31	$2,150,024
Expenses. Total of all expenses incurred	2021-12-31	$3,010,277
Benefits paid (including direct rollovers)	2021-12-31	$3,010,782
Total plan assets at end of year	2021-12-31	$10,412,681
Total plan assets at beginning of year	2021-12-31	$11,272,934
Value of fidelity bond covering the plan	2021-12-31	$500,000
Assets. Value of tangible personal property	2021-12-31	$0
Total contributions received or receivable from participants	2021-12-31	$415,058
Assets. Value of loans (other than to participants)	2021-12-31	$0
Expenses. Other expenses not covered elsewhere	2021-12-31	$0
Contributions received from other sources (not participants or employers)	2021-12-31	$40,025
Other income received	2021-12-31	$1,241,280
Noncash contributions received	2021-12-31	$0
Net income (gross income less expenses)	2021-12-31	$-860,253
Net plan assets at end of year (total assets less liabilities)	2021-12-31	$10,412,681
Net plan assets at beginning of year (total assets less liabilities)	2021-12-31	$11,272,934
Assets. Value of participant loans	2021-12-31	$45,970
Assets. Value of assets in partnership/joint-venture interests	2021-12-31	$0
Assets. Value of real-estate (other than employer real property)	2021-12-31	$0
Assets. Value of employer securities	2021-12-31	$0
Assets. Value of employer real property	2021-12-31	$0
Total contributions received or receivable from employer(s)	2021-12-31	$453,661
Value of certain deemed distributions of participant loans	2021-12-31	$0
Value of corrective distributions	2021-12-31	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2021-12-31	$-505
2020 : AMERICAN ASSOCIATION OF ORTHODONTISTS 401(K) PLAN 2020 401k financial data
Transfers to/from the plan	2020-12-31	$1,285
Total plan liabilities at end of year	2020-12-31	$0
Total plan liabilities at beginning of year	2020-12-31	$0
Total income from all sources	2020-12-31	$2,360,565
Expenses. Total of all expenses incurred	2020-12-31	$64,730
Benefits paid (including direct rollovers)	2020-12-31	$65,230
Total plan assets at end of year	2020-12-31	$11,272,934
Total plan assets at beginning of year	2020-12-31	$8,975,814
Value of fidelity bond covering the plan	2020-12-31	$500,000
Total contributions received or receivable from participants	2020-12-31	$408,785
Expenses. Other expenses not covered elsewhere	2020-12-31	$0
Contributions received from other sources (not participants or employers)	2020-12-31	$30,621
Other income received	2020-12-31	$1,473,988
Noncash contributions received	2020-12-31	$0
Net income (gross income less expenses)	2020-12-31	$2,295,835
Net plan assets at end of year (total assets less liabilities)	2020-12-31	$11,272,934
Net plan assets at beginning of year (total assets less liabilities)	2020-12-31	$8,975,814
Assets. Value of participant loans	2020-12-31	$30,474
Total contributions received or receivable from employer(s)	2020-12-31	$447,171
Value of certain deemed distributions of participant loans	2020-12-31	$0
Value of corrective distributions	2020-12-31	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2020-12-31	$-500
2019 : AMERICAN ASSOCIATION OF ORTHODONTISTS 401(K) PLAN 2019 401k financial data
Transfers to/from the plan	2019-12-31	$0
Total plan liabilities at end of year	2019-12-31	$0
Total plan liabilities at beginning of year	2019-12-31	$5,613
Total income from all sources	2019-12-31	$2,782,006
Expenses. Total of all expenses incurred	2019-12-31	$3,625,991
Benefits paid (including direct rollovers)	2019-12-31	$3,625,928
Total plan assets at end of year	2019-12-31	$8,975,814
Total plan assets at beginning of year	2019-12-31	$9,825,412
Value of fidelity bond covering the plan	2019-12-31	$500,000
Total contributions received or receivable from participants	2019-12-31	$406,478
Expenses. Other expenses not covered elsewhere	2019-12-31	$0
Contributions received from other sources (not participants or employers)	2019-12-31	$40,464
Other income received	2019-12-31	$1,799,182
Noncash contributions received	2019-12-31	$0
Net income (gross income less expenses)	2019-12-31	$-843,985
Net plan assets at end of year (total assets less liabilities)	2019-12-31	$8,975,814
Net plan assets at beginning of year (total assets less liabilities)	2019-12-31	$9,819,799
Assets. Value of participant loans	2019-12-31	$49,853
Total contributions received or receivable from employer(s)	2019-12-31	$535,882
Value of certain deemed distributions of participant loans	2019-12-31	$0
Value of corrective distributions	2019-12-31	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2019-12-31	$63

Form 5500 Responses for AMERICAN ASSOCIATION OF ORTHODONTISTS 401(K) PLAN

2023: AMERICAN ASSOCIATION OF ORTHODONTISTS 401(K) PLAN 2023 form 5500 responses
2023-01-01	Type of plan entity	Single employer plan
2023-01-01	This submission is the final filing	No
2023-01-01	Plan is a collectively bargained plan	No
2023-01-01	Plan funding arrangement – Trust	Yes
2023-01-01	Plan benefit arrangement - Trust	Yes
2022: AMERICAN ASSOCIATION OF ORTHODONTISTS 401(K) PLAN 2022 form 5500 responses
2022-01-01	Type of plan entity	Single employer plan
2022-01-01	Submission has been amended	No
2022-01-01	This submission is the final filing	No
2022-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2022-01-01	Plan is a collectively bargained plan	No
2022-01-01	Plan funding arrangement – Trust	Yes
2022-01-01	Plan benefit arrangement - Trust	Yes
2021: AMERICAN ASSOCIATION OF ORTHODONTISTS 401(K) PLAN 2021 form 5500 responses
2021-01-01	Type of plan entity	Single employer plan
2021-01-01	This submission is the final filing	No
2021-01-01	Plan is a collectively bargained plan	No
2021-01-01	Plan funding arrangement – Trust	Yes
2021-01-01	Plan benefit arrangement - Trust	Yes
2020: AMERICAN ASSOCIATION OF ORTHODONTISTS 401(K) PLAN 2020 form 5500 responses
2020-01-01	Type of plan entity	Single employer plan
2020-01-01	Submission has been amended	No
2020-01-01	This submission is the final filing	No
2020-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2020-01-01	Plan is a collectively bargained plan	No
2020-01-01	Plan funding arrangement – Trust	Yes
2020-01-01	Plan benefit arrangement - Trust	Yes
2019: AMERICAN ASSOCIATION OF ORTHODONTISTS 401(K) PLAN 2019 form 5500 responses
2019-01-01	Type of plan entity	Single employer plan
2019-01-01	Submission has been amended	No
2019-01-01	This submission is the final filing	No
2019-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2019-01-01	Plan is a collectively bargained plan	No
2019-01-01	Plan funding arrangement – Trust	Yes
2019-01-01	Plan benefit arrangement - Trust	Yes

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Company Name:	AMERICAN ASSOCIATION OF ORTHODONTISTS
Employer identification number (EIN):	430763598
NAIC Classification:	813000
NAIC Description:	Religious, Grantmaking, Civic, Professional, and Similar Organizations