401k Plan data: NATIONAL ASSOCIATION OF INSURANCE AND FINANCIAL ADVISORS EMPLOYEES' PENSION PLAN plan

NATIONAL ASSOCIATION OF INSURANCE AND FINANCIAL ADVISORS EMPLOYEES' PENSION PLAN 401k Plan overview

Plan Name	NATIONAL ASSOCIATION OF INSURANCE AND FINANCIAL ADVISORS EMPLOYEES' PENSION PLAN
Plan identification number	001

NATIONAL ASSOCIATION OF INSURANCE AND FINANCIAL ADVISORS EMPLOYEES' PENSION PLAN Benefits

401k Plan Type

Defined Benefit Pension

Plan Features/Benefits

Benefits are primarily pay related
Covered by PBGC - Plan is covered under the PBGC insurance program (see ERISA section 4021).
Plan covered by PBGC that was terminated and closed out for PBGC purposes - Before the end of the plan year (or a prior plan year), (1) the plan terminated in a standard (or distress) termination and completed the distribution of plan assets in satisfaction of all benefit liabilities (or all ERISA Title IV benefits for distress termination); or (2) a trustee was appointed for a terminated plan pursuant to ERISA section 4042.
Frozen Plan - As of the last day of the plan year, the plan provides that no participant will get any new benefit accrual (whether because of service or compensation).

401k Sponsoring company profile

NATIONAL ASSOCIATION OF INSURANCE AND FINANCIAL ADVISORS has sponsored the creation of one or more 401k plans.

Company Name: NATIONAL ASSOCIATION OF INSURANCE AND FINANCIAL ADVISORS

Employer identification number (EIN): 530232489

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

Form 5500 Filing Information

Submission information for form 5500 for 401k plan NATIONAL ASSOCIATION OF INSURANCE AND FINANCIAL ADVISORS EMPLOYEES' PENSION PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2015-09-01 MICHAEL GERBER 2016-11-30 MICHAEL GERBER 2016-11-30
001 2014-09-01 MICHAEL GERBER 2016-05-27 MICHAEL GERBER 2016-05-27
001 2013-09-01 PAUL WESSEL PAUL WESSEL 2015-05-14
001 2012-09-01 PAUL WESSEL PAUL WESSEL 2014-06-13
001 2011-09-01 PAUL WESSEL PAUL WESSEL 2013-06-04
001 2010-09-01 PAUL WESSEL
001 2009-09-01 PAUL WESSEL
001 2009-09-01 PAUL WESSEL

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed	Name of Company Sponsor	Date Sponsor Signed
001	2015-09-01	MICHAEL GERBER	2016-11-30	MICHAEL GERBER	2016-11-30
001	2014-09-01	MICHAEL GERBER	2016-05-27	MICHAEL GERBER	2016-05-27
001	2013-09-01	PAUL WESSEL		PAUL WESSEL	2015-05-14
001	2012-09-01	PAUL WESSEL		PAUL WESSEL	2014-06-13
001	2011-09-01	PAUL WESSEL		PAUL WESSEL	2013-06-04
001	2010-09-01	PAUL WESSEL
001	2009-09-01	PAUL WESSEL
001	2009-09-01	PAUL WESSEL

Plan Statistics for NATIONAL ASSOCIATION OF INSURANCE AND FINANCIAL ADVISORS EMPLOYEES' PENSION PLAN

401k plan membership statisitcs for NATIONAL ASSOCIATION OF INSURANCE AND FINANCIAL ADVISORS EMPLOYEES' PENSION PLAN

Measure Date Value
2013: NATIONAL ASSOCIATION OF INSURANCE AND FINANCIAL ADVISORS EMPLOYEES' PENSION PLAN 2013 401k membership
Total participants, beginning-of-year 2013-09-01 102
Total number of active participants reported on line 7a of the Form 5500 2013-09-01 11
Number of retired or separated participants receiving benefits 2013-09-01 16
Number of other retired or separated participants entitled to future benefits 2013-09-01 68
Total of all active and inactive participants 2013-09-01 95
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2013-09-01 3
Total participants 2013-09-01 98
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2013-09-01 0
2012: NATIONAL ASSOCIATION OF INSURANCE AND FINANCIAL ADVISORS EMPLOYEES' PENSION PLAN 2012 401k membership
Total participants, beginning-of-year 2012-09-01 105
Total number of active participants reported on line 7a of the Form 5500 2012-09-01 12
Number of retired or separated participants receiving benefits 2012-09-01 17
Number of other retired or separated participants entitled to future benefits 2012-09-01 69
Total of all active and inactive participants 2012-09-01 98
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2012-09-01 4
Total participants 2012-09-01 102
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2012-09-01 0
2011: NATIONAL ASSOCIATION OF INSURANCE AND FINANCIAL ADVISORS EMPLOYEES' PENSION PLAN 2011 401k membership
Total participants, beginning-of-year 2011-09-01 106
Total number of active participants reported on line 7a of the Form 5500 2011-09-01 12
Number of retired or separated participants receiving benefits 2011-09-01 16
Number of other retired or separated participants entitled to future benefits 2011-09-01 73
Total of all active and inactive participants 2011-09-01 101
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-09-01 4
Total participants 2011-09-01 105
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-09-01 0
2010: NATIONAL ASSOCIATION OF INSURANCE AND FINANCIAL ADVISORS EMPLOYEES' PENSION PLAN 2010 401k membership
Total participants, beginning-of-year 2010-09-01 107
Total number of active participants reported on line 7a of the Form 5500 2010-09-01 14
Number of retired or separated participants receiving benefits 2010-09-01 13
Number of other retired or separated participants entitled to future benefits 2010-09-01 75
Total of all active and inactive participants 2010-09-01 102
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2010-09-01 4
Total participants 2010-09-01 106
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2010-09-01 0
2009: NATIONAL ASSOCIATION OF INSURANCE AND FINANCIAL ADVISORS EMPLOYEES' PENSION PLAN 2009 401k membership
Total participants, beginning-of-year 2009-09-01 107
Total number of active participants reported on line 7a of the Form 5500 2009-09-01 15
Number of retired or separated participants receiving benefits 2009-09-01 13
Number of other retired or separated participants entitled to future benefits 2009-09-01 76
Total of all active and inactive participants 2009-09-01 104
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-09-01 3
Total participants 2009-09-01 107
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-09-01 0

Measure	Date	Value
2013: NATIONAL ASSOCIATION OF INSURANCE AND FINANCIAL ADVISORS EMPLOYEES' PENSION PLAN 2013 401k membership
Total participants, beginning-of-year	2013-09-01	102
Total number of active participants reported on line 7a of the Form 5500	2013-09-01	11
Number of retired or separated participants receiving benefits	2013-09-01	16
Number of other retired or separated participants entitled to future benefits	2013-09-01	68
Total of all active and inactive participants	2013-09-01	95
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2013-09-01	3
Total participants	2013-09-01	98
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2013-09-01	0
2012: NATIONAL ASSOCIATION OF INSURANCE AND FINANCIAL ADVISORS EMPLOYEES' PENSION PLAN 2012 401k membership
Total participants, beginning-of-year	2012-09-01	105
Total number of active participants reported on line 7a of the Form 5500	2012-09-01	12
Number of retired or separated participants receiving benefits	2012-09-01	17
Number of other retired or separated participants entitled to future benefits	2012-09-01	69
Total of all active and inactive participants	2012-09-01	98
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2012-09-01	4
Total participants	2012-09-01	102
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2012-09-01	0
2011: NATIONAL ASSOCIATION OF INSURANCE AND FINANCIAL ADVISORS EMPLOYEES' PENSION PLAN 2011 401k membership
Total participants, beginning-of-year	2011-09-01	106
Total number of active participants reported on line 7a of the Form 5500	2011-09-01	12
Number of retired or separated participants receiving benefits	2011-09-01	16
Number of other retired or separated participants entitled to future benefits	2011-09-01	73
Total of all active and inactive participants	2011-09-01	101
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-09-01	4
Total participants	2011-09-01	105
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-09-01	0
2010: NATIONAL ASSOCIATION OF INSURANCE AND FINANCIAL ADVISORS EMPLOYEES' PENSION PLAN 2010 401k membership
Total participants, beginning-of-year	2010-09-01	107
Total number of active participants reported on line 7a of the Form 5500	2010-09-01	14
Number of retired or separated participants receiving benefits	2010-09-01	13
Number of other retired or separated participants entitled to future benefits	2010-09-01	75
Total of all active and inactive participants	2010-09-01	102
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2010-09-01	4
Total participants	2010-09-01	106
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2010-09-01	0
2009: NATIONAL ASSOCIATION OF INSURANCE AND FINANCIAL ADVISORS EMPLOYEES' PENSION PLAN 2009 401k membership
Total participants, beginning-of-year	2009-09-01	107
Total number of active participants reported on line 7a of the Form 5500	2009-09-01	15
Number of retired or separated participants receiving benefits	2009-09-01	13
Number of other retired or separated participants entitled to future benefits	2009-09-01	76
Total of all active and inactive participants	2009-09-01	104
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-09-01	3
Total participants	2009-09-01	107
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-09-01	0

Financial Data on NATIONAL ASSOCIATION OF INSURANCE AND FINANCIAL ADVISORS EMPLOYEES' PENSION PLAN

Measure	Date	Value
2014 : NATIONAL ASSOCIATION OF INSURANCE AND FINANCIAL ADVISORS EMPLOYEES' PENSION PLAN 2014 401k financial data
Total unrealized appreciation/depreciation of assets	2014-08-31	$0
Total transfer of assets to this plan	2014-08-31	$0
Total transfer of assets from this plan	2014-08-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2014-08-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2014-08-31	$0
Total income from all sources (including contributions)	2014-08-31	$631,791
Total loss/gain on sale of assets	2014-08-31	$-26,163
Total of all expenses incurred	2014-08-31	$1,164,019
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2014-08-31	$1,120,045
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2014-08-31	$0
Value of total assets at end of year	2014-08-31	$10,000,174
Value of total assets at beginning of year	2014-08-31	$10,532,402
Total of administrative expenses incurred including professional, contract, advisory and management fees	2014-08-31	$43,974
Total interest from all sources	2014-08-31	$14,606
Total dividends received (eg from common stock, registered investment company shares)	2014-08-31	$45,224
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2014-08-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2014-08-31	$45,224
Administrative expenses professional fees incurred	2014-08-31	$18,902
Was this plan covered by a fidelity bond	2014-08-31	Yes
Value of fidelity bond cover	2014-08-31	$1,000,000
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2014-08-31	$0
Were there any nonexempt tranactions with any party-in-interest	2014-08-31	No
Other income not declared elsewhere	2014-08-31	$2,912
Administrative expenses (other) incurred	2014-08-31	$8,252
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2014-08-31	No
Value of net income/loss	2014-08-31	$-532,228
Value of net assets at end of year (total assets less liabilities)	2014-08-31	$10,000,174
Value of net assets at beginning of year (total assets less liabilities)	2014-08-31	$10,532,402
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2014-08-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2014-08-31	No
Were any leases to which the plan was party in default or uncollectible	2014-08-31	No
Investment advisory and management fees	2014-08-31	$16,820
Value of interest in registered invesment companies (eg mutual funds) at end of year	2014-08-31	$0
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2014-08-31	$10,343,533
Income. Interest from US Government securities	2014-08-31	$6,395
Income. Interest from corporate debt instruments	2014-08-31	$7,853
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2014-08-31	$10,000,174
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2014-08-31	$71,857
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2014-08-31	$71,857
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2014-08-31	$358
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2014-08-31	$595,212
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2014-08-31	Yes
Was there a failure to transmit to the plan any participant contributions	2014-08-31	No
Has the plan failed to provide any benefit when due under the plan	2014-08-31	No
Contributions received in cash from employer	2014-08-31	$0
Employer contributions (assets) at beginning of year	2014-08-31	$117,012
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2014-08-31	$1,120,045
Did the plan have assets held for investment	2014-08-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2014-08-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2014-08-31	No
Aggregate proceeds on sale of assets	2014-08-31	$21,903,612
Aggregate carrying amount (costs) on sale of assets	2014-08-31	$21,929,775
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2014-08-31	No
Opinion of an independent qualified public accountant for this plan	2014-08-31	Unqualified
Accountancy firm name	2014-08-31	KOZAK, POLLEKOFF & GOLDMAN, P.C.
Accountancy firm EIN	2014-08-31	541639552
2013 : NATIONAL ASSOCIATION OF INSURANCE AND FINANCIAL ADVISORS EMPLOYEES' PENSION PLAN 2013 401k financial data
Total unrealized appreciation/depreciation of assets	2013-08-31	$0
Total transfer of assets to this plan	2013-08-31	$0
Total transfer of assets from this plan	2013-08-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2013-08-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2013-08-31	$0
Total income from all sources (including contributions)	2013-08-31	$4,242,459
Total loss/gain on sale of assets	2013-08-31	$0
Total of all expenses incurred	2013-08-31	$846,483
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2013-08-31	$809,380
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2013-08-31	$3,568,048
Value of total assets at end of year	2013-08-31	$10,532,402
Value of total assets at beginning of year	2013-08-31	$7,136,426
Total of administrative expenses incurred including professional, contract, advisory and management fees	2013-08-31	$37,103
Total interest from all sources	2013-08-31	$35
Total dividends received (eg from common stock, registered investment company shares)	2013-08-31	$279,052
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2013-08-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2013-08-31	$279,052
Administrative expenses professional fees incurred	2013-08-31	$16,850
Was this plan covered by a fidelity bond	2013-08-31	Yes
Value of fidelity bond cover	2013-08-31	$1,000,000
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2013-08-31	$0
Were there any nonexempt tranactions with any party-in-interest	2013-08-31	No
Administrative expenses (other) incurred	2013-08-31	$6,067
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2013-08-31	No
Value of net income/loss	2013-08-31	$3,395,976
Value of net assets at end of year (total assets less liabilities)	2013-08-31	$10,532,402
Value of net assets at beginning of year (total assets less liabilities)	2013-08-31	$7,136,426
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2013-08-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2013-08-31	No
Were any leases to which the plan was party in default or uncollectible	2013-08-31	No
Investment advisory and management fees	2013-08-31	$14,186
Value of interest in registered invesment companies (eg mutual funds) at end of year	2013-08-31	$10,343,533
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2013-08-31	$6,911,822
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2013-08-31	$71,857
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2013-08-31	$39,535
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2013-08-31	$39,535
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2013-08-31	$35
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2013-08-31	$395,324
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2013-08-31	Yes
Was there a failure to transmit to the plan any participant contributions	2013-08-31	No
Has the plan failed to provide any benefit when due under the plan	2013-08-31	No
Contributions received in cash from employer	2013-08-31	$3,568,048
Employer contributions (assets) at end of year	2013-08-31	$117,012
Employer contributions (assets) at beginning of year	2013-08-31	$185,069
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2013-08-31	$809,380
Did the plan have assets held for investment	2013-08-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2013-08-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2013-08-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2013-08-31	No
Opinion of an independent qualified public accountant for this plan	2013-08-31	Unqualified
Accountancy firm name	2013-08-31	KOZAK, POLLEKOFF & GOLDMAN, P.C.
Accountancy firm EIN	2013-08-31	541639552
2012 : NATIONAL ASSOCIATION OF INSURANCE AND FINANCIAL ADVISORS EMPLOYEES' PENSION PLAN 2012 401k financial data
Total unrealized appreciation/depreciation of assets	2012-08-31	$0
Total transfer of assets to this plan	2012-08-31	$0
Total transfer of assets from this plan	2012-08-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2012-08-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2012-08-31	$6,584
Total income from all sources (including contributions)	2012-08-31	$1,024,379
Total loss/gain on sale of assets	2012-08-31	$0
Total of all expenses incurred	2012-08-31	$350,539
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2012-08-31	$313,506
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2012-08-31	$490,445
Value of total assets at end of year	2012-08-31	$7,136,426
Value of total assets at beginning of year	2012-08-31	$6,469,170
Total of administrative expenses incurred including professional, contract, advisory and management fees	2012-08-31	$37,033
Total interest from all sources	2012-08-31	$17
Total dividends received (eg from common stock, registered investment company shares)	2012-08-31	$228,721
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2012-08-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2012-08-31	$228,721
Administrative expenses professional fees incurred	2012-08-31	$15,675
Was this plan covered by a fidelity bond	2012-08-31	Yes
Value of fidelity bond cover	2012-08-31	$1,000,000
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2012-08-31	$0
Were there any nonexempt tranactions with any party-in-interest	2012-08-31	No
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2012-08-31	$6,584
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2012-08-31	$6,584
Administrative expenses (other) incurred	2012-08-31	$7,407
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2012-08-31	No
Value of net income/loss	2012-08-31	$673,840
Value of net assets at end of year (total assets less liabilities)	2012-08-31	$7,136,426
Value of net assets at beginning of year (total assets less liabilities)	2012-08-31	$6,462,586
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2012-08-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2012-08-31	No
Were any leases to which the plan was party in default or uncollectible	2012-08-31	No
Investment advisory and management fees	2012-08-31	$13,951
Value of interest in registered invesment companies (eg mutual funds) at end of year	2012-08-31	$6,911,822
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2012-08-31	$6,221,046
Value of interest in pooled separate accounts at beginning of year	2012-08-31	$0
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2012-08-31	$39,535
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2012-08-31	$56,066
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2012-08-31	$56,066
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2012-08-31	$17
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2012-08-31	$305,196
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2012-08-31	Yes
Was there a failure to transmit to the plan any participant contributions	2012-08-31	No
Has the plan failed to provide any benefit when due under the plan	2012-08-31	No
Contributions received in cash from employer	2012-08-31	$490,445
Employer contributions (assets) at end of year	2012-08-31	$185,069
Employer contributions (assets) at beginning of year	2012-08-31	$185,474
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2012-08-31	$313,506
Contract administrator fees	2012-08-31	$0
Did the plan have assets held for investment	2012-08-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2012-08-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2012-08-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2012-08-31	No
Opinion of an independent qualified public accountant for this plan	2012-08-31	Unqualified
Accountancy firm name	2012-08-31	KOZAK, POLLEKOFF & GOLDMAN, PC
Accountancy firm EIN	2012-08-31	541639552
2011 : NATIONAL ASSOCIATION OF INSURANCE AND FINANCIAL ADVISORS EMPLOYEES' PENSION PLAN 2011 401k financial data
Total unrealized appreciation/depreciation of assets	2011-08-31	$0
Total transfer of assets to this plan	2011-08-31	$0
Total transfer of assets from this plan	2011-08-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2011-08-31	$6,584
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2011-08-31	$6,791
Total income from all sources (including contributions)	2011-08-31	$1,061,710
Total loss/gain on sale of assets	2011-08-31	$0
Total of all expenses incurred	2011-08-31	$539,205
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2011-08-31	$503,127
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2011-08-31	$431,348
Value of total assets at end of year	2011-08-31	$6,469,170
Value of total assets at beginning of year	2011-08-31	$5,946,872
Total of administrative expenses incurred including professional, contract, advisory and management fees	2011-08-31	$36,078
Total interest from all sources	2011-08-31	$11
Total dividends received (eg from common stock, registered investment company shares)	2011-08-31	$238,423
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2011-08-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2011-08-31	$238,423
Administrative expenses professional fees incurred	2011-08-31	$19,786
Was this plan covered by a fidelity bond	2011-08-31	Yes
Value of fidelity bond cover	2011-08-31	$1,000,000
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2011-08-31	$0
Were there any nonexempt tranactions with any party-in-interest	2011-08-31	No
Value of other receiveables (less allowance for doubtful accounts) at end of year	2011-08-31	$6,584
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2011-08-31	$6,792
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2011-08-31	$6,584
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2011-08-31	$6,791
Administrative expenses (other) incurred	2011-08-31	$2,569
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2011-08-31	No
Value of net income/loss	2011-08-31	$522,505
Value of net assets at end of year (total assets less liabilities)	2011-08-31	$6,462,586
Value of net assets at beginning of year (total assets less liabilities)	2011-08-31	$5,940,081
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2011-08-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2011-08-31	No
Were any leases to which the plan was party in default or uncollectible	2011-08-31	No
Investment advisory and management fees	2011-08-31	$13,723
Value of interest in registered invesment companies (eg mutual funds) at end of year	2011-08-31	$6,221,046
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2011-08-31	$5,646,494
Value of interest in pooled separate accounts at end of year	2011-08-31	$0
Value of interest in pooled separate accounts at beginning of year	2011-08-31	$64,591
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2011-08-31	$56,066
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2011-08-31	$103,770
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2011-08-31	$103,770
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2011-08-31	$11
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2011-08-31	$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2011-08-31	$389,933
Net investment gain/loss from pooled separate accounts	2011-08-31	$1,995
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2011-08-31	Yes
Was there a failure to transmit to the plan any participant contributions	2011-08-31	No
Has the plan failed to provide any benefit when due under the plan	2011-08-31	No
Contributions received in cash from employer	2011-08-31	$431,348
Employer contributions (assets) at end of year	2011-08-31	$185,474
Employer contributions (assets) at beginning of year	2011-08-31	$125,225
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2011-08-31	$503,127
Contract administrator fees	2011-08-31	$0
Did the plan have assets held for investment	2011-08-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2011-08-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2011-08-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2011-08-31	No
Opinion of an independent qualified public accountant for this plan	2011-08-31	Unqualified
Accountancy firm name	2011-08-31	KOZAK, POLLEKOFF & GOLDMAN, PC
Accountancy firm EIN	2011-08-31	541639552
2010 : NATIONAL ASSOCIATION OF INSURANCE AND FINANCIAL ADVISORS EMPLOYEES' PENSION PLAN 2010 401k financial data
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2010-08-31	$0

Form 5500 Responses for NATIONAL ASSOCIATION OF INSURANCE AND FINANCIAL ADVISORS EMPLOYEES' PENSION PLAN

2013: NATIONAL ASSOCIATION OF INSURANCE AND FINANCIAL ADVISORS EMPLOYEES' PENSION PLAN 2013 form 5500 responses
2013-09-01	Type of plan entity	Single employer plan
2013-09-01	Submission has been amended	No
2013-09-01	This submission is the final filing	No
2013-09-01	This return/report is a short plan year return/report (less than 12 months)	No
2013-09-01	Plan is a collectively bargained plan	No
2013-09-01	Plan funding arrangement – Trust	Yes
2013-09-01	Plan benefit arrangement - Trust	Yes
2012: NATIONAL ASSOCIATION OF INSURANCE AND FINANCIAL ADVISORS EMPLOYEES' PENSION PLAN 2012 form 5500 responses
2012-09-01	Type of plan entity	Single employer plan
2012-09-01	Submission has been amended	No
2012-09-01	This submission is the final filing	No
2012-09-01	This return/report is a short plan year return/report (less than 12 months)	No
2012-09-01	Plan is a collectively bargained plan	No
2012-09-01	Plan funding arrangement – Trust	Yes
2012-09-01	Plan benefit arrangement - Trust	Yes
2011: NATIONAL ASSOCIATION OF INSURANCE AND FINANCIAL ADVISORS EMPLOYEES' PENSION PLAN 2011 form 5500 responses
2011-09-01	Type of plan entity	Single employer plan
2011-09-01	Submission has been amended	No
2011-09-01	This submission is the final filing	No
2011-09-01	This return/report is a short plan year return/report (less than 12 months)	No
2011-09-01	Plan is a collectively bargained plan	No
2011-09-01	Plan funding arrangement – Trust	Yes
2011-09-01	Plan benefit arrangement - Trust	Yes
2010: NATIONAL ASSOCIATION OF INSURANCE AND FINANCIAL ADVISORS EMPLOYEES' PENSION PLAN 2010 form 5500 responses
2010-09-01	Type of plan entity	Single employer plan
2010-09-01	Submission has been amended	No
2010-09-01	This submission is the final filing	No
2010-09-01	This return/report is a short plan year return/report (less than 12 months)	No
2010-09-01	Plan is a collectively bargained plan	No
2010-09-01	Plan funding arrangement – Insurance	Yes
2010-09-01	Plan funding arrangement – Trust	Yes
2010-09-01	Plan benefit arrangement – Insurance	Yes
2010-09-01	Plan benefit arrangement - Trust	Yes
2009: NATIONAL ASSOCIATION OF INSURANCE AND FINANCIAL ADVISORS EMPLOYEES' PENSION PLAN 2009 form 5500 responses
2009-09-01	Type of plan entity	Single employer plan
2009-09-01	Submission has been amended	Yes
2009-09-01	This submission is the final filing	No
2009-09-01	This return/report is a short plan year return/report (less than 12 months)	No
2009-09-01	Plan is a collectively bargained plan	No
2009-09-01	Plan funding arrangement – Insurance	Yes
2009-09-01	Plan funding arrangement – Trust	Yes
2009-09-01	Plan benefit arrangement – Insurance	Yes
2009-09-01	Plan benefit arrangement - Trust	Yes

Insurance Providers Used on plan

PRINCIPAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 61271 )

Policy contract number

4-29773

Policy instance

Insurance contract or identification number	4-29773
Number of Individuals Covered	106
Insurance policy start date	2010-09-01
Insurance policy end date	2011-08-31
Total amount of commissions paid to insurance broker	USD $0
Total amount of fees paid to insurance company	USD $0
Are there contracts with allocated funds for individual policies?	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 plan	No
Contracts With Unallocated Funds Deposit Administration	0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?	No
Are there contracts with unallocated funds for contracts of type guaranteed investment?	No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	No
Health Insurance Welfare Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
Were dividends or retroactive rate refunds paid in cash?	No
Were dividends or retroactive rate refunds paid as a credit?	No

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Company Name:	NATIONAL ASSOCIATION OF INSURANCE AND FINANCIAL ADVISORS
Employer identification number (EIN):	530232489
NAIC Classification:	813000
NAIC Description:	Religious, Grantmaking, Civic, Professional, and Similar Organizations