401k Plan data: DANIEL B. STEPHENS & ASSOCIATES, INC. EMPLOYEE STOCK OWNERSHIP PLAN plan

DANIEL B. STEPHENS & ASSOCIATES, INC. EMPLOYEE STOCK OWNERSHIP PLAN 401k Plan overview

Plan Name	DANIEL B. STEPHENS & ASSOCIATES, INC. EMPLOYEE STOCK OWNERSHIP PLAN
Plan identification number	002

DANIEL B. STEPHENS & ASSOCIATES, INC. EMPLOYEE STOCK OWNERSHIP PLAN Benefits

401k Plan Type

Defined Contribution Pension

Plan Features/Benefits

Stock bonus
ESOP other than a leveraged ESOP - A completed Schedule E must be attached to a Form 5500 filed for an Employee Stock Ownership Plan (ESOP).
Leveraged ESOP - An ESOP that acquires employer securities with borrowed money or other debt-financing techniques. A completed Schedule E must be attached to a Form 5500 filed for an ESOP.
Plan requiring that all or part of employer contributions be invested and held, at least for a limited period, in employer securities.

401k Sponsoring company profile

DANIEL B. STEPHENS & ASSOCIATES, INC. has sponsored the creation of one or more 401k plans.

Company Name: DANIEL B. STEPHENS & ASSOCIATES, INC.

Employer identification number (EIN): 850341157

NAIC Classification: 541600

Additional information about DANIEL B. STEPHENS & ASSOCIATES, INC.

Jurisdiction of Incorporation: Texas Secretary of State

Incorporation Date: 1995-08-21

Company Identification Number: 0010602906

Legal Registered Office Address: 6020 ACADEMY RD NE STE 100

ALBUQUERQUE
United States of America (USA)
87109

More information about DANIEL B. STEPHENS & ASSOCIATES, INC.

Form 5500 Filing Information

Submission information for form 5500 for 401k plan DANIEL B. STEPHENS & ASSOCIATES, INC. EMPLOYEE STOCK OWNERSHIP PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
002 2016-01-01 JUDITH ANN MEETER
002 2015-01-01 JUDITH ANN MEETER
002 2014-01-01 JUDITH MEETER
002 2013-01-01 JUDITH MEETER
002 2012-01-01 JUDITH MEETER MICHAEL BITNER 2013-10-09
002 2011-01-01 JUDITH ANN MEETER
002 2009-01-01 JUDITH ANN MEETER

Plan id#	Filing Submission Date	Name of Administrator	Name of Company Sponsor	Date Sponsor Signed
002	2016-01-01	JUDITH ANN MEETER
002	2015-01-01	JUDITH ANN MEETER
002	2014-01-01	JUDITH MEETER
002	2013-01-01	JUDITH MEETER
002	2012-01-01	JUDITH MEETER	MICHAEL BITNER	2013-10-09
002	2011-01-01	JUDITH ANN MEETER
002	2009-01-01	JUDITH ANN MEETER

Plan Statistics for DANIEL B. STEPHENS & ASSOCIATES, INC. EMPLOYEE STOCK OWNERSHIP PLAN

401k plan membership statisitcs for DANIEL B. STEPHENS & ASSOCIATES, INC. EMPLOYEE STOCK OWNERSHIP PLAN

Measure Date Value
2016: DANIEL B. STEPHENS & ASSOCIATES, INC. EMPLOYEE STOCK OWNERSHIP PLAN 2016 401k membership
Total participants, beginning-of-year 2016-01-01 86
Total number of active participants reported on line 7a of the Form 5500 2016-01-01 0
Number of retired or separated participants receiving benefits 2016-01-01 0
Number of other retired or separated participants entitled to future benefits 2016-01-01 0
Total of all active and inactive participants 2016-01-01 0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2016-01-01 0
Total participants 2016-01-01 0
Number of participants with account balances 2016-01-01 0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2016-01-01 0
2015: DANIEL B. STEPHENS & ASSOCIATES, INC. EMPLOYEE STOCK OWNERSHIP PLAN 2015 401k membership
Total participants, beginning-of-year 2015-01-01 94
Total number of active participants reported on line 7a of the Form 5500 2015-01-01 73
Number of retired or separated participants receiving benefits 2015-01-01 0
Number of other retired or separated participants entitled to future benefits 2015-01-01 13
Total of all active and inactive participants 2015-01-01 86
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2015-01-01 0
Total participants 2015-01-01 86
Number of participants with account balances 2015-01-01 86
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2015-01-01 0
2014: DANIEL B. STEPHENS & ASSOCIATES, INC. EMPLOYEE STOCK OWNERSHIP PLAN 2014 401k membership
Total participants, beginning-of-year 2014-01-01 108
Total number of active participants reported on line 7a of the Form 5500 2014-01-01 80
Number of retired or separated participants receiving benefits 2014-01-01 0
Number of other retired or separated participants entitled to future benefits 2014-01-01 14
Total of all active and inactive participants 2014-01-01 94
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2014-01-01 0
Total participants 2014-01-01 94
Number of participants with account balances 2014-01-01 92
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2014-01-01 6
2013: DANIEL B. STEPHENS & ASSOCIATES, INC. EMPLOYEE STOCK OWNERSHIP PLAN 2013 401k membership
Total participants, beginning-of-year 2013-01-01 102
Total number of active participants reported on line 7a of the Form 5500 2013-01-01 94
Number of retired or separated participants receiving benefits 2013-01-01 0
Number of other retired or separated participants entitled to future benefits 2013-01-01 13
Total of all active and inactive participants 2013-01-01 107
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2013-01-01 1
Total participants 2013-01-01 108
Number of participants with account balances 2013-01-01 106
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2013-01-01 7
2012: DANIEL B. STEPHENS & ASSOCIATES, INC. EMPLOYEE STOCK OWNERSHIP PLAN 2012 401k membership
Total participants, beginning-of-year 2012-01-01 100
Total number of active participants reported on line 7a of the Form 5500 2012-01-01 94
Number of retired or separated participants receiving benefits 2012-01-01 0
Number of other retired or separated participants entitled to future benefits 2012-01-01 8
Total of all active and inactive participants 2012-01-01 102
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2012-01-01 0
Total participants 2012-01-01 102
Number of participants with account balances 2012-01-01 101
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2012-01-01 3
2011: DANIEL B. STEPHENS & ASSOCIATES, INC. EMPLOYEE STOCK OWNERSHIP PLAN 2011 401k membership
Total participants, beginning-of-year 2011-01-01 106
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 92
Number of retired or separated participants receiving benefits 2011-01-01 0
Number of other retired or separated participants entitled to future benefits 2011-01-01 8
Total of all active and inactive participants 2011-01-01 100
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-01-01 0
Total participants 2011-01-01 100
Number of participants with account balances 2011-01-01 97
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-01-01 4
2009: DANIEL B. STEPHENS & ASSOCIATES, INC. EMPLOYEE STOCK OWNERSHIP PLAN 2009 401k membership
Total participants, beginning-of-year 2009-01-01 104
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 100
Number of retired or separated participants receiving benefits 2009-01-01 0
Number of other retired or separated participants entitled to future benefits 2009-01-01 5
Total of all active and inactive participants 2009-01-01 105
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-01-01 0
Total participants 2009-01-01 105
Number of participants with account balances 2009-01-01 100
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-01-01 2

Measure	Date	Value
2016: DANIEL B. STEPHENS & ASSOCIATES, INC. EMPLOYEE STOCK OWNERSHIP PLAN 2016 401k membership
Total participants, beginning-of-year	2016-01-01	86
Total number of active participants reported on line 7a of the Form 5500	2016-01-01	0
Number of retired or separated participants receiving benefits	2016-01-01	0
Number of other retired or separated participants entitled to future benefits	2016-01-01	0
Total of all active and inactive participants	2016-01-01	0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2016-01-01	0
Total participants	2016-01-01	0
Number of participants with account balances	2016-01-01	0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2016-01-01	0
2015: DANIEL B. STEPHENS & ASSOCIATES, INC. EMPLOYEE STOCK OWNERSHIP PLAN 2015 401k membership
Total participants, beginning-of-year	2015-01-01	94
Total number of active participants reported on line 7a of the Form 5500	2015-01-01	73
Number of retired or separated participants receiving benefits	2015-01-01	0
Number of other retired or separated participants entitled to future benefits	2015-01-01	13
Total of all active and inactive participants	2015-01-01	86
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2015-01-01	0
Total participants	2015-01-01	86
Number of participants with account balances	2015-01-01	86
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2015-01-01	0
2014: DANIEL B. STEPHENS & ASSOCIATES, INC. EMPLOYEE STOCK OWNERSHIP PLAN 2014 401k membership
Total participants, beginning-of-year	2014-01-01	108
Total number of active participants reported on line 7a of the Form 5500	2014-01-01	80
Number of retired or separated participants receiving benefits	2014-01-01	0
Number of other retired or separated participants entitled to future benefits	2014-01-01	14
Total of all active and inactive participants	2014-01-01	94
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2014-01-01	0
Total participants	2014-01-01	94
Number of participants with account balances	2014-01-01	92
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2014-01-01	6
2013: DANIEL B. STEPHENS & ASSOCIATES, INC. EMPLOYEE STOCK OWNERSHIP PLAN 2013 401k membership
Total participants, beginning-of-year	2013-01-01	102
Total number of active participants reported on line 7a of the Form 5500	2013-01-01	94
Number of retired or separated participants receiving benefits	2013-01-01	0
Number of other retired or separated participants entitled to future benefits	2013-01-01	13
Total of all active and inactive participants	2013-01-01	107
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2013-01-01	1
Total participants	2013-01-01	108
Number of participants with account balances	2013-01-01	106
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2013-01-01	7
2012: DANIEL B. STEPHENS & ASSOCIATES, INC. EMPLOYEE STOCK OWNERSHIP PLAN 2012 401k membership
Total participants, beginning-of-year	2012-01-01	100
Total number of active participants reported on line 7a of the Form 5500	2012-01-01	94
Number of retired or separated participants receiving benefits	2012-01-01	0
Number of other retired or separated participants entitled to future benefits	2012-01-01	8
Total of all active and inactive participants	2012-01-01	102
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2012-01-01	0
Total participants	2012-01-01	102
Number of participants with account balances	2012-01-01	101
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2012-01-01	3
2011: DANIEL B. STEPHENS & ASSOCIATES, INC. EMPLOYEE STOCK OWNERSHIP PLAN 2011 401k membership
Total participants, beginning-of-year	2011-01-01	106
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	92
Number of retired or separated participants receiving benefits	2011-01-01	0
Number of other retired or separated participants entitled to future benefits	2011-01-01	8
Total of all active and inactive participants	2011-01-01	100
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-01-01	0
Total participants	2011-01-01	100
Number of participants with account balances	2011-01-01	97
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-01-01	4
2009: DANIEL B. STEPHENS & ASSOCIATES, INC. EMPLOYEE STOCK OWNERSHIP PLAN 2009 401k membership
Total participants, beginning-of-year	2009-01-01	104
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	100
Number of retired or separated participants receiving benefits	2009-01-01	0
Number of other retired or separated participants entitled to future benefits	2009-01-01	5
Total of all active and inactive participants	2009-01-01	105
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-01-01	0
Total participants	2009-01-01	105
Number of participants with account balances	2009-01-01	100
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-01-01	2

Financial Data on DANIEL B. STEPHENS & ASSOCIATES, INC. EMPLOYEE STOCK OWNERSHIP PLAN

Measure	Date	Value
2016 : DANIEL B. STEPHENS & ASSOCIATES, INC. EMPLOYEE STOCK OWNERSHIP PLAN 2016 401k financial data
Total plan liabilities at end of year	2016-09-30	$0
Total plan liabilities at beginning of year	2016-09-30	$0
Total income from all sources	2016-09-30	$0
Expenses. Total of all expenses incurred	2016-09-30	$2,408,757
Benefits paid (including direct rollovers)	2016-09-30	$2,408,757
Total plan assets at end of year	2016-09-30	$0
Total plan assets at beginning of year	2016-09-30	$2,408,757
Value of fidelity bond covering the plan	2016-09-30	$170,000
Net income (gross income less expenses)	2016-09-30	$-2,408,757
Net plan assets at end of year (total assets less liabilities)	2016-09-30	$0
Net plan assets at beginning of year (total assets less liabilities)	2016-09-30	$2,408,757
Assets. Value of employer securities	2016-09-30	$0
Total contributions received or receivable from employer(s)	2016-09-30	$0
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2016-09-30	$0
2015 : DANIEL B. STEPHENS & ASSOCIATES, INC. EMPLOYEE STOCK OWNERSHIP PLAN 2015 401k financial data
Total plan liabilities at end of year	2015-12-31	$0
Total plan liabilities at beginning of year	2015-12-31	$0
Total income from all sources	2015-12-31	$1,279,323
Expenses. Total of all expenses incurred	2015-12-31	$109,067
Benefits paid (including direct rollovers)	2015-12-31	$109,067
Total plan assets at end of year	2015-12-31	$2,408,757
Total plan assets at beginning of year	2015-12-31	$1,238,501
Value of fidelity bond covering the plan	2015-12-31	$170,000
Other income received	2015-12-31	$1,170,256
Net income (gross income less expenses)	2015-12-31	$1,170,256
Net plan assets at end of year (total assets less liabilities)	2015-12-31	$2,408,757
Net plan assets at beginning of year (total assets less liabilities)	2015-12-31	$1,238,501
Assets. Value of employer securities	2015-12-31	$0
Total contributions received or receivable from employer(s)	2015-12-31	$109,067
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2015-12-31	$0
2014 : DANIEL B. STEPHENS & ASSOCIATES, INC. EMPLOYEE STOCK OWNERSHIP PLAN 2014 401k financial data
Total plan liabilities at end of year	2014-12-31	$0
Total plan liabilities at beginning of year	2014-12-31	$244,704
Total income from all sources	2014-12-31	$122,764
Expenses. Total of all expenses incurred	2014-12-31	$140,024
Benefits paid (including direct rollovers)	2014-12-31	$120,424
Total plan assets at end of year	2014-12-31	$1,238,501
Total plan assets at beginning of year	2014-12-31	$1,500,465
Value of fidelity bond covering the plan	2014-12-31	$170,000
Expenses. Other expenses not covered elsewhere	2014-12-31	$19,600
Other income received	2014-12-31	$-261,964
Net income (gross income less expenses)	2014-12-31	$-17,260
Net plan assets at end of year (total assets less liabilities)	2014-12-31	$1,238,501
Net plan assets at beginning of year (total assets less liabilities)	2014-12-31	$1,255,761
Assets. Value of employer securities	2014-12-31	$1,238,501
Total contributions received or receivable from employer(s)	2014-12-31	$384,728
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2014-12-31	$0
2013 : DANIEL B. STEPHENS & ASSOCIATES, INC. EMPLOYEE STOCK OWNERSHIP PLAN 2013 401k financial data
Total plan liabilities at end of year	2013-12-31	$244,704
Total plan liabilities at beginning of year	2013-12-31	$511,187
Total income from all sources	2013-12-31	$327,973
Expenses. Total of all expenses incurred	2013-12-31	$90,292
Benefits paid (including direct rollovers)	2013-12-31	$49,347
Total plan assets at end of year	2013-12-31	$1,500,465
Total plan assets at beginning of year	2013-12-31	$1,529,267
Value of fidelity bond covering the plan	2013-12-31	$170,000
Expenses. Other expenses not covered elsewhere	2013-12-31	$40,945
Other income received	2013-12-31	$-28,802
Net income (gross income less expenses)	2013-12-31	$237,681
Net plan assets at end of year (total assets less liabilities)	2013-12-31	$1,255,761
Net plan assets at beginning of year (total assets less liabilities)	2013-12-31	$1,018,080
Assets. Value of employer securities	2013-12-31	$1,500,465
Total contributions received or receivable from employer(s)	2013-12-31	$356,775
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2013-12-31	$0
2012 : DANIEL B. STEPHENS & ASSOCIATES, INC. EMPLOYEE STOCK OWNERSHIP PLAN 2012 401k financial data
Total plan liabilities at end of year	2012-12-31	$511,187
Total plan liabilities at beginning of year	2012-12-31	$757,755
Total income from all sources	2012-12-31	$395,305
Expenses. Total of all expenses incurred	2012-12-31	$118,563
Benefits paid (including direct rollovers)	2012-12-31	$38,741
Total plan assets at end of year	2012-12-31	$1,529,267
Total plan assets at beginning of year	2012-12-31	$1,499,093
Value of fidelity bond covering the plan	2012-12-31	$170,000
Expenses. Other expenses not covered elsewhere	2012-12-31	$79,822
Other income received	2012-12-31	$30,174
Net income (gross income less expenses)	2012-12-31	$276,742
Net plan assets at end of year (total assets less liabilities)	2012-12-31	$1,018,080
Net plan assets at beginning of year (total assets less liabilities)	2012-12-31	$741,338
Assets. Value of employer securities	2012-12-31	$1,499,093
Total contributions received or receivable from employer(s)	2012-12-31	$365,131
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2012-12-31	$0
2011 : DANIEL B. STEPHENS & ASSOCIATES, INC. EMPLOYEE STOCK OWNERSHIP PLAN 2011 401k financial data
Total plan liabilities at end of year	2011-12-31	$757,755
Total plan liabilities at beginning of year	2011-12-31	$986,192
Total income from all sources	2011-12-31	$311,791
Expenses. Total of all expenses incurred	2011-12-31	$139,587
Benefits paid (including direct rollovers)	2011-12-31	$25,678
Total plan assets at end of year	2011-12-31	$1,499,093
Total plan assets at beginning of year	2011-12-31	$1,555,326
Value of fidelity bond covering the plan	2011-12-31	$170,000
Expenses. Other expenses not covered elsewhere	2011-12-31	$78,991
Other income received	2011-12-31	$-56,233
Net income (gross income less expenses)	2011-12-31	$172,204
Net plan assets at end of year (total assets less liabilities)	2011-12-31	$741,338
Net plan assets at beginning of year (total assets less liabilities)	2011-12-31	$569,134
Assets. Value of employer securities	2011-12-31	$1,499,093
Total contributions received or receivable from employer(s)	2011-12-31	$368,024
Expenses. Administrative service providers (salaries,fees and commissions)	2011-12-31	$34,918
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2011-12-31	$0
2010 : DANIEL B. STEPHENS & ASSOCIATES, INC. EMPLOYEE STOCK OWNERSHIP PLAN 2010 401k financial data
Total plan liabilities at end of year	2010-12-31	$986,192
Total plan liabilities at beginning of year	2010-12-31	$1,197,688
Total income from all sources	2010-12-31	$628,662
Expenses. Total of all expenses incurred	2010-12-31	$101,712
Benefits paid (including direct rollovers)	2010-12-31	$5,780
Total plan assets at end of year	2010-12-31	$1,555,326
Total plan assets at beginning of year	2010-12-31	$1,239,872
Value of fidelity bond covering the plan	2010-12-31	$170,000
Expenses. Other expenses not covered elsewhere	2010-12-31	$95,932
Other income received	2010-12-31	$315,454
Net income (gross income less expenses)	2010-12-31	$526,950
Net plan assets at end of year (total assets less liabilities)	2010-12-31	$569,134
Net plan assets at beginning of year (total assets less liabilities)	2010-12-31	$42,184
Assets. Value of employer securities	2010-12-31	$1,555,326
Total contributions received or receivable from employer(s)	2010-12-31	$313,208
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2010-12-31	$0
2009 : DANIEL B. STEPHENS & ASSOCIATES, INC. EMPLOYEE STOCK OWNERSHIP PLAN 2009 401k financial data
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2009-12-31	$0

Form 5500 Responses for DANIEL B. STEPHENS & ASSOCIATES, INC. EMPLOYEE STOCK OWNERSHIP PLAN

2016: DANIEL B. STEPHENS & ASSOCIATES, INC. EMPLOYEE STOCK OWNERSHIP PLAN 2016 form 5500 responses
2016-01-01	Type of plan entity	Single employer plan
2016-01-01	Submission has been amended	No
2016-01-01	This submission is the final filing	Yes
2016-01-01	This return/report is a short plan year return/report (less than 12 months)	Yes
2016-01-01	Plan is a collectively bargained plan	No
2016-01-01	Plan funding arrangement – Trust	Yes
2016-01-01	Plan benefit arrangement - Trust	Yes
2015: DANIEL B. STEPHENS & ASSOCIATES, INC. EMPLOYEE STOCK OWNERSHIP PLAN 2015 form 5500 responses
2015-01-01	Type of plan entity	Single employer plan
2015-01-01	Submission has been amended	No
2015-01-01	This submission is the final filing	No
2015-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2015-01-01	Plan is a collectively bargained plan	No
2015-01-01	Plan funding arrangement – Trust	Yes
2015-01-01	Plan benefit arrangement - Trust	Yes
2014: DANIEL B. STEPHENS & ASSOCIATES, INC. EMPLOYEE STOCK OWNERSHIP PLAN 2014 form 5500 responses
2014-01-01	Type of plan entity	Single employer plan
2014-01-01	Submission has been amended	No
2014-01-01	This submission is the final filing	No
2014-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2014-01-01	Plan is a collectively bargained plan	No
2014-01-01	Plan funding arrangement – Trust	Yes
2014-01-01	Plan benefit arrangement - Trust	Yes
2013: DANIEL B. STEPHENS & ASSOCIATES, INC. EMPLOYEE STOCK OWNERSHIP PLAN 2013 form 5500 responses
2013-01-01	Type of plan entity	Single employer plan
2013-01-01	Submission has been amended	No
2013-01-01	This submission is the final filing	No
2013-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2013-01-01	Plan is a collectively bargained plan	No
2013-01-01	Plan funding arrangement – Trust	Yes
2013-01-01	Plan benefit arrangement - Trust	Yes
2012: DANIEL B. STEPHENS & ASSOCIATES, INC. EMPLOYEE STOCK OWNERSHIP PLAN 2012 form 5500 responses
2012-01-01	Type of plan entity	Single employer plan
2012-01-01	Submission has been amended	No
2012-01-01	This submission is the final filing	No
2012-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2012-01-01	Plan is a collectively bargained plan	No
2012-01-01	Plan funding arrangement – Trust	Yes
2012-01-01	Plan benefit arrangement - Trust	Yes
2011: DANIEL B. STEPHENS & ASSOCIATES, INC. EMPLOYEE STOCK OWNERSHIP PLAN 2011 form 5500 responses
2011-01-01	Type of plan entity	Single employer plan
2011-01-01	Submission has been amended	No
2011-01-01	This submission is the final filing	No
2011-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2011-01-01	Plan is a collectively bargained plan	No
2011-01-01	Plan funding arrangement – Trust	Yes
2011-01-01	Plan benefit arrangement - Trust	Yes
2009: DANIEL B. STEPHENS & ASSOCIATES, INC. EMPLOYEE STOCK OWNERSHIP PLAN 2009 form 5500 responses
2009-01-01	Type of plan entity	Single employer plan
2009-01-01	Submission has been amended	No
2009-01-01	This submission is the final filing	No
2009-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2009-01-01	Plan is a collectively bargained plan	No
2009-01-01	Plan funding arrangement – Trust	Yes
2009-01-01	Plan benefit arrangement - Trust	Yes

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Company Name:	DANIEL B. STEPHENS & ASSOCIATES, INC.
Employer identification number (EIN):	850341157
NAIC Classification:	541600

Jurisdiction of Incorporation:	Texas Secretary of State
Incorporation Date:	1995-08-21
Company Identification Number:	0010602906
Legal Registered Office Address:	6020 ACADEMY RD NE STE 100 ALBUQUERQUE United States of America (USA) 87109