PALOMA PARTNERS MANAGEMENT COMPANY has sponsored the creation of one or more 401k plans.
Submission information for form 5500 for 401k plan PALOMA PARTNERS RETIREMENT PLAN
| Measure | Date | Value |
|---|
| 2023 : PALOMA PARTNERS RETIREMENT PLAN 2023 401k financial data |
|---|
| Total unrealized appreciation/depreciation of assets | 2023-12-31 | $0 |
| Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2023-12-31 | $0 |
| Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2023-12-31 | $0 |
| Total income from all sources (including contributions) | 2023-12-31 | $15,598,695 |
| Total loss/gain on sale of assets | 2023-12-31 | $0 |
| Total of all expenses incurred | 2023-12-31 | $9,049,522 |
| Benefit payments and payments to participlants,beneficiaries,insurance carriers and others | 2023-12-31 | $9,019,129 |
| Total contributions o plan (from employers,participants, others, non cash contrinutions) | 2023-12-31 | $3,094,184 |
| Value of total assets at end of year | 2023-12-31 | $80,721,567 |
| Value of total assets at beginning of year | 2023-12-31 | $74,172,394 |
| Total of administrative expenses incurred including professional, contract, advisory and management fees | 2023-12-31 | $30,393 |
| Total interest from all sources | 2023-12-31 | $28,513 |
| Total dividends received (eg from common stock, registered investment company shares) | 2023-12-31 | $1,620,043 |
| Has a resolution to terminate the plan been adopted during the plan year or any prior plan year | 2023-12-31 | No |
| Total dividends received from registered investment company shares (eg mutual funds) | 2023-12-31 | $1,620,043 |
| Was this plan covered by a fidelity bond | 2023-12-31 | Yes |
| Value of fidelity bond cover | 2023-12-31 | $10,000,000 |
| If this is an individual account plan, was there a blackout period | 2023-12-31 | Yes |
| Were there any nonexempt tranactions with any party-in-interest | 2023-12-31 | No |
| Contributions received from participants | 2023-12-31 | $1,742,451 |
| Participant contributions at end of year | 2023-12-31 | $162,689 |
| Participant contributions at beginning of year | 2023-12-31 | $149,724 |
| Assets. Other investments not covered elsewhere at end of year | 2023-12-31 | $256,653 |
| Assets. Other investments not covered elsewhere at beginning of year | 2023-12-31 | $21,412 |
| Other income not declared elsewhere | 2023-12-31 | $14,058 |
| Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser | 2023-12-31 | No |
| Value of net income/loss | 2023-12-31 | $6,549,173 |
| Value of net assets at end of year (total assets less liabilities) | 2023-12-31 | $80,721,567 |
| Value of net assets at beginning of year (total assets less liabilities) | 2023-12-31 | $74,172,394 |
| Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond) | 2023-12-31 | No |
| Were any loans by the plan or fixed income obligations due to the plan in default | 2023-12-31 | No |
| Were any leases to which the plan was party in default or uncollectible | 2023-12-31 | No |
| Investment advisory and management fees | 2023-12-31 | $10,000 |
| Value of interest in registered invesment companies (eg mutual funds) at end of year | 2023-12-31 | $73,809,640 |
| Value of interest in registered invesment companies (eg mutual funds) at beginning of year | 2023-12-31 | $65,356,845 |
| Value of interest in pooled separate accounts at end of year | 2023-12-31 | $45,679 |
| Interest on participant loans | 2023-12-31 | $8,409 |
| Interest earned on other investments | 2023-12-31 | $20,104 |
| Value of interest in common/collective trusts at beginning of year | 2023-12-31 | $8,644,413 |
| Value of funds held in insurance company general accounts (unallocated contracts) at end of year | 2023-12-31 | $6,446,906 |
| Net investment gain/loss from registered investment companies (e.g. mutual funds) | 2023-12-31 | $10,775,134 |
| Net investment gain/loss from pooled separate accounts | 2023-12-31 | $3,883 |
| Net investment gain or loss from common/collective trusts | 2023-12-31 | $62,880 |
| Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets | 2023-12-31 | No |
| Was there a failure to transmit to the plan any participant contributions | 2023-12-31 | No |
| Has the plan failed to provide any benefit when due under the plan | 2023-12-31 | No |
| Contributions received in cash from employer | 2023-12-31 | $1,351,733 |
| Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers | 2023-12-31 | $9,019,129 |
| Contract administrator fees | 2023-12-31 | $20,393 |
| Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-3 | 2023-12-31 | No |
| Did the plan have assets held for investment | 2023-12-31 | 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 | 2023-12-31 | No |
| Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC | 2023-12-31 | No |
| Opinion of an independent qualified public accountant for this plan | 2023-12-31 | Unqualified |
| Accountancy firm name | 2023-12-31 | ERNST AND YOUNG LLP |
| Accountancy firm EIN | 2023-12-31 | 346565655 |
| Total unrealized appreciation/depreciation of assets | 2023-01-01 | $0 |
| Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2023-01-01 | $0 |
| Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2023-01-01 | $0 |
| Total income from all sources (including contributions) | 2023-01-01 | $15,598,695 |
| Total loss/gain on sale of assets | 2023-01-01 | $0 |
| Total of all expenses incurred | 2023-01-01 | $9,049,522 |
| Benefit payments and payments to participlants,beneficiaries,insurance carriers and others | 2023-01-01 | $9,019,129 |
| Total contributions o plan (from employers,participants, others, non cash contrinutions) | 2023-01-01 | $3,094,184 |
| Value of total assets at end of year | 2023-01-01 | $80,721,567 |
| Value of total assets at beginning of year | 2023-01-01 | $74,172,394 |
| Total of administrative expenses incurred including professional, contract, advisory and management fees | 2023-01-01 | $30,393 |
| Total interest from all sources | 2023-01-01 | $28,513 |
| Total dividends received (eg from common stock, registered investment company shares) | 2023-01-01 | $1,620,043 |
| Has a resolution to terminate the plan been adopted during the plan year or any prior plan year | 2023-01-01 | No |
| Total dividends received from registered investment company shares (eg mutual funds) | 2023-01-01 | $1,620,043 |
| Was this plan covered by a fidelity bond | 2023-01-01 | Yes |
| Value of fidelity bond cover | 2023-01-01 | $10,000,000 |
| If this is an individual account plan, was there a blackout period | 2023-01-01 | Yes |
| Were there any nonexempt tranactions with any party-in-interest | 2023-01-01 | No |
| Contributions received from participants | 2023-01-01 | $1,742,451 |
| Participant contributions at end of year | 2023-01-01 | $162,689 |
| Participant contributions at beginning of year | 2023-01-01 | $149,724 |
| Assets. Other investments not covered elsewhere at end of year | 2023-01-01 | $256,653 |
| Assets. Other investments not covered elsewhere at beginning of year | 2023-01-01 | $21,412 |
| Other income not declared elsewhere | 2023-01-01 | $14,058 |
| Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser | 2023-01-01 | No |
| Value of net income/loss | 2023-01-01 | $6,549,173 |
| Value of net assets at end of year (total assets less liabilities) | 2023-01-01 | $80,721,567 |
| Value of net assets at beginning of year (total assets less liabilities) | 2023-01-01 | $74,172,394 |
| Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond) | 2023-01-01 | No |
| Were any loans by the plan or fixed income obligations due to the plan in default | 2023-01-01 | No |
| Were any leases to which the plan was party in default or uncollectible | 2023-01-01 | No |
| Investment advisory and management fees | 2023-01-01 | $10,000 |
| Value of interest in registered invesment companies (eg mutual funds) at end of year | 2023-01-01 | $73,809,640 |
| Value of interest in registered invesment companies (eg mutual funds) at beginning of year | 2023-01-01 | $65,356,845 |
| Value of interest in pooled separate accounts at end of year | 2023-01-01 | $45,679 |
| Interest on participant loans | 2023-01-01 | $8,409 |
| Interest earned on other investments | 2023-01-01 | $20,104 |
| Value of interest in common/collective trusts at beginning of year | 2023-01-01 | $8,644,413 |
| Value of funds held in insurance company general accounts (unallocated contracts) at end of year | 2023-01-01 | $6,446,906 |
| Net investment gain/loss from registered investment companies (e.g. mutual funds) | 2023-01-01 | $10,775,134 |
| Net investment gain/loss from pooled separate accounts | 2023-01-01 | $3,883 |
| Net investment gain or loss from common/collective trusts | 2023-01-01 | $62,880 |
| Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets | 2023-01-01 | No |
| Was there a failure to transmit to the plan any participant contributions | 2023-01-01 | No |
| Has the plan failed to provide any benefit when due under the plan | 2023-01-01 | No |
| Contributions received in cash from employer | 2023-01-01 | $1,351,733 |
| Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers | 2023-01-01 | $9,019,129 |
| Contract administrator fees | 2023-01-01 | $20,393 |
| Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-3 | 2023-01-01 | No |
| Did the plan have assets held for investment | 2023-01-01 | 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 | 2023-01-01 | No |
| Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC | 2023-01-01 | No |
| Opinion of an independent qualified public accountant for this plan | 2023-01-01 | 1 |
| Accountancy firm name | 2023-01-01 | ERNST AND YOUNG LLP |
| Accountancy firm EIN | 2023-01-01 | 346565655 |
| 2022 : PALOMA PARTNERS RETIREMENT PLAN 2022 401k financial data |
|---|
| Total unrealized appreciation/depreciation of assets | 2022-12-31 | $0 |
| Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2022-12-31 | $0 |
| Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2022-12-31 | $0 |
| Total income from all sources (including contributions) | 2022-12-31 | $-9,346,063 |
| Total loss/gain on sale of assets | 2022-12-31 | $0 |
| Total of all expenses incurred | 2022-12-31 | $1,043,389 |
| Benefit payments and payments to participlants,beneficiaries,insurance carriers and others | 2022-12-31 | $1,038,222 |
| Value of total corrective distributions | 2022-12-31 | $16 |
| Total contributions o plan (from employers,participants, others, non cash contrinutions) | 2022-12-31 | $3,000,743 |
| Value of total assets at end of year | 2022-12-31 | $74,172,394 |
| Value of total assets at beginning of year | 2022-12-31 | $84,561,846 |
| Total of administrative expenses incurred including professional, contract, advisory and management fees | 2022-12-31 | $5,151 |
| Total interest from all sources | 2022-12-31 | $2,198 |
| Total dividends received (eg from common stock, registered investment company shares) | 2022-12-31 | $3,255,184 |
| Has a resolution to terminate the plan been adopted during the plan year or any prior plan year | 2022-12-31 | No |
| Total dividends received from registered investment company shares (eg mutual funds) | 2022-12-31 | $3,255,184 |
| Was this plan covered by a fidelity bond | 2022-12-31 | Yes |
| Value of fidelity bond cover | 2022-12-31 | $10,000,000 |
| If this is an individual account plan, was there a blackout period | 2022-12-31 | No |
| Were there any nonexempt tranactions with any party-in-interest | 2022-12-31 | No |
| Contributions received from participants | 2022-12-31 | $1,643,242 |
| Participant contributions at end of year | 2022-12-31 | $149,724 |
| Participant contributions at beginning of year | 2022-12-31 | $25,610 |
| Assets. Other investments not covered elsewhere at end of year | 2022-12-31 | $21,412 |
| Assets. Other investments not covered elsewhere at beginning of year | 2022-12-31 | $27,472 |
| Income. Received or receivable in cash from other sources (including rollovers) | 2022-12-31 | $45,988 |
| Other income not declared elsewhere | 2022-12-31 | $0 |
| Administrative expenses (other) incurred | 2022-12-31 | $5,151 |
| Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser | 2022-12-31 | No |
| Value of net income/loss | 2022-12-31 | $-10,389,452 |
| Value of net assets at end of year (total assets less liabilities) | 2022-12-31 | $74,172,394 |
| Value of net assets at beginning of year (total assets less liabilities) | 2022-12-31 | $84,561,846 |
| Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond) | 2022-12-31 | No |
| Were any loans by the plan or fixed income obligations due to the plan in default | 2022-12-31 | No |
| Were any leases to which the plan was party in default or uncollectible | 2022-12-31 | No |
| Value of interest in registered invesment companies (eg mutual funds) at end of year | 2022-12-31 | $65,356,845 |
| Value of interest in registered invesment companies (eg mutual funds) at beginning of year | 2022-12-31 | $75,305,660 |
| Interest on participant loans | 2022-12-31 | $2,198 |
| Value of interest in common/collective trusts at end of year | 2022-12-31 | $8,644,413 |
| Value of interest in common/collective trusts at beginning of year | 2022-12-31 | $9,203,104 |
| Net investment gain/loss from registered investment companies (e.g. mutual funds) | 2022-12-31 | $-15,721,856 |
| Net investment gain or loss from common/collective trusts | 2022-12-31 | $117,668 |
| Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets | 2022-12-31 | No |
| Was there a failure to transmit to the plan any participant contributions | 2022-12-31 | No |
| Has the plan failed to provide any benefit when due under the plan | 2022-12-31 | No |
| Contributions received in cash from employer | 2022-12-31 | $1,311,513 |
| Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers | 2022-12-31 | $1,038,222 |
| Did the plan have assets held for investment | 2022-12-31 | 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 | 2022-12-31 | No |
| Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC | 2022-12-31 | No |
| Opinion of an independent qualified public accountant for this plan | 2022-12-31 | Unqualified |
| Accountancy firm name | 2022-12-31 | ERNST AND YOUNG LLP |
| Accountancy firm EIN | 2022-12-31 | 346565596 |
| Total unrealized appreciation/depreciation of assets | 2022-01-01 | $0 |
| Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2022-01-01 | $0 |
| Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2022-01-01 | $0 |
| Total income from all sources (including contributions) | 2022-01-01 | $-9,346,063 |
| Total loss/gain on sale of assets | 2022-01-01 | $0 |
| Total of all expenses incurred | 2022-01-01 | $1,043,389 |
| Benefit payments and payments to participlants,beneficiaries,insurance carriers and others | 2022-01-01 | $1,038,222 |
| Value of total corrective distributions | 2022-01-01 | $16 |
| Total contributions o plan (from employers,participants, others, non cash contrinutions) | 2022-01-01 | $3,000,743 |
| Value of total assets at end of year | 2022-01-01 | $74,172,394 |
| Value of total assets at beginning of year | 2022-01-01 | $84,561,846 |
| Total of administrative expenses incurred including professional, contract, advisory and management fees | 2022-01-01 | $5,151 |
| Total interest from all sources | 2022-01-01 | $2,198 |
| Total dividends received (eg from common stock, registered investment company shares) | 2022-01-01 | $3,255,184 |
| Has a resolution to terminate the plan been adopted during the plan year or any prior plan year | 2022-01-01 | No |
| Total dividends received from registered investment company shares (eg mutual funds) | 2022-01-01 | $3,255,184 |
| Was this plan covered by a fidelity bond | 2022-01-01 | Yes |
| Value of fidelity bond cover | 2022-01-01 | $10,000,000 |
| If this is an individual account plan, was there a blackout period | 2022-01-01 | No |
| Were there any nonexempt tranactions with any party-in-interest | 2022-01-01 | No |
| Contributions received from participants | 2022-01-01 | $1,643,242 |
| Participant contributions at end of year | 2022-01-01 | $149,724 |
| Participant contributions at beginning of year | 2022-01-01 | $25,610 |
| Assets. Other investments not covered elsewhere at end of year | 2022-01-01 | $21,412 |
| Assets. Other investments not covered elsewhere at beginning of year | 2022-01-01 | $27,472 |
| Income. Received or receivable in cash from other sources (including rollovers) | 2022-01-01 | $45,988 |
| Other income not declared elsewhere | 2022-01-01 | $0 |
| Administrative expenses (other) incurred | 2022-01-01 | $5,151 |
| Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser | 2022-01-01 | No |
| Value of net income/loss | 2022-01-01 | $-10,389,452 |
| Value of net assets at end of year (total assets less liabilities) | 2022-01-01 | $74,172,394 |
| Value of net assets at beginning of year (total assets less liabilities) | 2022-01-01 | $84,561,846 |
| Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond) | 2022-01-01 | No |
| Were any loans by the plan or fixed income obligations due to the plan in default | 2022-01-01 | No |
| Were any leases to which the plan was party in default or uncollectible | 2022-01-01 | No |
| Value of interest in registered invesment companies (eg mutual funds) at end of year | 2022-01-01 | $65,356,845 |
| Value of interest in registered invesment companies (eg mutual funds) at beginning of year | 2022-01-01 | $75,305,660 |
| Interest on participant loans | 2022-01-01 | $2,198 |
| Value of interest in common/collective trusts at end of year | 2022-01-01 | $8,644,413 |
| Value of interest in common/collective trusts at beginning of year | 2022-01-01 | $9,203,104 |
| Net investment gain/loss from registered investment companies (e.g. mutual funds) | 2022-01-01 | $-15,721,856 |
| Net investment gain or loss from common/collective trusts | 2022-01-01 | $117,668 |
| Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets | 2022-01-01 | No |
| Was there a failure to transmit to the plan any participant contributions | 2022-01-01 | No |
| Has the plan failed to provide any benefit when due under the plan | 2022-01-01 | No |
| Contributions received in cash from employer | 2022-01-01 | $1,311,513 |
| Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers | 2022-01-01 | $1,038,222 |
| Did the plan have assets held for investment | 2022-01-01 | 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 | 2022-01-01 | No |
| Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC | 2022-01-01 | No |
| Opinion of an independent qualified public accountant for this plan | 2022-01-01 | 1 |
| Accountancy firm name | 2022-01-01 | ERNST AND YOUNG LLP |
| Accountancy firm EIN | 2022-01-01 | 346565596 |
| 2021 : PALOMA PARTNERS RETIREMENT PLAN 2021 401k financial data |
|---|
| Total unrealized appreciation/depreciation of assets | 2021-12-31 | $0 |
| Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2021-12-31 | $0 |
| Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2021-12-31 | $0 |
| Total income from all sources (including contributions) | 2021-12-31 | $14,495,478 |
| Total loss/gain on sale of assets | 2021-12-31 | $0 |
| Total of all expenses incurred | 2021-12-31 | $5,835,648 |
| Benefit payments and payments to participlants,beneficiaries,insurance carriers and others | 2021-12-31 | $5,812,910 |
| Value of total corrective distributions | 2021-12-31 | $16,681 |
| Total contributions o plan (from employers,participants, others, non cash contrinutions) | 2021-12-31 | $3,334,640 |
| Value of total assets at end of year | 2021-12-31 | $84,561,846 |
| Value of total assets at beginning of year | 2021-12-31 | $75,902,016 |
| Total of administrative expenses incurred including professional, contract, advisory and management fees | 2021-12-31 | $6,057 |
| Total interest from all sources | 2021-12-31 | $2,609 |
| Total dividends received (eg from common stock, registered investment company shares) | 2021-12-31 | $5,842,281 |
| Has a resolution to terminate the plan been adopted during the plan year or any prior plan year | 2021-12-31 | No |
| Total dividends received from registered investment company shares (eg mutual funds) | 2021-12-31 | $5,842,281 |
| Was this plan covered by a fidelity bond | 2021-12-31 | Yes |
| Value of fidelity bond cover | 2021-12-31 | $10,000,000 |
| If this is an individual account plan, was there a blackout period | 2021-12-31 | No |
| Were there any nonexempt tranactions with any party-in-interest | 2021-12-31 | No |
| Contributions received from participants | 2021-12-31 | $1,897,509 |
| Participant contributions at end of year | 2021-12-31 | $25,610 |
| Participant contributions at beginning of year | 2021-12-31 | $82,042 |
| Assets. Other investments not covered elsewhere at end of year | 2021-12-31 | $27,472 |
| Assets. Other investments not covered elsewhere at beginning of year | 2021-12-31 | $235,579 |
| Income. Received or receivable in cash from other sources (including rollovers) | 2021-12-31 | $64,834 |
| Other income not declared elsewhere | 2021-12-31 | $8,841 |
| Administrative expenses (other) incurred | 2021-12-31 | $6,057 |
| Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser | 2021-12-31 | No |
| Value of net income/loss | 2021-12-31 | $8,659,830 |
| Value of net assets at end of year (total assets less liabilities) | 2021-12-31 | $84,561,846 |
| Value of net assets at beginning of year (total assets less liabilities) | 2021-12-31 | $75,902,016 |
| Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond) | 2021-12-31 | No |
| Were any loans by the plan or fixed income obligations due to the plan in default | 2021-12-31 | No |
| Were any leases to which the plan was party in default or uncollectible | 2021-12-31 | No |
| Value of interest in registered invesment companies (eg mutual funds) at end of year | 2021-12-31 | $75,305,660 |
| Value of interest in registered invesment companies (eg mutual funds) at beginning of year | 2021-12-31 | $66,304,371 |
| Interest on participant loans | 2021-12-31 | $2,609 |
| Value of interest in common/collective trusts at end of year | 2021-12-31 | $9,203,104 |
| Value of interest in common/collective trusts at beginning of year | 2021-12-31 | $9,280,024 |
| Net investment gain/loss from registered investment companies (e.g. mutual funds) | 2021-12-31 | $5,194,834 |
| Net investment gain or loss from common/collective trusts | 2021-12-31 | $112,273 |
| Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets | 2021-12-31 | No |
| Was there a failure to transmit to the plan any participant contributions | 2021-12-31 | No |
| Has the plan failed to provide any benefit when due under the plan | 2021-12-31 | No |
| Contributions received in cash from employer | 2021-12-31 | $1,372,297 |
| Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers | 2021-12-31 | $5,812,910 |
| Did the plan have assets held for investment | 2021-12-31 | 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 | 2021-12-31 | No |
| Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC | 2021-12-31 | No |
| Opinion of an independent qualified public accountant for this plan | 2021-12-31 | Unqualified |
| Accountancy firm name | 2021-12-31 | ERNST AND YOUNG LLP |
| Accountancy firm EIN | 2021-12-31 | 346565596 |
| 2020 : PALOMA PARTNERS RETIREMENT PLAN 2020 401k financial data |
|---|
| Total unrealized appreciation/depreciation of assets | 2020-12-31 | $0 |
| Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2020-12-31 | $0 |
| Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2020-12-31 | $0 |
| Total income from all sources (including contributions) | 2020-12-31 | $12,600,006 |
| Total loss/gain on sale of assets | 2020-12-31 | $0 |
| Total of all expenses incurred | 2020-12-31 | $2,698,552 |
| Benefit payments and payments to participlants,beneficiaries,insurance carriers and others | 2020-12-31 | $2,694,592 |
| Total contributions o plan (from employers,participants, others, non cash contrinutions) | 2020-12-31 | $3,954,737 |
| Value of total assets at end of year | 2020-12-31 | $75,902,016 |
| Value of total assets at beginning of year | 2020-12-31 | $66,000,562 |
| Total of administrative expenses incurred including professional, contract, advisory and management fees | 2020-12-31 | $3,960 |
| Total interest from all sources | 2020-12-31 | $5,664 |
| Total dividends received (eg from common stock, registered investment company shares) | 2020-12-31 | $2,642,706 |
| Has a resolution to terminate the plan been adopted during the plan year or any prior plan year | 2020-12-31 | No |
| Total dividends received from registered investment company shares (eg mutual funds) | 2020-12-31 | $2,642,706 |
| Was this plan covered by a fidelity bond | 2020-12-31 | Yes |
| Value of fidelity bond cover | 2020-12-31 | $10,000,000 |
| If this is an individual account plan, was there a blackout period | 2020-12-31 | No |
| Were there any nonexempt tranactions with any party-in-interest | 2020-12-31 | No |
| Contributions received from participants | 2020-12-31 | $2,040,170 |
| Participant contributions at end of year | 2020-12-31 | $82,042 |
| Participant contributions at beginning of year | 2020-12-31 | $75,920 |
| Assets. Other investments not covered elsewhere at end of year | 2020-12-31 | $235,579 |
| Assets. Other investments not covered elsewhere at beginning of year | 2020-12-31 | $196,893 |
| Income. Received or receivable in cash from other sources (including rollovers) | 2020-12-31 | $146,494 |
| Other income not declared elsewhere | 2020-12-31 | $33,587 |
| Administrative expenses (other) incurred | 2020-12-31 | $3,960 |
| Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser | 2020-12-31 | No |
| Value of net income/loss | 2020-12-31 | $9,901,454 |
| Value of net assets at end of year (total assets less liabilities) | 2020-12-31 | $75,902,016 |
| Value of net assets at beginning of year (total assets less liabilities) | 2020-12-31 | $66,000,562 |
| Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond) | 2020-12-31 | No |
| Were any loans by the plan or fixed income obligations due to the plan in default | 2020-12-31 | No |
| Were any leases to which the plan was party in default or uncollectible | 2020-12-31 | No |
| Value of interest in registered invesment companies (eg mutual funds) at end of year | 2020-12-31 | $66,304,371 |
| Value of interest in registered invesment companies (eg mutual funds) at beginning of year | 2020-12-31 | $59,635,829 |
| Interest on participant loans | 2020-12-31 | $5,664 |
| Value of interest in common/collective trusts at end of year | 2020-12-31 | $9,280,024 |
| Value of interest in common/collective trusts at beginning of year | 2020-12-31 | $6,091,920 |
| Net investment gain/loss from registered investment companies (e.g. mutual funds) | 2020-12-31 | $5,799,914 |
| Net investment gain or loss from common/collective trusts | 2020-12-31 | $163,398 |
| Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets | 2020-12-31 | No |
| Was there a failure to transmit to the plan any participant contributions | 2020-12-31 | No |
| Has the plan failed to provide any benefit when due under the plan | 2020-12-31 | No |
| Contributions received in cash from employer | 2020-12-31 | $1,768,073 |
| Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers | 2020-12-31 | $2,694,592 |
| Did the plan have assets held for investment | 2020-12-31 | 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 | 2020-12-31 | No |
| Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC | 2020-12-31 | No |
| Opinion of an independent qualified public accountant for this plan | 2020-12-31 | Disclaimer |
| Accountancy firm name | 2020-12-31 | ERNST AND YOUNG LLP |
| Accountancy firm EIN | 2020-12-31 | 346565596 |
| 2019 : PALOMA PARTNERS RETIREMENT PLAN 2019 401k financial data |
|---|
| Total unrealized appreciation/depreciation of assets | 2019-12-31 | $0 |
| Total unrealized appreciation/depreciation of assets | 2019-12-31 | $0 |
| Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2019-12-31 | $0 |
| Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2019-12-31 | $0 |
| Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2019-12-31 | $0 |
| Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2019-12-31 | $0 |
| Total income from all sources (including contributions) | 2019-12-31 | $15,637,373 |
| Total income from all sources (including contributions) | 2019-12-31 | $15,637,373 |
| Total loss/gain on sale of assets | 2019-12-31 | $0 |
| Total loss/gain on sale of assets | 2019-12-31 | $0 |
| Total of all expenses incurred | 2019-12-31 | $2,646,946 |
| Total of all expenses incurred | 2019-12-31 | $2,646,946 |
| Benefit payments and payments to participlants,beneficiaries,insurance carriers and others | 2019-12-31 | $2,607,831 |
| Benefit payments and payments to participlants,beneficiaries,insurance carriers and others | 2019-12-31 | $2,607,831 |
| Value of total corrective distributions | 2019-12-31 | $35,562 |
| Value of total corrective distributions | 2019-12-31 | $35,562 |
| Total contributions o plan (from employers,participants, others, non cash contrinutions) | 2019-12-31 | $3,798,248 |
| Total contributions o plan (from employers,participants, others, non cash contrinutions) | 2019-12-31 | $3,798,248 |
| Value of total assets at end of year | 2019-12-31 | $66,000,562 |
| Value of total assets at end of year | 2019-12-31 | $66,000,562 |
| Value of total assets at beginning of year | 2019-12-31 | $53,010,135 |
| Value of total assets at beginning of year | 2019-12-31 | $53,010,135 |
| Total of administrative expenses incurred including professional, contract, advisory and management fees | 2019-12-31 | $3,553 |
| Total of administrative expenses incurred including professional, contract, advisory and management fees | 2019-12-31 | $3,553 |
| Total interest from all sources | 2019-12-31 | $4,389 |
| Total interest from all sources | 2019-12-31 | $4,389 |
| Total dividends received (eg from common stock, registered investment company shares) | 2019-12-31 | $2,347,374 |
| Total dividends received (eg from common stock, registered investment company shares) | 2019-12-31 | $2,347,374 |
| Has a resolution to terminate the plan been adopted during the plan year or any prior plan year | 2019-12-31 | No |
| Has a resolution to terminate the plan been adopted during the plan year or any prior plan year | 2019-12-31 | No |
| Total dividends received from registered investment company shares (eg mutual funds) | 2019-12-31 | $2,347,374 |
| Total dividends received from registered investment company shares (eg mutual funds) | 2019-12-31 | $2,347,374 |
| Was this plan covered by a fidelity bond | 2019-12-31 | Yes |
| Was this plan covered by a fidelity bond | 2019-12-31 | Yes |
| Value of fidelity bond cover | 2019-12-31 | $10,000,000 |
| Value of fidelity bond cover | 2019-12-31 | $10,000,000 |
| If this is an individual account plan, was there a blackout period | 2019-12-31 | Yes |
| If this is an individual account plan, was there a blackout period | 2019-12-31 | Yes |
| Were there any nonexempt tranactions with any party-in-interest | 2019-12-31 | No |
| Were there any nonexempt tranactions with any party-in-interest | 2019-12-31 | No |
| Contributions received from participants | 2019-12-31 | $2,067,956 |
| Contributions received from participants | 2019-12-31 | $2,067,956 |
| Participant contributions at end of year | 2019-12-31 | $75,920 |
| Participant contributions at end of year | 2019-12-31 | $75,920 |
| Participant contributions at beginning of year | 2019-12-31 | $69,444 |
| Participant contributions at beginning of year | 2019-12-31 | $69,444 |
| Assets. Other investments not covered elsewhere at end of year | 2019-12-31 | $196,893 |
| Assets. Other investments not covered elsewhere at end of year | 2019-12-31 | $196,893 |
| Assets. Other investments not covered elsewhere at beginning of year | 2019-12-31 | $212,992 |
| Assets. Other investments not covered elsewhere at beginning of year | 2019-12-31 | $212,992 |
| Income. Received or receivable in cash from other sources (including rollovers) | 2019-12-31 | $45,088 |
| Income. Received or receivable in cash from other sources (including rollovers) | 2019-12-31 | $45,088 |
| Other income not declared elsewhere | 2019-12-31 | $37,050 |
| Other income not declared elsewhere | 2019-12-31 | $37,050 |
| Administrative expenses (other) incurred | 2019-12-31 | $3,553 |
| Administrative expenses (other) incurred | 2019-12-31 | $3,553 |
| Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser | 2019-12-31 | No |
| Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser | 2019-12-31 | No |
| Value of net income/loss | 2019-12-31 | $12,990,427 |
| Value of net income/loss | 2019-12-31 | $12,990,427 |
| Value of net assets at end of year (total assets less liabilities) | 2019-12-31 | $66,000,562 |
| Value of net assets at end of year (total assets less liabilities) | 2019-12-31 | $66,000,562 |
| Value of net assets at beginning of year (total assets less liabilities) | 2019-12-31 | $53,010,135 |
| Value of net assets at beginning of year (total assets less liabilities) | 2019-12-31 | $53,010,135 |
| Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond) | 2019-12-31 | No |
| Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond) | 2019-12-31 | No |
| Were any loans by the plan or fixed income obligations due to the plan in default | 2019-12-31 | No |
| Were any loans by the plan or fixed income obligations due to the plan in default | 2019-12-31 | No |
| Were any leases to which the plan was party in default or uncollectible | 2019-12-31 | No |
| Were any leases to which the plan was party in default or uncollectible | 2019-12-31 | No |
| Value of interest in registered invesment companies (eg mutual funds) at end of year | 2019-12-31 | $59,635,829 |
| Value of interest in registered invesment companies (eg mutual funds) at end of year | 2019-12-31 | $59,635,829 |
| Value of interest in registered invesment companies (eg mutual funds) at beginning of year | 2019-12-31 | $47,798,299 |
| Value of interest in registered invesment companies (eg mutual funds) at beginning of year | 2019-12-31 | $47,798,299 |
| Interest on participant loans | 2019-12-31 | $4,389 |
| Interest on participant loans | 2019-12-31 | $4,389 |
| Value of interest in common/collective trusts at end of year | 2019-12-31 | $6,091,920 |
| Value of interest in common/collective trusts at end of year | 2019-12-31 | $6,091,920 |
| Value of interest in common/collective trusts at beginning of year | 2019-12-31 | $4,929,400 |
| Value of interest in common/collective trusts at beginning of year | 2019-12-31 | $4,929,400 |
| Net investment gain/loss from registered investment companies (e.g. mutual funds) | 2019-12-31 | $9,317,754 |
| Net investment gain/loss from registered investment companies (e.g. mutual funds) | 2019-12-31 | $9,317,754 |
| Net investment gain or loss from common/collective trusts | 2019-12-31 | $132,558 |
| Net investment gain or loss from common/collective trusts | 2019-12-31 | $132,558 |
| Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets | 2019-12-31 | No |
| Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets | 2019-12-31 | No |
| Was there a failure to transmit to the plan any participant contributions | 2019-12-31 | No |
| Was there a failure to transmit to the plan any participant contributions | 2019-12-31 | No |
| Has the plan failed to provide any benefit when due under the plan | 2019-12-31 | No |
| Has the plan failed to provide any benefit when due under the plan | 2019-12-31 | No |
| Contributions received in cash from employer | 2019-12-31 | $1,685,204 |
| Contributions received in cash from employer | 2019-12-31 | $1,685,204 |
| Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers | 2019-12-31 | $2,607,831 |
| Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers | 2019-12-31 | $2,607,831 |
| Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-3 | 2019-12-31 | Yes |
| Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-3 | 2019-12-31 | Yes |
| Did the plan have assets held for investment | 2019-12-31 | Yes |
| Did the plan have assets held for investment | 2019-12-31 | 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 | 2019-12-31 | No |
| 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 | 2019-12-31 | No |
| Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC | 2019-12-31 | No |
| Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC | 2019-12-31 | No |
| Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d) | 2019-12-31 | Yes |
| Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d) | 2019-12-31 | Yes |
| Opinion of an independent qualified public accountant for this plan | 2019-12-31 | Disclaimer |
| Opinion of an independent qualified public accountant for this plan | 2019-12-31 | Disclaimer |
| Accountancy firm name | 2019-12-31 | ERNST AND YOUNG LLP |
| Accountancy firm name | 2019-12-31 | ERNST AND YOUNG LLP |
| Accountancy firm EIN | 2019-12-31 | 346565596 |
| Accountancy firm EIN | 2019-12-31 | 346565596 |
| 2018 : PALOMA PARTNERS RETIREMENT PLAN 2018 401k financial data |
|---|
| Total unrealized appreciation/depreciation of assets | 2018-12-31 | $0 |
| Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2018-12-31 | $0 |
| Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2018-12-31 | $0 |
| Total income from all sources (including contributions) | 2018-12-31 | $794,188 |
| Total loss/gain on sale of assets | 2018-12-31 | $0 |
| Total of all expenses incurred | 2018-12-31 | $1,659,334 |
| Benefit payments and payments to participlants,beneficiaries,insurance carriers and others | 2018-12-31 | $1,655,666 |
| Total contributions o plan (from employers,participants, others, non cash contrinutions) | 2018-12-31 | $4,336,434 |
| Value of total assets at end of year | 2018-12-31 | $53,010,135 |
| Value of total assets at beginning of year | 2018-12-31 | $53,875,281 |
| Total of administrative expenses incurred including professional, contract, advisory and management fees | 2018-12-31 | $3,668 |
| Total interest from all sources | 2018-12-31 | $2,873 |
| Total dividends received (eg from common stock, registered investment company shares) | 2018-12-31 | $2,711,580 |
| Has a resolution to terminate the plan been adopted during the plan year or any prior plan year | 2018-12-31 | No |
| Total dividends received from registered investment company shares (eg mutual funds) | 2018-12-31 | $2,711,580 |
| Was this plan covered by a fidelity bond | 2018-12-31 | Yes |
| Value of fidelity bond cover | 2018-12-31 | $10,000,000 |
| If this is an individual account plan, was there a blackout period | 2018-12-31 | No |
| Were there any nonexempt tranactions with any party-in-interest | 2018-12-31 | No |
| Contributions received from participants | 2018-12-31 | $1,862,961 |
| Participant contributions at end of year | 2018-12-31 | $69,444 |
| Participant contributions at beginning of year | 2018-12-31 | $116,756 |
| Assets. Other investments not covered elsewhere at end of year | 2018-12-31 | $212,992 |
| Assets. Other investments not covered elsewhere at beginning of year | 2018-12-31 | $234,160 |
| Income. Received or receivable in cash from other sources (including rollovers) | 2018-12-31 | $1,089,307 |
| Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries) | 2018-12-31 | $360 |
| Administrative expenses (other) incurred | 2018-12-31 | $3,668 |
| Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser | 2018-12-31 | No |
| Value of net income/loss | 2018-12-31 | $-865,146 |
| Value of net assets at end of year (total assets less liabilities) | 2018-12-31 | $53,010,135 |
| Value of net assets at beginning of year (total assets less liabilities) | 2018-12-31 | $53,875,281 |
| Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond) | 2018-12-31 | No |
| Were any loans by the plan or fixed income obligations due to the plan in default | 2018-12-31 | No |
| Were any leases to which the plan was party in default or uncollectible | 2018-12-31 | No |
| Value of interest in registered invesment companies (eg mutual funds) at end of year | 2018-12-31 | $47,798,299 |
| Value of interest in registered invesment companies (eg mutual funds) at beginning of year | 2018-12-31 | $47,920,380 |
| Interest on participant loans | 2018-12-31 | $2,873 |
| Value of interest in common/collective trusts at end of year | 2018-12-31 | $4,929,400 |
| Value of interest in common/collective trusts at beginning of year | 2018-12-31 | $5,603,985 |
| Net investment gain/loss from registered investment companies (e.g. mutual funds) | 2018-12-31 | $-6,362,152 |
| Net investment gain or loss from common/collective trusts | 2018-12-31 | $105,453 |
| Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets | 2018-12-31 | No |
| Was there a failure to transmit to the plan any participant contributions | 2018-12-31 | No |
| Has the plan failed to provide any benefit when due under the plan | 2018-12-31 | No |
| Contributions received in cash from employer | 2018-12-31 | $1,384,166 |
| Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers | 2018-12-31 | $1,655,306 |
| Did the plan have assets held for investment | 2018-12-31 | 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 | 2018-12-31 | No |
| Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC | 2018-12-31 | No |
| Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d) | 2018-12-31 | Yes |
| Opinion of an independent qualified public accountant for this plan | 2018-12-31 | Disclaimer |
| Accountancy firm name | 2018-12-31 | ERNST AND YOUNG LLP |
| Accountancy firm EIN | 2018-12-31 | 346565596 |
| 2017 : PALOMA PARTNERS RETIREMENT PLAN 2017 401k financial data |
|---|
| Total unrealized appreciation/depreciation of assets | 2017-12-31 | $0 |
| Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2017-12-31 | $0 |
| Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2017-12-31 | $0 |
| Total income from all sources (including contributions) | 2017-12-31 | $11,683,933 |
| Total loss/gain on sale of assets | 2017-12-31 | $0 |
| Total of all expenses incurred | 2017-12-31 | $712,390 |
| Benefit payments and payments to participlants,beneficiaries,insurance carriers and others | 2017-12-31 | $683,738 |
| Value of total corrective distributions | 2017-12-31 | $25,204 |
| Total contributions o plan (from employers,participants, others, non cash contrinutions) | 2017-12-31 | $4,134,948 |
| Value of total assets at end of year | 2017-12-31 | $53,875,281 |
| Value of total assets at beginning of year | 2017-12-31 | $42,903,738 |
| Total of administrative expenses incurred including professional, contract, advisory and management fees | 2017-12-31 | $3,448 |
| Total interest from all sources | 2017-12-31 | $3,733 |
| Total dividends received (eg from common stock, registered investment company shares) | 2017-12-31 | $1,920,385 |
| Has a resolution to terminate the plan been adopted during the plan year or any prior plan year | 2017-12-31 | No |
| Total dividends received from registered investment company shares (eg mutual funds) | 2017-12-31 | $1,920,385 |
| Was this plan covered by a fidelity bond | 2017-12-31 | Yes |
| Value of fidelity bond cover | 2017-12-31 | $10,000,000 |
| If this is an individual account plan, was there a blackout period | 2017-12-31 | No |
| Were there any nonexempt tranactions with any party-in-interest | 2017-12-31 | No |
| Contributions received from participants | 2017-12-31 | $1,733,873 |
| Participant contributions at end of year | 2017-12-31 | $116,756 |
| Participant contributions at beginning of year | 2017-12-31 | $54,637 |
| Assets. Other investments not covered elsewhere at end of year | 2017-12-31 | $234,160 |
| Assets. Other investments not covered elsewhere at beginning of year | 2017-12-31 | $162,536 |
| Income. Received or receivable in cash from other sources (including rollovers) | 2017-12-31 | $979,960 |
| Other income not declared elsewhere | 2017-12-31 | $46,548 |
| Administrative expenses (other) incurred | 2017-12-31 | $3,448 |
| Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser | 2017-12-31 | No |
| Value of net income/loss | 2017-12-31 | $10,971,543 |
| Value of net assets at end of year (total assets less liabilities) | 2017-12-31 | $53,875,281 |
| Value of net assets at beginning of year (total assets less liabilities) | 2017-12-31 | $42,903,738 |
| Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond) | 2017-12-31 | No |
| Were any loans by the plan or fixed income obligations due to the plan in default | 2017-12-31 | No |
| Were any leases to which the plan was party in default or uncollectible | 2017-12-31 | No |
| Value of interest in registered invesment companies (eg mutual funds) at end of year | 2017-12-31 | $47,920,380 |
| Value of interest in registered invesment companies (eg mutual funds) at beginning of year | 2017-12-31 | $37,091,381 |
| Interest on participant loans | 2017-12-31 | $3,733 |
| Value of interest in common/collective trusts at end of year | 2017-12-31 | $5,603,985 |
| Value of interest in common/collective trusts at beginning of year | 2017-12-31 | $5,595,184 |
| Net investment gain/loss from registered investment companies (e.g. mutual funds) | 2017-12-31 | $5,478,792 |
| Net investment gain or loss from common/collective trusts | 2017-12-31 | $99,527 |
| Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets | 2017-12-31 | No |
| Was there a failure to transmit to the plan any participant contributions | 2017-12-31 | No |
| Has the plan failed to provide any benefit when due under the plan | 2017-12-31 | No |
| Contributions received in cash from employer | 2017-12-31 | $1,421,115 |
| Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers | 2017-12-31 | $683,738 |
| Did the plan have assets held for investment | 2017-12-31 | 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 | 2017-12-31 | No |
| Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC | 2017-12-31 | No |
| Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d) | 2017-12-31 | Yes |
| Opinion of an independent qualified public accountant for this plan | 2017-12-31 | Disclaimer |
| Accountancy firm name | 2017-12-31 | ERNST AND YOUNG LLP |
| Accountancy firm EIN | 2017-12-31 | 346565596 |
| 2016 : PALOMA PARTNERS RETIREMENT PLAN 2016 401k financial data |
|---|
| Total unrealized appreciation/depreciation of assets | 2016-12-31 | $0 |
| Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2016-12-31 | $0 |
| Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2016-12-31 | $0 |
| Total income from all sources (including contributions) | 2016-12-31 | $6,348,735 |
| Total loss/gain on sale of assets | 2016-12-31 | $0 |
| Total of all expenses incurred | 2016-12-31 | $935,917 |
| Benefit payments and payments to participlants,beneficiaries,insurance carriers and others | 2016-12-31 | $930,372 |
| Value of total corrective distributions | 2016-12-31 | $370 |
| Total contributions o plan (from employers,participants, others, non cash contrinutions) | 2016-12-31 | $3,134,930 |
| Value of total assets at end of year | 2016-12-31 | $42,903,738 |
| Value of total assets at beginning of year | 2016-12-31 | $37,490,920 |
| Total of administrative expenses incurred including professional, contract, advisory and management fees | 2016-12-31 | $5,175 |
| Total interest from all sources | 2016-12-31 | $1,436 |
| Total dividends received (eg from common stock, registered investment company shares) | 2016-12-31 | $1,327,106 |
| Has a resolution to terminate the plan been adopted during the plan year or any prior plan year | 2016-12-31 | No |
| Total dividends received from registered investment company shares (eg mutual funds) | 2016-12-31 | $1,327,106 |
| Was this plan covered by a fidelity bond | 2016-12-31 | Yes |
| Value of fidelity bond cover | 2016-12-31 | $10,000,000 |
| If this is an individual account plan, was there a blackout period | 2016-12-31 | No |
| Were there any nonexempt tranactions with any party-in-interest | 2016-12-31 | No |
| Contributions received from participants | 2016-12-31 | $1,530,962 |
| Participant contributions at end of year | 2016-12-31 | $54,637 |
| Participant contributions at beginning of year | 2016-12-31 | $61,367 |
| Assets. Other investments not covered elsewhere at end of year | 2016-12-31 | $162,536 |
| Assets. Other investments not covered elsewhere at beginning of year | 2016-12-31 | $286,615 |
| Income. Received or receivable in cash from other sources (including rollovers) | 2016-12-31 | $217,156 |
| Other income not declared elsewhere | 2016-12-31 | $22,070 |
| Administrative expenses (other) incurred | 2016-12-31 | $5,175 |
| Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser | 2016-12-31 | No |
| Value of net income/loss | 2016-12-31 | $5,412,818 |
| Value of net assets at end of year (total assets less liabilities) | 2016-12-31 | $42,903,738 |
| Value of net assets at beginning of year (total assets less liabilities) | 2016-12-31 | $37,490,920 |
| Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond) | 2016-12-31 | No |
| Were any loans by the plan or fixed income obligations due to the plan in default | 2016-12-31 | No |
| Were any leases to which the plan was party in default or uncollectible | 2016-12-31 | No |
| Value of interest in registered invesment companies (eg mutual funds) at end of year | 2016-12-31 | $37,091,381 |
| Value of interest in registered invesment companies (eg mutual funds) at beginning of year | 2016-12-31 | $31,683,472 |
| Interest on participant loans | 2016-12-31 | $1,436 |
| Value of interest in common/collective trusts at end of year | 2016-12-31 | $5,595,184 |
| Value of interest in common/collective trusts at beginning of year | 2016-12-31 | $5,459,466 |
| Net investment gain/loss from registered investment companies (e.g. mutual funds) | 2016-12-31 | $1,755,678 |
| Net investment gain or loss from common/collective trusts | 2016-12-31 | $107,515 |
| Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets | 2016-12-31 | No |
| Was there a failure to transmit to the plan any participant contributions | 2016-12-31 | No |
| Has the plan failed to provide any benefit when due under the plan | 2016-12-31 | No |
| Contributions received in cash from employer | 2016-12-31 | $1,386,812 |
| Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers | 2016-12-31 | $930,372 |
| Did the plan have assets held for investment | 2016-12-31 | 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 | 2016-12-31 | No |
| Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC | 2016-12-31 | No |
| Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d) | 2016-12-31 | Yes |
| Opinion of an independent qualified public accountant for this plan | 2016-12-31 | Disclaimer |
| Accountancy firm name | 2016-12-31 | ERNST AND YOUNG LLP |
| Accountancy firm EIN | 2016-12-31 | 346565596 |
| 2015 : PALOMA PARTNERS RETIREMENT PLAN 2015 401k financial data |
|---|
| Total unrealized appreciation/depreciation of assets | 2015-12-31 | $0 |
| Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2015-12-31 | $0 |
| Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2015-12-31 | $0 |
| Total income from all sources (including contributions) | 2015-12-31 | $2,310,179 |
| Total loss/gain on sale of assets | 2015-12-31 | $0 |
| Total of all expenses incurred | 2015-12-31 | $2,545,591 |
| Benefit payments and payments to participlants,beneficiaries,insurance carriers and others | 2015-12-31 | $2,542,109 |
| Total contributions o plan (from employers,participants, others, non cash contrinutions) | 2015-12-31 | $2,649,131 |
| Value of total assets at end of year | 2015-12-31 | $37,490,920 |
| Value of total assets at beginning of year | 2015-12-31 | $37,726,332 |
| Total of administrative expenses incurred including professional, contract, advisory and management fees | 2015-12-31 | $3,482 |
| Total interest from all sources | 2015-12-31 | $1,969 |
| Total dividends received (eg from common stock, registered investment company shares) | 2015-12-31 | $1,324,793 |
| Has a resolution to terminate the plan been adopted during the plan year or any prior plan year | 2015-12-31 | No |
| Total dividends received from registered investment company shares (eg mutual funds) | 2015-12-31 | $1,324,793 |
| Was this plan covered by a fidelity bond | 2015-12-31 | Yes |
| Value of fidelity bond cover | 2015-12-31 | $10,000,000 |
| If this is an individual account plan, was there a blackout period | 2015-12-31 | No |
| Were there any nonexempt tranactions with any party-in-interest | 2015-12-31 | No |
| Contributions received from participants | 2015-12-31 | $1,242,940 |
| Participant contributions at end of year | 2015-12-31 | $61,367 |
| Participant contributions at beginning of year | 2015-12-31 | $46,121 |
| Assets. Other investments not covered elsewhere at end of year | 2015-12-31 | $286,615 |
| Assets. Other investments not covered elsewhere at beginning of year | 2015-12-31 | $270,621 |
| Income. Received or receivable in cash from other sources (including rollovers) | 2015-12-31 | $518,251 |
| Other income not declared elsewhere | 2015-12-31 | $8,900 |
| Administrative expenses (other) incurred | 2015-12-31 | $3,482 |
| Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser | 2015-12-31 | No |
| Value of net income/loss | 2015-12-31 | $-235,412 |
| Value of net assets at end of year (total assets less liabilities) | 2015-12-31 | $37,490,920 |
| Value of net assets at beginning of year (total assets less liabilities) | 2015-12-31 | $37,726,332 |
| Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond) | 2015-12-31 | No |
| Were any loans by the plan or fixed income obligations due to the plan in default | 2015-12-31 | No |
| Were any leases to which the plan was party in default or uncollectible | 2015-12-31 | No |
| Value of interest in registered invesment companies (eg mutual funds) at end of year | 2015-12-31 | $31,683,472 |
| Value of interest in registered invesment companies (eg mutual funds) at beginning of year | 2015-12-31 | $32,151,635 |
| Interest on participant loans | 2015-12-31 | $1,969 |
| Value of interest in common/collective trusts at end of year | 2015-12-31 | $5,459,466 |
| Value of interest in common/collective trusts at beginning of year | 2015-12-31 | $5,257,955 |
| Net investment gain/loss from registered investment companies (e.g. mutual funds) | 2015-12-31 | $-1,775,647 |
| Net investment gain or loss from common/collective trusts | 2015-12-31 | $101,033 |
| Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets | 2015-12-31 | No |
| Was there a failure to transmit to the plan any participant contributions | 2015-12-31 | No |
| Has the plan failed to provide any benefit when due under the plan | 2015-12-31 | No |
| Contributions received in cash from employer | 2015-12-31 | $887,940 |
| Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers | 2015-12-31 | $2,542,109 |
| Did the plan have assets held for investment | 2015-12-31 | 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 | 2015-12-31 | No |
| Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC | 2015-12-31 | No |
| Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d) | 2015-12-31 | Yes |
| Opinion of an independent qualified public accountant for this plan | 2015-12-31 | Disclaimer |
| Accountancy firm name | 2015-12-31 | ERNST AND YOUNG LLP |
| Accountancy firm EIN | 2015-12-31 | 346565596 |
| 2014 : PALOMA PARTNERS RETIREMENT PLAN 2014 401k financial data |
|---|
| Total unrealized appreciation/depreciation of assets | 2014-12-31 | $0 |
| Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2014-12-31 | $0 |
| Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2014-12-31 | $0 |
| Total income from all sources (including contributions) | 2014-12-31 | $4,202,868 |
| Total loss/gain on sale of assets | 2014-12-31 | $0 |
| Total of all expenses incurred | 2014-12-31 | $514,317 |
| Benefit payments and payments to participlants,beneficiaries,insurance carriers and others | 2014-12-31 | $510,371 |
| Total contributions o plan (from employers,participants, others, non cash contrinutions) | 2014-12-31 | $1,632,746 |
| Value of total assets at end of year | 2014-12-31 | $37,726,332 |
| Value of total assets at beginning of year | 2014-12-31 | $34,037,781 |
| Total of administrative expenses incurred including professional, contract, advisory and management fees | 2014-12-31 | $3,946 |
| Total interest from all sources | 2014-12-31 | $1,525 |
| Total dividends received (eg from common stock, registered investment company shares) | 2014-12-31 | $1,401,081 |
| Has a resolution to terminate the plan been adopted during the plan year or any prior plan year | 2014-12-31 | No |
| Total dividends received from registered investment company shares (eg mutual funds) | 2014-12-31 | $1,401,081 |
| Was this plan covered by a fidelity bond | 2014-12-31 | Yes |
| Value of fidelity bond cover | 2014-12-31 | $10,000,000 |
| If this is an individual account plan, was there a blackout period | 2014-12-31 | No |
| Were there any nonexempt tranactions with any party-in-interest | 2014-12-31 | No |
| Contributions received from participants | 2014-12-31 | $828,373 |
| Participant contributions at end of year | 2014-12-31 | $46,121 |
| Participant contributions at beginning of year | 2014-12-31 | $46,289 |
| Assets. Other investments not covered elsewhere at end of year | 2014-12-31 | $270,621 |
| Assets. Other investments not covered elsewhere at beginning of year | 2014-12-31 | $0 |
| Other income not declared elsewhere | 2014-12-31 | $381 |
| Administrative expenses (other) incurred | 2014-12-31 | $3,946 |
| Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser | 2014-12-31 | No |
| Value of net income/loss | 2014-12-31 | $3,688,551 |
| Value of net assets at end of year (total assets less liabilities) | 2014-12-31 | $37,726,332 |
| Value of net assets at beginning of year (total assets less liabilities) | 2014-12-31 | $34,037,781 |
| Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond) | 2014-12-31 | No |
| Were any loans by the plan or fixed income obligations due to the plan in default | 2014-12-31 | No |
| Were any leases to which the plan was party in default or uncollectible | 2014-12-31 | No |
| Value of interest in registered invesment companies (eg mutual funds) at end of year | 2014-12-31 | $32,151,635 |
| Value of interest in registered invesment companies (eg mutual funds) at beginning of year | 2014-12-31 | $29,222,708 |
| Interest on participant loans | 2014-12-31 | $1,525 |
| Value of interest in common/collective trusts at end of year | 2014-12-31 | $5,257,955 |
| Value of interest in common/collective trusts at beginning of year | 2014-12-31 | $4,768,784 |
| Net investment gain/loss from registered investment companies (e.g. mutual funds) | 2014-12-31 | $1,064,363 |
| Net investment gain or loss from common/collective trusts | 2014-12-31 | $102,772 |
| Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets | 2014-12-31 | No |
| Was there a failure to transmit to the plan any participant contributions | 2014-12-31 | No |
| Has the plan failed to provide any benefit when due under the plan | 2014-12-31 | No |
| Contributions received in cash from employer | 2014-12-31 | $804,373 |
| Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers | 2014-12-31 | $510,371 |
| Did the plan have assets held for investment | 2014-12-31 | 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 | 2014-12-31 | No |
| Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC | 2014-12-31 | No |
| Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d) | 2014-12-31 | Yes |
| Opinion of an independent qualified public accountant for this plan | 2014-12-31 | Disclaimer |
| Accountancy firm name | 2014-12-31 | ERNST AND YOUNG LLP |
| Accountancy firm EIN | 2014-12-31 | 346565596 |
| 2013 : PALOMA PARTNERS RETIREMENT PLAN 2013 401k financial data |
|---|
| Total unrealized appreciation/depreciation of assets | 2013-12-31 | $0 |
| Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2013-12-31 | $0 |
| Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2013-12-31 | $0 |
| Total income from all sources (including contributions) | 2013-12-31 | $6,928,007 |
| Total loss/gain on sale of assets | 2013-12-31 | $0 |
| Total of all expenses incurred | 2013-12-31 | $2,474,820 |
| Benefit payments and payments to participlants,beneficiaries,insurance carriers and others | 2013-12-31 | $2,470,812 |
| Total contributions o plan (from employers,participants, others, non cash contrinutions) | 2013-12-31 | $1,496,537 |
| Value of total assets at end of year | 2013-12-31 | $34,037,781 |
| Value of total assets at beginning of year | 2013-12-31 | $29,584,594 |
| Total of administrative expenses incurred including professional, contract, advisory and management fees | 2013-12-31 | $4,008 |
| Total interest from all sources | 2013-12-31 | $916 |
| Total dividends received (eg from common stock, registered investment company shares) | 2013-12-31 | $1,015,630 |
| Has a resolution to terminate the plan been adopted during the plan year or any prior plan year | 2013-12-31 | No |
| Total dividends received from registered investment company shares (eg mutual funds) | 2013-12-31 | $1,015,630 |
| Was this plan covered by a fidelity bond | 2013-12-31 | Yes |
| Value of fidelity bond cover | 2013-12-31 | $10,000,000 |
| If this is an individual account plan, was there a blackout period | 2013-12-31 | No |
| Were there any nonexempt tranactions with any party-in-interest | 2013-12-31 | No |
| Contributions received from participants | 2013-12-31 | $569,437 |
| Participant contributions at end of year | 2013-12-31 | $46,289 |
| Participant contributions at beginning of year | 2013-12-31 | $31,756 |
| Income. Received or receivable in cash from other sources (including rollovers) | 2013-12-31 | $423,663 |
| Other income not declared elsewhere | 2013-12-31 | $2 |
| Administrative expenses (other) incurred | 2013-12-31 | $4,008 |
| Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser | 2013-12-31 | No |
| Value of net income/loss | 2013-12-31 | $4,453,187 |
| Value of net assets at end of year (total assets less liabilities) | 2013-12-31 | $34,037,781 |
| Value of net assets at beginning of year (total assets less liabilities) | 2013-12-31 | $29,584,594 |
| Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond) | 2013-12-31 | No |
| Were any loans by the plan or fixed income obligations due to the plan in default | 2013-12-31 | No |
| Were any leases to which the plan was party in default or uncollectible | 2013-12-31 | No |
| Value of interest in registered invesment companies (eg mutual funds) at end of year | 2013-12-31 | $29,222,708 |
| Value of interest in registered invesment companies (eg mutual funds) at beginning of year | 2013-12-31 | $24,496,889 |
| Interest on participant loans | 2013-12-31 | $916 |
| Value of interest in common/collective trusts at end of year | 2013-12-31 | $4,768,784 |
| Value of interest in common/collective trusts at beginning of year | 2013-12-31 | $5,055,949 |
| Net investment gain/loss from registered investment companies (e.g. mutual funds) | 2013-12-31 | $4,322,957 |
| Net investment gain or loss from common/collective trusts | 2013-12-31 | $91,965 |
| Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets | 2013-12-31 | No |
| Was there a failure to transmit to the plan any participant contributions | 2013-12-31 | No |
| Has the plan failed to provide any benefit when due under the plan | 2013-12-31 | No |
| Contributions received in cash from employer | 2013-12-31 | $503,437 |
| Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers | 2013-12-31 | $2,470,812 |
| Did the plan have assets held for investment | 2013-12-31 | 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 | 2013-12-31 | No |
| Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC | 2013-12-31 | No |
| Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d) | 2013-12-31 | Yes |
| Opinion of an independent qualified public accountant for this plan | 2013-12-31 | Disclaimer |
| Accountancy firm name | 2013-12-31 | ROTHSTEIN KASS & COMPANY P.C. |
| Accountancy firm EIN | 2013-12-31 | 222131009 |
| 2012 : PALOMA PARTNERS RETIREMENT PLAN 2012 401k financial data |
|---|
| Total unrealized appreciation/depreciation of assets | 2012-12-31 | $0 |
| Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2012-12-31 | $0 |
| Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2012-12-31 | $0 |
| Total income from all sources (including contributions) | 2012-12-31 | $4,051,502 |
| Total loss/gain on sale of assets | 2012-12-31 | $0 |
| Total of all expenses incurred | 2012-12-31 | $1,840,613 |
| Benefit payments and payments to participlants,beneficiaries,insurance carriers and others | 2012-12-31 | $1,838,306 |
| Total contributions o plan (from employers,participants, others, non cash contrinutions) | 2012-12-31 | $814,828 |
| Value of total assets at end of year | 2012-12-31 | $29,584,594 |
| Value of total assets at beginning of year | 2012-12-31 | $27,373,705 |
| Total of administrative expenses incurred including professional, contract, advisory and management fees | 2012-12-31 | $2,307 |
| Total interest from all sources | 2012-12-31 | $699 |
| Total dividends received (eg from common stock, registered investment company shares) | 2012-12-31 | $681,838 |
| Has a resolution to terminate the plan been adopted during the plan year or any prior plan year | 2012-12-31 | No |
| Total dividends received from registered investment company shares (eg mutual funds) | 2012-12-31 | $681,838 |
| Was this plan covered by a fidelity bond | 2012-12-31 | Yes |
| Value of fidelity bond cover | 2012-12-31 | $10,000,000 |
| If this is an individual account plan, was there a blackout period | 2012-12-31 | No |
| Were there any nonexempt tranactions with any party-in-interest | 2012-12-31 | No |
| Contributions received from participants | 2012-12-31 | $596,748 |
| Participant contributions at end of year | 2012-12-31 | $31,756 |
| Participant contributions at beginning of year | 2012-12-31 | $12,205 |
| Income. Received or receivable in cash from other sources (including rollovers) | 2012-12-31 | $6,953 |
| Administrative expenses (other) incurred | 2012-12-31 | $2,307 |
| Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser | 2012-12-31 | No |
| Value of net income/loss | 2012-12-31 | $2,210,889 |
| Value of net assets at end of year (total assets less liabilities) | 2012-12-31 | $29,584,594 |
| Value of net assets at beginning of year (total assets less liabilities) | 2012-12-31 | $27,373,705 |
| Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond) | 2012-12-31 | No |
| Were any loans by the plan or fixed income obligations due to the plan in default | 2012-12-31 | No |
| Were any leases to which the plan was party in default or uncollectible | 2012-12-31 | No |
| Value of interest in registered invesment companies (eg mutual funds) at end of year | 2012-12-31 | $24,496,889 |
| Value of interest in registered invesment companies (eg mutual funds) at beginning of year | 2012-12-31 | $21,586,567 |
| Interest on participant loans | 2012-12-31 | $699 |
| Value of interest in common/collective trusts at end of year | 2012-12-31 | $5,055,949 |
| Value of interest in common/collective trusts at beginning of year | 2012-12-31 | $5,774,933 |
| Net investment gain/loss from registered investment companies (e.g. mutual funds) | 2012-12-31 | $2,423,157 |
| Net investment gain or loss from common/collective trusts | 2012-12-31 | $130,980 |
| Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets | 2012-12-31 | No |
| Was there a failure to transmit to the plan any participant contributions | 2012-12-31 | No |
| Has the plan failed to provide any benefit when due under the plan | 2012-12-31 | No |
| Contributions received in cash from employer | 2012-12-31 | $211,127 |
| Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers | 2012-12-31 | $1,838,306 |
| Did the plan have assets held for investment | 2012-12-31 | 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 | 2012-12-31 | No |
| Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC | 2012-12-31 | No |
| Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d) | 2012-12-31 | Yes |
| Opinion of an independent qualified public accountant for this plan | 2012-12-31 | Disclaimer |
| Accountancy firm name | 2012-12-31 | ROTHSTEIN KASS & COMPANY P.C. |
| Accountancy firm EIN | 2012-12-31 | 222131009 |
| 2011 : PALOMA PARTNERS RETIREMENT PLAN 2011 401k financial data |
|---|
| Total unrealized appreciation/depreciation of assets | 2011-12-31 | $0 |
| Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2011-12-31 | $0 |
| Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2011-12-31 | $0 |
| Total income from all sources (including contributions) | 2011-12-31 | $871,600 |
| Total loss/gain on sale of assets | 2011-12-31 | $0 |
| Total of all expenses incurred | 2011-12-31 | $2,017,184 |
| Benefit payments and payments to participlants,beneficiaries,insurance carriers and others | 2011-12-31 | $2,014,447 |
| Total contributions o plan (from employers,participants, others, non cash contrinutions) | 2011-12-31 | $1,282,242 |
| Value of total assets at end of year | 2011-12-31 | $27,373,705 |
| Value of total assets at beginning of year | 2011-12-31 | $28,519,289 |
| Total of administrative expenses incurred including professional, contract, advisory and management fees | 2011-12-31 | $2,737 |
| Total interest from all sources | 2011-12-31 | $507 |
| Total dividends received (eg from common stock, registered investment company shares) | 2011-12-31 | $898,444 |
| Has a resolution to terminate the plan been adopted during the plan year or any prior plan year | 2011-12-31 | No |
| Total dividends received from registered investment company shares (eg mutual funds) | 2011-12-31 | $898,444 |
| Was this plan covered by a fidelity bond | 2011-12-31 | Yes |
| Value of fidelity bond cover | 2011-12-31 | $10,000,000 |
| If this is an individual account plan, was there a blackout period | 2011-12-31 | No |
| Were there any nonexempt tranactions with any party-in-interest | 2011-12-31 | No |
| Contributions received from participants | 2011-12-31 | $651,621 |
| Participant contributions at end of year | 2011-12-31 | $12,205 |
| Participant contributions at beginning of year | 2011-12-31 | $12,584 |
| Administrative expenses (other) incurred | 2011-12-31 | $2,737 |
| Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser | 2011-12-31 | No |
| Value of net income/loss | 2011-12-31 | $-1,145,584 |
| Value of net assets at end of year (total assets less liabilities) | 2011-12-31 | $27,373,705 |
| Value of net assets at beginning of year (total assets less liabilities) | 2011-12-31 | $28,519,289 |
| Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond) | 2011-12-31 | No |
| Were any loans by the plan or fixed income obligations due to the plan in default | 2011-12-31 | No |
| Were any leases to which the plan was party in default or uncollectible | 2011-12-31 | No |
| Value of interest in registered invesment companies (eg mutual funds) at end of year | 2011-12-31 | $21,586,567 |
| Value of interest in registered invesment companies (eg mutual funds) at beginning of year | 2011-12-31 | $23,765,256 |
| Interest on participant loans | 2011-12-31 | $507 |
| Value of interest in common/collective trusts at end of year | 2011-12-31 | $5,774,933 |
| Value of interest in common/collective trusts at beginning of year | 2011-12-31 | $4,741,449 |
| Net investment gain/loss from registered investment companies (e.g. mutual funds) | 2011-12-31 | $-2,174,504 |
| Net investment gain or loss from common/collective trusts | 2011-12-31 | $864,911 |
| Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets | 2011-12-31 | No |
| Was there a failure to transmit to the plan any participant contributions | 2011-12-31 | No |
| Has the plan failed to provide any benefit when due under the plan | 2011-12-31 | No |
| Contributions received in cash from employer | 2011-12-31 | $630,621 |
| Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers | 2011-12-31 | $2,014,447 |
| Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-3 | 2011-12-31 | No |
| Did the plan have assets held for investment | 2011-12-31 | 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 | 2011-12-31 | No |
| Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC | 2011-12-31 | No |
| Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d) | 2011-12-31 | Yes |
| Opinion of an independent qualified public accountant for this plan | 2011-12-31 | Disclaimer |
| Accountancy firm name | 2011-12-31 | ROTHSTEIN KASS & COMPANY P.C. |
| Accountancy firm EIN | 2011-12-31 | 222131009 |
| 2010 : PALOMA PARTNERS RETIREMENT PLAN 2010 401k financial data |
|---|
| Total unrealized appreciation/depreciation of assets | 2010-12-31 | $0 |
| Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2010-12-31 | $0 |
| Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2010-12-31 | $0 |
| Total income from all sources (including contributions) | 2010-12-31 | $4,058,921 |
| Total loss/gain on sale of assets | 2010-12-31 | $0 |
| Total of all expenses incurred | 2010-12-31 | $1,141,754 |
| Benefit payments and payments to participlants,beneficiaries,insurance carriers and others | 2010-12-31 | $1,139,523 |
| Total contributions o plan (from employers,participants, others, non cash contrinutions) | 2010-12-31 | $1,191,416 |
| Value of total assets at end of year | 2010-12-31 | $28,519,289 |
| Value of total assets at beginning of year | 2010-12-31 | $25,602,122 |
| Total of administrative expenses incurred including professional, contract, advisory and management fees | 2010-12-31 | $2,231 |
| Total interest from all sources | 2010-12-31 | $383 |
| Total dividends received (eg from common stock, registered investment company shares) | 2010-12-31 | $505,389 |
| Has a resolution to terminate the plan been adopted during the plan year or any prior plan year | 2010-12-31 | No |
| Total dividends received from registered investment company shares (eg mutual funds) | 2010-12-31 | $505,389 |
| Was this plan covered by a fidelity bond | 2010-12-31 | Yes |
| Value of fidelity bond cover | 2010-12-31 | $10,000,000 |
| If this is an individual account plan, was there a blackout period | 2010-12-31 | No |
| Were there any nonexempt tranactions with any party-in-interest | 2010-12-31 | No |
| Contributions received from participants | 2010-12-31 | $758,708 |
| Participant contributions at end of year | 2010-12-31 | $12,584 |
| Participant contributions at beginning of year | 2010-12-31 | $2,589 |
| Other income not declared elsewhere | 2010-12-31 | $2,184 |
| Administrative expenses (other) incurred | 2010-12-31 | $2,231 |
| Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser | 2010-12-31 | No |
| Value of net income/loss | 2010-12-31 | $2,917,167 |
| Value of net assets at end of year (total assets less liabilities) | 2010-12-31 | $28,519,289 |
| Value of net assets at beginning of year (total assets less liabilities) | 2010-12-31 | $25,602,122 |
| Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond) | 2010-12-31 | No |
| Were any loans by the plan or fixed income obligations due to the plan in default | 2010-12-31 | No |
| Were any leases to which the plan was party in default or uncollectible | 2010-12-31 | No |
| Value of interest in registered invesment companies (eg mutual funds) at end of year | 2010-12-31 | $23,765,256 |
| Value of interest in registered invesment companies (eg mutual funds) at beginning of year | 2010-12-31 | $20,792,167 |
| Interest on participant loans | 2010-12-31 | $383 |
| Value of interest in common/collective trusts at end of year | 2010-12-31 | $4,741,449 |
| Value of interest in common/collective trusts at beginning of year | 2010-12-31 | $4,807,366 |
| Net investment gain/loss from registered investment companies (e.g. mutual funds) | 2010-12-31 | $2,324,646 |
| Net investment gain or loss from common/collective trusts | 2010-12-31 | $34,903 |
| Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets | 2010-12-31 | No |
| Was there a failure to transmit to the plan any participant contributions | 2010-12-31 | No |
| Has the plan failed to provide any benefit when due under the plan | 2010-12-31 | No |
| Contributions received in cash from employer | 2010-12-31 | $432,708 |
| Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers | 2010-12-31 | $1,139,523 |
| Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-3 | 2010-12-31 | No |
| Did the plan have assets held for investment | 2010-12-31 | 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 | 2010-12-31 | No |
| Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC | 2010-12-31 | No |
| Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d) | 2010-12-31 | Yes |
| Opinion of an independent qualified public accountant for this plan | 2010-12-31 | Disclaimer |
| Accountancy firm name | 2010-12-31 | ROTHSTEIN KASS & COMPANY P.C. |
| Accountancy firm EIN | 2010-12-31 | 222131009 |
