401k Plan data: RAFFERTY RETIREMENT PLAN plan

RAFFERTY RETIREMENT PLAN 401k Plan overview

Plan Name	RAFFERTY RETIREMENT PLAN
Plan identification number	001

RAFFERTY RETIREMENT PLAN Benefits

401k Plan Type

Defined Contribution Pension

Plan Features/Benefits

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

401k Sponsoring company profile

RAFFERTY HOLDINGS, LLC has sponsored the creation of one or more 401k plans.

Company Name: RAFFERTY HOLDINGS, LLC

Employer identification number (EIN): 134043855

NAIC Classification: 523120
NAIC Description: Securities Brokerage

Additional information about RAFFERTY HOLDINGS, LLC

Jurisdiction of Incorporation: New York Department of State

Incorporation Date: 1998-11-19

Company Identification Number: 2317582

Legal Registered Office Address: 1301 AVENUE OF THE AMERICAS
28TH FLOOR
NEW YORK
United States of America (USA)
10019

More information about RAFFERTY HOLDINGS, LLC

Form 5500 Filing Information

Submission information for form 5500 for 401k plan RAFFERTY RETIREMENT PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2022-01-01 SHARI JAMES 2023-07-14
001 2021-01-01 SHARI JAMES 2022-07-19
001 2020-01-01 SHARI JAMES 2021-07-26
001 2019-01-01 MAGGIE REILLY 2020-10-05
001 2018-01-01 MAGGIE REILLY 2019-09-24
001 2017-01-01 MAGGIE REILLY
001 2016-01-01 MAGGIE REILLY
001 2015-01-01 MAGGIE REILLY
001 2014-01-01 MAGGIE REILLY
001 2013-01-01 MAGGIE REILLY
001 2012-01-01 MAGGIE REILLY
001 2011-01-01 MAGGIE REILLY
001 2009-01-01 MAGGIE REILLY
001 2009-01-01 MAGGIE REILLY

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed
001	2022-01-01	SHARI JAMES	2023-07-14
001	2021-01-01	SHARI JAMES	2022-07-19
001	2020-01-01	SHARI JAMES	2021-07-26
001	2019-01-01	MAGGIE REILLY	2020-10-05
001	2018-01-01	MAGGIE REILLY	2019-09-24
001	2017-01-01	MAGGIE REILLY
001	2016-01-01	MAGGIE REILLY
001	2015-01-01	MAGGIE REILLY
001	2014-01-01	MAGGIE REILLY
001	2013-01-01	MAGGIE REILLY
001	2012-01-01	MAGGIE REILLY
001	2011-01-01	MAGGIE REILLY
001	2009-01-01	MAGGIE REILLY
001	2009-01-01	MAGGIE REILLY

Plan Statistics for RAFFERTY RETIREMENT PLAN

401k plan membership statisitcs for RAFFERTY RETIREMENT PLAN

Measure Date Value
2017: RAFFERTY RETIREMENT PLAN 2017 401k membership
Total participants, beginning-of-year 2017-01-01 138
Total number of active participants reported on line 7a of the Form 5500 2017-01-01 58
Number of retired or separated participants receiving benefits 2017-01-01 0
Number of other retired or separated participants entitled to future benefits 2017-01-01 34
Total of all active and inactive participants 2017-01-01 92
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2017-01-01 1
Total participants 2017-01-01 93
Number of participants with account balances 2017-01-01 77
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2017-01-01 0
2016: RAFFERTY RETIREMENT PLAN 2016 401k membership
Total participants, beginning-of-year 2016-01-01 144
Total number of active participants reported on line 7a of the Form 5500 2016-01-01 74
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 64
Total of all active and inactive participants 2016-01-01 138
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2016-01-01 0
Total participants 2016-01-01 138
Number of participants with account balances 2016-01-01 112
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2016-01-01 0
2015: RAFFERTY RETIREMENT PLAN 2015 401k membership
Total participants, beginning-of-year 2015-01-01 151
Total number of active participants reported on line 7a of the Form 5500 2015-01-01 79
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 65
Total of all active and inactive participants 2015-01-01 144
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2015-01-01 0
Total participants 2015-01-01 144
Number of participants with account balances 2015-01-01 114
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2015-01-01 0
2014: RAFFERTY RETIREMENT PLAN 2014 401k membership
Total participants, beginning-of-year 2014-01-01 154
Total number of active participants reported on line 7a of the Form 5500 2014-01-01 92
Number of retired or separated participants receiving benefits 2014-01-01 59
Number of other retired or separated participants entitled to future benefits 2014-01-01 0
Total of all active and inactive participants 2014-01-01 151
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2014-01-01 0
Total participants 2014-01-01 151
Number of participants with account balances 2014-01-01 113
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2014-01-01 0
2013: RAFFERTY RETIREMENT PLAN 2013 401k membership
Total participants, beginning-of-year 2013-01-01 162
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 60
Total of all active and inactive participants 2013-01-01 154
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2013-01-01 0
Total participants 2013-01-01 154
Number of participants with account balances 2013-01-01 107
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2013-01-01 0
2012: RAFFERTY RETIREMENT PLAN 2012 401k membership
Total participants, beginning-of-year 2012-01-01 171
Total number of active participants reported on line 7a of the Form 5500 2012-01-01 85
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 77
Total of all active and inactive participants 2012-01-01 162
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2012-01-01 0
Total participants 2012-01-01 162
Number of participants with account balances 2012-01-01 122
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2012-01-01 0
2011: RAFFERTY RETIREMENT PLAN 2011 401k membership
Total participants, beginning-of-year 2011-01-01 157
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 98
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 49
Total of all active and inactive participants 2011-01-01 147
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-01-01 0
Total participants 2011-01-01 147
Number of participants with account balances 2011-01-01 141
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-01-01 0
2009: RAFFERTY RETIREMENT PLAN 2009 401k membership
Total participants, beginning-of-year 2009-01-01 150
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 153
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 27
Total of all active and inactive participants 2009-01-01 180
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-01-01 0
Total participants 2009-01-01 180
Number of participants with account balances 2009-01-01 145
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-01-01 0

Measure	Date	Value
2017: RAFFERTY RETIREMENT PLAN 2017 401k membership
Total participants, beginning-of-year	2017-01-01	138
Total number of active participants reported on line 7a of the Form 5500	2017-01-01	58
Number of retired or separated participants receiving benefits	2017-01-01	0
Number of other retired or separated participants entitled to future benefits	2017-01-01	34
Total of all active and inactive participants	2017-01-01	92
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2017-01-01	1
Total participants	2017-01-01	93
Number of participants with account balances	2017-01-01	77
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2017-01-01	0
2016: RAFFERTY RETIREMENT PLAN 2016 401k membership
Total participants, beginning-of-year	2016-01-01	144
Total number of active participants reported on line 7a of the Form 5500	2016-01-01	74
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	64
Total of all active and inactive participants	2016-01-01	138
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2016-01-01	0
Total participants	2016-01-01	138
Number of participants with account balances	2016-01-01	112
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2016-01-01	0
2015: RAFFERTY RETIREMENT PLAN 2015 401k membership
Total participants, beginning-of-year	2015-01-01	151
Total number of active participants reported on line 7a of the Form 5500	2015-01-01	79
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	65
Total of all active and inactive participants	2015-01-01	144
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2015-01-01	0
Total participants	2015-01-01	144
Number of participants with account balances	2015-01-01	114
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2015-01-01	0
2014: RAFFERTY RETIREMENT PLAN 2014 401k membership
Total participants, beginning-of-year	2014-01-01	154
Total number of active participants reported on line 7a of the Form 5500	2014-01-01	92
Number of retired or separated participants receiving benefits	2014-01-01	59
Number of other retired or separated participants entitled to future benefits	2014-01-01	0
Total of all active and inactive participants	2014-01-01	151
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2014-01-01	0
Total participants	2014-01-01	151
Number of participants with account balances	2014-01-01	113
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2014-01-01	0
2013: RAFFERTY RETIREMENT PLAN 2013 401k membership
Total participants, beginning-of-year	2013-01-01	162
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	60
Total of all active and inactive participants	2013-01-01	154
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2013-01-01	0
Total participants	2013-01-01	154
Number of participants with account balances	2013-01-01	107
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2013-01-01	0
2012: RAFFERTY RETIREMENT PLAN 2012 401k membership
Total participants, beginning-of-year	2012-01-01	171
Total number of active participants reported on line 7a of the Form 5500	2012-01-01	85
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	77
Total of all active and inactive participants	2012-01-01	162
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2012-01-01	0
Total participants	2012-01-01	162
Number of participants with account balances	2012-01-01	122
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2012-01-01	0
2011: RAFFERTY RETIREMENT PLAN 2011 401k membership
Total participants, beginning-of-year	2011-01-01	157
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	98
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	49
Total of all active and inactive participants	2011-01-01	147
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-01-01	0
Total participants	2011-01-01	147
Number of participants with account balances	2011-01-01	141
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-01-01	0
2009: RAFFERTY RETIREMENT PLAN 2009 401k membership
Total participants, beginning-of-year	2009-01-01	150
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	153
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	27
Total of all active and inactive participants	2009-01-01	180
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-01-01	0
Total participants	2009-01-01	180
Number of participants with account balances	2009-01-01	145
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-01-01	0

Financial Data on RAFFERTY RETIREMENT PLAN

Measure	Date	Value
2017 : RAFFERTY 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	$3,282,378
Total loss/gain on sale of assets	2017-12-31	$0
Total of all expenses incurred	2017-12-31	$1,606,771
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2017-12-31	$1,582,692
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2017-12-31	$1,507,017
Value of total assets at end of year	2017-12-31	$15,359,693
Value of total assets at beginning of year	2017-12-31	$13,684,086
Total of administrative expenses incurred including professional, contract, advisory and management fees	2017-12-31	$24,079
Total interest from all sources	2017-12-31	$2,400
Total dividends received (eg from common stock, registered investment company shares)	2017-12-31	$476,812
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	$476,812
Was this plan covered by a fidelity bond	2017-12-31	Yes
Value of fidelity bond cover	2017-12-31	$500,000
If this is an individual account plan, was there a blackout period	2017-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2017-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2017-12-31	No
Contributions received from participants	2017-12-31	$495,327
Participant contributions at end of year	2017-12-31	$57,652
Participant contributions at beginning of year	2017-12-31	$38,778
Assets. Other investments not covered elsewhere at end of year	2017-12-31	$0
Assets. Other investments not covered elsewhere at beginning of year	2017-12-31	$250,281
Income. Received or receivable in cash from other sources (including rollovers)	2017-12-31	$43,836
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	$1,675,607
Value of net assets at end of year (total assets less liabilities)	2017-12-31	$15,359,693
Value of net assets at beginning of year (total assets less liabilities)	2017-12-31	$13,684,086
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
Investment advisory and management fees	2017-12-31	$24,079
Value of interest in registered invesment companies (eg mutual funds) at end of year	2017-12-31	$10,678,148
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2017-12-31	$10,553,255
Interest on participant loans	2017-12-31	$2,400
Value of interest in common/collective trusts at end of year	2017-12-31	$4,201,846
Value of interest in common/collective trusts at beginning of year	2017-12-31	$2,806,510
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2017-12-31	$422,047
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2017-12-31	$35,262
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2017-12-31	$35,262
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2017-12-31	$726,232
Net investment gain or loss from common/collective trusts	2017-12-31	$569,917
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	$967,854
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2017-12-31	$1,582,692
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	No
Opinion of an independent qualified public accountant for this plan	2017-12-31	Unqualified
Accountancy firm name	2017-12-31	BDG-CPA'S
Accountancy firm EIN	2017-12-31	222625944
2016 : RAFFERTY 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	$2,499,739
Total loss/gain on sale of assets	2016-12-31	$0
Total of all expenses incurred	2016-12-31	$783,088
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2016-12-31	$772,697
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2016-12-31	$1,492,448
Value of total assets at end of year	2016-12-31	$13,684,086
Value of total assets at beginning of year	2016-12-31	$11,967,435
Total of administrative expenses incurred including professional, contract, advisory and management fees	2016-12-31	$10,391
Total interest from all sources	2016-12-31	$4,400
Total dividends received (eg from common stock, registered investment company shares)	2016-12-31	$360,326
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	$360,326
Was this plan covered by a fidelity bond	2016-12-31	Yes
Value of fidelity bond cover	2016-12-31	$500,000
If this is an individual account plan, was there a blackout period	2016-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2016-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2016-12-31	No
Contributions received from participants	2016-12-31	$505,486
Participant contributions at end of year	2016-12-31	$38,778
Participant contributions at beginning of year	2016-12-31	$66,930
Participant contributions at end of year	2016-12-31	$0
Participant contributions at beginning of year	2016-12-31	$0
Assets. Other investments not covered elsewhere at end of year	2016-12-31	$250,281
Assets. Other investments not covered elsewhere at beginning of year	2016-12-31	$357,432
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	$1,716,651
Value of net assets at end of year (total assets less liabilities)	2016-12-31	$13,684,086
Value of net assets at beginning of year (total assets less liabilities)	2016-12-31	$11,967,435
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
Investment advisory and management fees	2016-12-31	$10,391
Value of interest in registered invesment companies (eg mutual funds) at end of year	2016-12-31	$10,553,255
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2016-12-31	$10,928,484
Interest on participant loans	2016-12-31	$4,400
Value of interest in common/collective trusts at end of year	2016-12-31	$2,806,510
Value of interest in common/collective trusts at beginning of year	2016-12-31	$579,282
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2016-12-31	$35,262
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2016-12-31	$35,307
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2016-12-31	$35,307
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2016-12-31	$642,565
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	$986,962
Employer contributions (assets) at end of year	2016-12-31	$0
Employer contributions (assets) at beginning of year	2016-12-31	$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2016-12-31	$772,697
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	No
Opinion of an independent qualified public accountant for this plan	2016-12-31	Unqualified
Accountancy firm name	2016-12-31	BDG-CPA'S
Accountancy firm EIN	2016-12-31	222625944
2015 : RAFFERTY 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	$1,423,303
Total loss/gain on sale of assets	2015-12-31	$0
Total of all expenses incurred	2015-12-31	$620,616
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2015-12-31	$596,027
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2015-12-31	$1,484,230
Value of total assets at end of year	2015-12-31	$11,967,435
Value of total assets at beginning of year	2015-12-31	$11,164,748
Total of administrative expenses incurred including professional, contract, advisory and management fees	2015-12-31	$24,589
Total interest from all sources	2015-12-31	$3,796
Total dividends received (eg from common stock, registered investment company shares)	2015-12-31	$505,192
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	$505,192
Was this plan covered by a fidelity bond	2015-12-31	Yes
Value of fidelity bond cover	2015-12-31	$500,000
If this is an individual account plan, was there a blackout period	2015-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2015-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2015-12-31	No
Contributions received from participants	2015-12-31	$507,354
Participant contributions at end of year	2015-12-31	$66,930
Participant contributions at beginning of year	2015-12-31	$91,870
Participant contributions at end of year	2015-12-31	$0
Participant contributions at beginning of year	2015-12-31	$0
Assets. Other investments not covered elsewhere at end of year	2015-12-31	$357,432
Assets. Other investments not covered elsewhere at beginning of year	2015-12-31	$413,042
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	$802,687
Value of net assets at end of year (total assets less liabilities)	2015-12-31	$11,967,435
Value of net assets at beginning of year (total assets less liabilities)	2015-12-31	$11,164,748
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
Investment advisory and management fees	2015-12-31	$24,589
Value of interest in registered invesment companies (eg mutual funds) at end of year	2015-12-31	$10,928,484
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2015-12-31	$9,976,412
Interest on participant loans	2015-12-31	$3,796
Value of interest in common/collective trusts at end of year	2015-12-31	$579,282
Value of interest in common/collective trusts at beginning of year	2015-12-31	$380,524
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2015-12-31	$35,307
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2015-12-31	$302,900
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2015-12-31	$302,900
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2015-12-31	$-574,466
Net investment gain or loss from common/collective trusts	2015-12-31	$4,551
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	$976,876
Employer contributions (assets) at end of year	2015-12-31	$0
Employer contributions (assets) at beginning of year	2015-12-31	$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2015-12-31	$596,027
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	No
Opinion of an independent qualified public accountant for this plan	2015-12-31	Unqualified
Accountancy firm name	2015-12-31	BECHER, DELLATOREE, GITTO & CO. CPA
Accountancy firm EIN	2015-12-31	222625944
2014 : RAFFERTY 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	$1,952,988
Total loss/gain on sale of assets	2014-12-31	$0
Total of all expenses incurred	2014-12-31	$4,839,469
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2014-12-31	$4,827,188
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2014-12-31	$1,621,088
Value of total assets at end of year	2014-12-31	$11,164,748
Value of total assets at beginning of year	2014-12-31	$14,051,229
Total of administrative expenses incurred including professional, contract, advisory and management fees	2014-12-31	$12,281
Total interest from all sources	2014-12-31	$4,261
Total dividends received (eg from common stock, registered investment company shares)	2014-12-31	$348,373
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	$348,373
Was this plan covered by a fidelity bond	2014-12-31	Yes
Value of fidelity bond cover	2014-12-31	$500,000
If this is an individual account plan, was there a blackout period	2014-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2014-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2014-12-31	No
Contributions received from participants	2014-12-31	$438,061
Participant contributions at end of year	2014-12-31	$91,870
Participant contributions at beginning of year	2014-12-31	$115,079
Participant contributions at end of year	2014-12-31	$0
Participant contributions at beginning of year	2014-12-31	$13,808
Assets. Other investments not covered elsewhere at end of year	2014-12-31	$413,042
Assets. Other investments not covered elsewhere at beginning of year	2014-12-31	$9,758,188
Income. Received or receivable in cash from other sources (including rollovers)	2014-12-31	$323,859
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	$-2,886,481
Value of net assets at end of year (total assets less liabilities)	2014-12-31	$11,164,748
Value of net assets at beginning of year (total assets less liabilities)	2014-12-31	$14,051,229
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
Investment advisory and management fees	2014-12-31	$12,281
Value of interest in registered invesment companies (eg mutual funds) at end of year	2014-12-31	$9,976,412
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2014-12-31	$3,655,132
Interest on participant loans	2014-12-31	$4,261
Value of interest in common/collective trusts at end of year	2014-12-31	$380,524
Value of interest in common/collective trusts at beginning of year	2014-12-31	$411,518
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2014-12-31	$302,900
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2014-12-31	$69,888
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2014-12-31	$69,888
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2014-12-31	$-24,948
Net investment gain or loss from common/collective trusts	2014-12-31	$4,214
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	$859,168
Employer contributions (assets) at end of year	2014-12-31	$0
Employer contributions (assets) at beginning of year	2014-12-31	$27,616
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2014-12-31	$4,827,188
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	No
Opinion of an independent qualified public accountant for this plan	2014-12-31	Unqualified
Accountancy firm name	2014-12-31	BECHER, DELLATOREE, GITTO & CO. CPA
Accountancy firm EIN	2014-12-31	222625944
2013 : RAFFERTY 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	$1,693,251
Total loss/gain on sale of assets	2013-12-31	$0
Total of all expenses incurred	2013-12-31	$1,273,835
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2013-12-31	$1,259,775
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2013-12-31	$1,372,830
Value of total assets at end of year	2013-12-31	$14,051,229
Value of total assets at beginning of year	2013-12-31	$13,631,813
Total of administrative expenses incurred including professional, contract, advisory and management fees	2013-12-31	$14,060
Total interest from all sources	2013-12-31	$4,019
Total dividends received (eg from common stock, registered investment company shares)	2013-12-31	$95,071
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	$95,071
Was this plan covered by a fidelity bond	2013-12-31	Yes
Value of fidelity bond cover	2013-12-31	$1,000,000
If this is an individual account plan, was there a blackout period	2013-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2013-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2013-12-31	No
Contributions received from participants	2013-12-31	$321,726
Participant contributions at end of year	2013-12-31	$115,079
Participant contributions at beginning of year	2013-12-31	$60,352
Participant contributions at end of year	2013-12-31	$13,808
Participant contributions at beginning of year	2013-12-31	$0
Assets. Other investments not covered elsewhere at end of year	2013-12-31	$9,758,188
Assets. Other investments not covered elsewhere at beginning of year	2013-12-31	$9,835,662
Income. Received or receivable in cash from other sources (including rollovers)	2013-12-31	$437,886
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	$419,416
Value of net assets at end of year (total assets less liabilities)	2013-12-31	$14,051,229
Value of net assets at beginning of year (total assets less liabilities)	2013-12-31	$13,631,813
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
Investment advisory and management fees	2013-12-31	$14,060
Value of interest in registered invesment companies (eg mutual funds) at end of year	2013-12-31	$3,655,132
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2013-12-31	$3,104,218
Income. Interest from loans (other than to participants)	2013-12-31	$4,019
Value of interest in common/collective trusts at end of year	2013-12-31	$411,518
Value of interest in common/collective trusts at beginning of year	2013-12-31	$511,970
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2013-12-31	$69,888
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2013-12-31	$119,611
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2013-12-31	$119,611
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2013-12-31	$220,122
Net investment gain or loss from common/collective trusts	2013-12-31	$1,209
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	$613,218
Employer contributions (assets) at end of year	2013-12-31	$27,616
Employer contributions (assets) at beginning of year	2013-12-31	$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2013-12-31	$1,259,775
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	No
Opinion of an independent qualified public accountant for this plan	2013-12-31	Unqualified
Accountancy firm name	2013-12-31	BECHER, DELLATOREE, GITTO & CO. CPA
Accountancy firm EIN	2013-12-31	222625944
2012 : RAFFERTY 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	$2,714,730
Total loss/gain on sale of assets	2012-12-31	$0
Total of all expenses incurred	2012-12-31	$7,320,171
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2012-12-31	$7,310,368
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2012-12-31	$876,376
Value of total assets at end of year	2012-12-31	$13,631,813
Value of total assets at beginning of year	2012-12-31	$18,237,254
Total of administrative expenses incurred including professional, contract, advisory and management fees	2012-12-31	$9,803
Total interest from all sources	2012-12-31	$3,017
Total dividends received (eg from common stock, registered investment company shares)	2012-12-31	$87,614
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	$87,614
Was this plan covered by a fidelity bond	2012-12-31	Yes
Value of fidelity bond cover	2012-12-31	$1,000,000
If this is an individual account plan, was there a blackout period	2012-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2012-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2012-12-31	No
Contributions received from participants	2012-12-31	$260,523
Participant contributions at end of year	2012-12-31	$60,352
Participant contributions at beginning of year	2012-12-31	$77,352
Participant contributions at beginning of year	2012-12-31	$18,880
Assets. Other investments not covered elsewhere at end of year	2012-12-31	$9,835,662
Assets. Other investments not covered elsewhere at beginning of year	2012-12-31	$14,394,617
Income. Received or receivable in cash from other sources (including rollovers)	2012-12-31	$105,807
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2012-12-31	$278
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	$-4,605,441
Value of net assets at end of year (total assets less liabilities)	2012-12-31	$13,631,813
Value of net assets at beginning of year (total assets less liabilities)	2012-12-31	$18,237,254
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
Investment advisory and management fees	2012-12-31	$9,803
Value of interest in registered invesment companies (eg mutual funds) at end of year	2012-12-31	$3,104,218
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2012-12-31	$3,021,736
Interest on participant loans	2012-12-31	$3,012
Value of interest in common/collective trusts at end of year	2012-12-31	$511,970
Value of interest in common/collective trusts at beginning of year	2012-12-31	$541,145
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2012-12-31	$119,611
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2012-12-31	$145,486
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2012-12-31	$145,486
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2012-12-31	$5
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2012-12-31	$1,738,145
Net investment gain or loss from common/collective trusts	2012-12-31	$9,578
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	$510,046
Employer contributions (assets) at beginning of year	2012-12-31	$37,760
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2012-12-31	$7,310,368
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	No
Opinion of an independent qualified public accountant for this plan	2012-12-31	Unqualified
Accountancy firm name	2012-12-31	BECHER, DELLATOREE, GITTO & CO. CPA
Accountancy firm EIN	2012-12-31	222625944
2011 : RAFFERTY 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	$2,982,225
Total loss/gain on sale of assets	2011-12-31	$0
Total of all expenses incurred	2011-12-31	$1,881,432
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2011-12-31	$1,866,362
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2011-12-31	$2,211,425
Value of total assets at end of year	2011-12-31	$18,237,254
Value of total assets at beginning of year	2011-12-31	$17,136,461
Total of administrative expenses incurred including professional, contract, advisory and management fees	2011-12-31	$15,070
Total interest from all sources	2011-12-31	$756
Total dividends received (eg from common stock, registered investment company shares)	2011-12-31	$72,588
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	$72,588
Was this plan covered by a fidelity bond	2011-12-31	Yes
Value of fidelity bond cover	2011-12-31	$1,000,000
If this is an individual account plan, was there a blackout period	2011-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2011-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2011-12-31	No
Contributions received from participants	2011-12-31	$752,292
Participant contributions at end of year	2011-12-31	$77,352
Participant contributions at beginning of year	2011-12-31	$61,478
Participant contributions at end of year	2011-12-31	$18,880
Assets. Other investments not covered elsewhere at end of year	2011-12-31	$14,394,617
Assets. Other investments not covered elsewhere at beginning of year	2011-12-31	$12,378,142
Value of other receiveables (less allowance for doubtful accounts) at end of year	2011-12-31	$278
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	$1,100,793
Value of net assets at end of year (total assets less liabilities)	2011-12-31	$18,237,254
Value of net assets at beginning of year (total assets less liabilities)	2011-12-31	$17,136,461
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
Investment advisory and management fees	2011-12-31	$15,070
Value of interest in registered invesment companies (eg mutual funds) at end of year	2011-12-31	$3,021,736
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2011-12-31	$3,645,183
Interest on participant loans	2011-12-31	$756
Value of interest in common/collective trusts at end of year	2011-12-31	$541,145
Value of interest in common/collective trusts at beginning of year	2011-12-31	$964,518
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2011-12-31	$145,486
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2011-12-31	$87,140
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2011-12-31	$87,140
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2011-12-31	$697,456
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	$1,459,133
Employer contributions (assets) at end of year	2011-12-31	$37,760
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2011-12-31	$1,866,362
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	No
Opinion of an independent qualified public accountant for this plan	2011-12-31	Unqualified
Accountancy firm name	2011-12-31	BECHER, DELLATORRE, GITTO & CO, CPA
Accountancy firm EIN	2011-12-31	222625944
2010 : RAFFERTY RETIREMENT PLAN 2010 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets	2010-12-31	$815,522
Total unrealized appreciation/depreciation of assets	2010-12-31	$815,522
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	$3,379,202
Total loss/gain on sale of assets	2010-12-31	$0
Total of all expenses incurred	2010-12-31	$152,347
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2010-12-31	$140,604
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2010-12-31	$2,118,326
Value of total assets at end of year	2010-12-31	$17,136,461
Value of total assets at beginning of year	2010-12-31	$13,909,606
Total of administrative expenses incurred including professional, contract, advisory and management fees	2010-12-31	$11,743
Total interest from all sources	2010-12-31	$2,286
Total dividends received (eg from common stock, registered investment company shares)	2010-12-31	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2010-12-31	No
Was this plan covered by a fidelity bond	2010-12-31	Yes
Value of fidelity bond cover	2010-12-31	$1,000,000
If this is an individual account plan, was there a blackout period	2010-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2010-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2010-12-31	No
Contributions received from participants	2010-12-31	$715,531
Participant contributions at end of year	2010-12-31	$61,478
Participant contributions at beginning of year	2010-12-31	$47,881
Assets. Other investments not covered elsewhere at end of year	2010-12-31	$12,378,142
Assets. Other investments not covered elsewhere at beginning of year	2010-12-31	$10,362,799
Administrative expenses (other) incurred	2010-12-31	$11,743
Total non interest bearing cash at beginning of year	2010-12-31	$524
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	$3,226,855
Value of net assets at end of year (total assets less liabilities)	2010-12-31	$17,136,461
Value of net assets at beginning of year (total assets less liabilities)	2010-12-31	$13,909,606
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	$3,645,183
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2010-12-31	$2,658,838
Interest on participant loans	2010-12-31	$2,286
Value of interest in common/collective trusts at end of year	2010-12-31	$964,518
Value of interest in common/collective trusts at beginning of year	2010-12-31	$787,877
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2010-12-31	$87,140
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2010-12-31	$51,687
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2010-12-31	$51,687
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2010-12-31	$443,068
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	$1,402,795
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2010-12-31	$140,604
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	No
Opinion of an independent qualified public accountant for this plan	2010-12-31	Unqualified
Accountancy firm name	2010-12-31	BECHER, DELLATORRE, GITTO & CO, CPA
Accountancy firm EIN	2010-12-31	222625944
2009 : RAFFERTY RETIREMENT 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 RAFFERTY RETIREMENT PLAN

2017: RAFFERTY RETIREMENT PLAN 2017 form 5500 responses
2017-01-01	Type of plan entity	Single employer plan
2017-01-01	Submission has been amended	No
2017-01-01	This submission is the final filing	No
2017-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2017-01-01	Plan is a collectively bargained plan	No
2017-01-01	Plan funding arrangement – Trust	Yes
2017-01-01	Plan benefit arrangement - Trust	Yes
2016: RAFFERTY RETIREMENT 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	No
2016-01-01	This return/report is a short plan year return/report (less than 12 months)	No
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: RAFFERTY RETIREMENT 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: RAFFERTY RETIREMENT 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: RAFFERTY RETIREMENT 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: RAFFERTY RETIREMENT 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: RAFFERTY RETIREMENT 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: RAFFERTY RETIREMENT PLAN 2009 form 5500 responses
2009-01-01	Type of plan entity	Single employer plan
2009-01-01	Submission has been amended	Yes
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:	RAFFERTY HOLDINGS, LLC
Employer identification number (EIN):	134043855
NAIC Classification:	523120
NAIC Description:	Securities Brokerage

Jurisdiction of Incorporation:	New York Department of State
Incorporation Date:	1998-11-19
Company Identification Number:	2317582
Legal Registered Office Address:	1301 AVENUE OF THE AMERICAS 28TH FLOOR NEW YORK United States of America (USA) 10019