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MARYLOU ROMO, M.D. 401(K) SAFE HARBOR PROFIT SHARING PLAN 401k Plan overview

Plan NameMARYLOU ROMO, M.D. 401(K) SAFE HARBOR PROFIT SHARING PLAN
Plan identification number 001

MARYLOU ROMO, M.D. 401(K) SAFE HARBOR PROFIT SHARING PLAN Benefits

401k Plan TypeDefined Contribution Pension
Plan Features/Benefits
  • Age/Service Weighted or new comparability or similar plan - Age/Service Weighted Plan: Allocations are based on age, service, or age and service. New comparability or similar plan: Allocations are based on participant classifications and a classification(s) consists entirely or predominantly of highly compensated employees; or the plan provides an additional allocation rate on compensation above a specified threshold, and the theshold or additional rate exceeds the maximum threshold or rate allowed under the permitted disparity rules of section 401(l).
  • 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.
  • Plan covering Self-Employed individuals.
  • 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

MARYLOU ROMO, M.D. has sponsored the creation of one or more 401k plans.

Company Name:MARYLOU ROMO, M.D.
Employer identification number (EIN):161760727
NAIC Classification:621111
NAIC Description:Offices of Physicians (except Mental Health Specialists)

Form 5500 Filing Information

Submission information for form 5500 for 401k plan MARYLOU ROMO, M.D. 401(K) SAFE HARBOR PROFIT SHARING PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator SignedName of Company SponsorDate Sponsor Signed
0012022-01-01CETERA RETIREMENT PLAN SPECIALISTS2023-10-06
0012021-01-01
0012020-01-01
0012019-01-01
0012018-01-01
0012017-01-01
0012016-01-01
0012015-01-01
0012014-01-01MARYLOU ROMO, M.D.2015-07-29
0012013-01-01MARYLOU ROMO, M.D.2014-09-29
0012012-01-01MARYLOU ROMO
0012011-01-01MARYLOU ROMO
0012010-01-01MARYLOU ROMO
0012009-01-01MARYLOU ROMO

Plan Statistics for MARYLOU ROMO, M.D. 401(K) SAFE HARBOR PROFIT SHARING PLAN

401k plan membership statisitcs for MARYLOU ROMO, M.D. 401(K) SAFE HARBOR PROFIT SHARING PLAN

Measure Date Value
2012: MARYLOU ROMO, M.D. 401(K) SAFE HARBOR PROFIT SHARING PLAN 2012 401k membership
Total participants, beginning-of-year2012-01-016
Total number of active participants reported on line 7a of the Form 55002012-01-015
Number of retired or separated participants receiving benefits2012-01-010
Number of other retired or separated participants entitled to future benefits2012-01-011
Total of all active and inactive participants2012-01-016
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2012-01-010
Total participants2012-01-016
Number of participants with account balances2012-01-016
2011: MARYLOU ROMO, M.D. 401(K) SAFE HARBOR PROFIT SHARING PLAN 2011 401k membership
Total participants, beginning-of-year2011-01-015
Total number of active participants reported on line 7a of the Form 55002011-01-015
Number of retired or separated participants receiving benefits2011-01-010
Number of other retired or separated participants entitled to future benefits2011-01-011
Total of all active and inactive participants2011-01-016
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2011-01-010
Total participants2011-01-016
Number of participants with account balances2011-01-016
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2011-01-010
2010: MARYLOU ROMO, M.D. 401(K) SAFE HARBOR PROFIT SHARING PLAN 2010 401k membership
Total participants, beginning-of-year2010-01-015
Total number of active participants reported on line 7a of the Form 55002010-01-014
Number of retired or separated participants receiving benefits2010-01-010
Number of other retired or separated participants entitled to future benefits2010-01-011
Total of all active and inactive participants2010-01-015
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2010-01-010
Total participants2010-01-015
Number of participants with account balances2010-01-015
2009: MARYLOU ROMO, M.D. 401(K) SAFE HARBOR PROFIT SHARING PLAN 2009 401k membership
Total participants, beginning-of-year2009-01-015
Total number of active participants reported on line 7a of the Form 55002009-01-013
Number of retired or separated participants receiving benefits2009-01-010
Number of other retired or separated participants entitled to future benefits2009-01-011
Total of all active and inactive participants2009-01-014
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2009-01-010
Total participants2009-01-014
Number of participants with account balances2009-01-014
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2009-01-010

Financial Data on MARYLOU ROMO, M.D. 401(K) SAFE HARBOR PROFIT SHARING PLAN

Measure Date Value
2012 : MARYLOU ROMO, M.D. 401(K) SAFE HARBOR PROFIT SHARING PLAN 2012 401k financial data
Total income from all sources2012-12-31$78,965
Expenses. Total of all expenses incurred2012-12-31$4,721
Total plan assets at end of year2012-12-31$411,674
Total plan assets at beginning of year2012-12-31$337,430
Total contributions received or receivable from participants2012-12-31$38,290
Other income received2012-12-31$31,784
Net income (gross income less expenses)2012-12-31$74,244
Net plan assets at end of year (total assets less liabilities)2012-12-31$411,674
Net plan assets at beginning of year (total assets less liabilities)2012-12-31$337,430
Total contributions received or receivable from employer(s)2012-12-31$8,891
Value of certain deemed distributions of participant loans2012-12-31$4,721
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2012-12-31$0
2011 : MARYLOU ROMO, M.D. 401(K) SAFE HARBOR PROFIT SHARING PLAN 2011 401k financial data
Total income from all sources2011-12-31$25,601
Expenses. Total of all expenses incurred2011-12-31$4,343
Total plan assets at end of year2011-12-31$337,430
Total plan assets at beginning of year2011-12-31$316,172
Total contributions received or receivable from participants2011-12-31$36,010
Other income received2011-12-31$-19,390
Net income (gross income less expenses)2011-12-31$21,258
Net plan assets at end of year (total assets less liabilities)2011-12-31$337,430
Net plan assets at beginning of year (total assets less liabilities)2011-12-31$316,172
Total contributions received or receivable from employer(s)2011-12-31$8,981
Expenses. Administrative service providers (salaries,fees and commissions)2011-12-31$4,343
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2011-12-31$0
2010 : MARYLOU ROMO, M.D. 401(K) SAFE HARBOR PROFIT SHARING PLAN 2010 401k financial data
Total income from all sources2010-12-31$81,710
Total plan assets at end of year2010-12-31$302,173
Total plan assets at beginning of year2010-12-31$220,463
Total contributions received or receivable from participants2010-12-31$33,150
Other income received2010-12-31$18,502
Net income (gross income less expenses)2010-12-31$81,710
Net plan assets at end of year (total assets less liabilities)2010-12-31$302,173
Net plan assets at beginning of year (total assets less liabilities)2010-12-31$220,463
Total contributions received or receivable from employer(s)2010-12-31$30,058

Form 5500 Responses for MARYLOU ROMO, M.D. 401(K) SAFE HARBOR PROFIT SHARING PLAN

2012: MARYLOU ROMO, M.D. 401(K) SAFE HARBOR PROFIT SHARING PLAN 2012 form 5500 responses
2012-01-01Type of plan entitySingle employer plan
2012-01-01Submission has been amendedNo
2012-01-01This submission is the final filingNo
2012-01-01This return/report is a short plan year return/report (less than 12 months)No
2012-01-01Plan is a collectively bargained planNo
2012-01-01Plan funding arrangement – InsuranceYes
2012-01-01Plan funding arrangement – TrustYes
2012-01-01Plan benefit arrangement – InsuranceYes
2012-01-01Plan benefit arrangement - TrustYes
2011: MARYLOU ROMO, M.D. 401(K) SAFE HARBOR PROFIT SHARING PLAN 2011 form 5500 responses
2011-01-01Type of plan entitySingle employer plan
2011-01-01Submission has been amendedNo
2011-01-01This submission is the final filingNo
2011-01-01This return/report is a short plan year return/report (less than 12 months)No
2011-01-01Plan is a collectively bargained planNo
2011-01-01Plan funding arrangement – InsuranceYes
2011-01-01Plan funding arrangement – TrustYes
2011-01-01Plan benefit arrangement – InsuranceYes
2011-01-01Plan benefit arrangement - TrustYes
2010: MARYLOU ROMO, M.D. 401(K) SAFE HARBOR PROFIT SHARING PLAN 2010 form 5500 responses
2010-01-01Type of plan entitySingle employer plan
2010-01-01Submission has been amendedNo
2010-01-01This submission is the final filingNo
2010-01-01This return/report is a short plan year return/report (less than 12 months)No
2010-01-01Plan is a collectively bargained planNo
2010-01-01Plan funding arrangement – InsuranceYes
2010-01-01Plan funding arrangement – TrustYes
2010-01-01Plan benefit arrangement – InsuranceYes
2010-01-01Plan benefit arrangement - TrustYes
2009: MARYLOU ROMO, M.D. 401(K) SAFE HARBOR PROFIT SHARING PLAN 2009 form 5500 responses
2009-01-01Type of plan entitySingle employer plan
2009-01-01Submission has been amendedNo
2009-01-01This submission is the final filingNo
2009-01-01This return/report is a short plan year return/report (less than 12 months)No
2009-01-01Plan is a collectively bargained planNo
2009-01-01Plan funding arrangement – InsuranceYes
2009-01-01Plan funding arrangement – TrustYes
2009-01-01Plan benefit arrangement – InsuranceYes
2009-01-01Plan benefit arrangement - TrustYes

Insurance Providers Used on plan

AXA EQUITABLE LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 66944 )
Policy contract number641070
Policy instance 1
Insurance contract or identification number641070
Number of Individuals Covered6
Insurance policy start date2012-01-01
Insurance policy end date2012-12-31
Total amount of commissions paid to insurance brokerUSD $1,453
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?Yes
Commission paid to Insurance BrokerUSD $1,453
Insurance broker organization code?3
Insurance broker nameARCH, CFP, CHFC, CLU ANTHONY
AXA EQUITABLE LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 66944 )
Policy contract number641070
Policy instance 1
Insurance contract or identification number641070
Number of Individuals Covered6
Insurance policy start date2011-01-01
Insurance policy end date2011-12-31
Total amount of commissions paid to insurance brokerUSD $1,224
Total amount of fees paid to insurance companyUSD $0
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?Yes
AXA EQUITABLE LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 66944 )
Policy contract number641070
Policy instance 1
Insurance contract or identification number641070
Number of Individuals Covered4
Insurance policy start date2010-01-01
Insurance policy end date2010-12-31
Total amount of commissions paid to insurance brokerUSD $957
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?Yes

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