401k Plan data: GENEVA ADVISORS, LLC 401(K) PROFIT SHARING PLAN plan

GENEVA ADVISORS, LLC 401(K) PROFIT SHARING PLAN 401k Plan overview

Plan Name	GENEVA ADVISORS, LLC 401(K) PROFIT SHARING PLAN
Plan identification number	001

GENEVA ADVISORS, LLC 401(K) PROFIT SHARING PLAN Benefits

401k Plan Type

Defined 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.
Participant-directed brokerage accounts provided as an investment option under the plan.
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.
Plan sponsor(s) is (are) a member(s) of a controlled group (Code sections 414(b), (c), or (m)).

401k Sponsoring company profile

AT INVESTMENT ADVISERS, INC. has sponsored the creation of one or more 401k plans.

Company Name: AT INVESTMENT ADVISERS, INC.

Employer identification number (EIN): 200822261

NAIC Classification: 523900

Form 5500 Filing Information

Submission information for form 5500 for 401k plan GENEVA ADVISORS, LLC 401(K) PROFIT SHARING PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2018-01-01 MICHAEL BRADY
001 2017-01-01 MICHAEL BRADY

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed	Name of Company Sponsor	Date Sponsor Signed
001	2018-01-01	MICHAEL BRADY
001	2017-01-01	MICHAEL BRADY

Plan Statistics for GENEVA ADVISORS, LLC 401(K) PROFIT SHARING PLAN

401k plan membership statisitcs for GENEVA ADVISORS, LLC 401(K) PROFIT SHARING PLAN

Measure Date Value
2018: GENEVA ADVISORS, LLC 401(K) PROFIT SHARING PLAN 2018 401k membership
Total participants, beginning-of-year 2018-01-01 114
Total number of active participants reported on line 7a of the Form 5500 2018-01-01 0
Number of retired or separated participants receiving benefits 2018-01-01 0
Number of other retired or separated participants entitled to future benefits 2018-01-01 0
Total of all active and inactive participants 2018-01-01 0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2018-01-01 0
Total participants 2018-01-01 0
Number of participants with account balances 2018-01-01 0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2018-01-01 0
2017: GENEVA ADVISORS, LLC 401(K) PROFIT SHARING PLAN 2017 401k membership
Total participants, beginning-of-year 2017-01-01 118
Total number of active participants reported on line 7a of the Form 5500 2017-01-01 87
Number of retired or separated participants receiving benefits 2017-01-01 9
Number of other retired or separated participants entitled to future benefits 2017-01-01 17
Total of all active and inactive participants 2017-01-01 113
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2017-01-01 1
Total participants 2017-01-01 114
Number of participants with account balances 2017-01-01 98
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2017-01-01 1

Measure	Date	Value
2018: GENEVA ADVISORS, LLC 401(K) PROFIT SHARING PLAN 2018 401k membership
Total participants, beginning-of-year	2018-01-01	114
Total number of active participants reported on line 7a of the Form 5500	2018-01-01	0
Number of retired or separated participants receiving benefits	2018-01-01	0
Number of other retired or separated participants entitled to future benefits	2018-01-01	0
Total of all active and inactive participants	2018-01-01	0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2018-01-01	0
Total participants	2018-01-01	0
Number of participants with account balances	2018-01-01	0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2018-01-01	0
2017: GENEVA ADVISORS, LLC 401(K) PROFIT SHARING PLAN 2017 401k membership
Total participants, beginning-of-year	2017-01-01	118
Total number of active participants reported on line 7a of the Form 5500	2017-01-01	87
Number of retired or separated participants receiving benefits	2017-01-01	9
Number of other retired or separated participants entitled to future benefits	2017-01-01	17
Total of all active and inactive participants	2017-01-01	113
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2017-01-01	1
Total participants	2017-01-01	114
Number of participants with account balances	2017-01-01	98
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2017-01-01	1

Financial Data on GENEVA ADVISORS, LLC 401(K) PROFIT SHARING PLAN

Measure	Date	Value
2018 : GENEVA ADVISORS, LLC 401(K) PROFIT SHARING PLAN 2018 401k financial data
Total plan liabilities at end of year	2018-10-31	$0
Total plan liabilities at beginning of year	2018-10-31	$0
Total income from all sources	2018-10-31	$299,918
Expenses. Total of all expenses incurred	2018-10-31	$6,055,939
Benefits paid (including direct rollovers)	2018-10-31	$6,055,610
Total plan assets at end of year	2018-10-31	$0
Total plan assets at beginning of year	2018-10-31	$5,756,021
Value of fidelity bond covering the plan	2018-10-31	$500,000
Other income received	2018-10-31	$299,918
Net income (gross income less expenses)	2018-10-31	$-5,756,021
Net plan assets at end of year (total assets less liabilities)	2018-10-31	$0
Net plan assets at beginning of year (total assets less liabilities)	2018-10-31	$5,756,021
Assets. Value of assets in partnership/joint-venture interests	2018-10-31	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2018-10-31	$329
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2018-10-31	$0
2017 : GENEVA ADVISORS, LLC 401(K) PROFIT SHARING PLAN 2017 401k financial data
Total plan liabilities at end of year	2017-12-31	$0
Total plan liabilities at beginning of year	2017-12-31	$0
Total income from all sources	2017-12-31	$6,589,167
Expenses. Total of all expenses incurred	2017-12-31	$25,074,690
Benefits paid (including direct rollovers)	2017-12-31	$25,061,684
Total plan assets at end of year	2017-12-31	$5,756,021
Total plan assets at beginning of year	2017-12-31	$24,241,544
Value of fidelity bond covering the plan	2017-12-31	$500,000
Total contributions received or receivable from participants	2017-12-31	$727,367
Contributions received from other sources (not participants or employers)	2017-12-31	$124,275
Other income received	2017-12-31	$4,822,485
Net income (gross income less expenses)	2017-12-31	$-18,485,523
Net plan assets at end of year (total assets less liabilities)	2017-12-31	$5,756,021
Net plan assets at beginning of year (total assets less liabilities)	2017-12-31	$24,241,544
Assets. Value of participant loans	2017-12-31	$0
Assets. Value of assets in partnership/joint-venture interests	2017-12-31	$162,774
Total contributions received or receivable from employer(s)	2017-12-31	$915,040
Expenses. Administrative service providers (salaries,fees and commissions)	2017-12-31	$13,006
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2017-12-31	$0

Form 5500 Responses for GENEVA ADVISORS, LLC 401(K) PROFIT SHARING PLAN

2018: GENEVA ADVISORS, LLC 401(K) PROFIT SHARING PLAN 2018 form 5500 responses
2018-01-01	Type of plan entity	Single employer plan
2018-01-01	Submission has been amended	No
2018-01-01	This submission is the final filing	Yes
2018-01-01	This return/report is a short plan year return/report (less than 12 months)	Yes
2018-01-01	Plan is a collectively bargained plan	No
2018-01-01	Plan funding arrangement – Trust	Yes
2018-01-01	Plan benefit arrangement - Trust	Yes
2017: GENEVA ADVISORS, LLC 401(K) PROFIT SHARING 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

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Company Name:	AT INVESTMENT ADVISERS, INC.
Employer identification number (EIN):	200822261
NAIC Classification:	523900