401k Plan data: ROTHSTEIN KASS 401K PLAN plan

ROTHSTEIN KASS 401K PLAN 401k Plan overview

Plan Name	ROTHSTEIN KASS 401K PLAN
Plan identification number	003

ROTHSTEIN KASS 401K 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.
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

ROTHSTEIN KASS has sponsored the creation of one or more 401k plans.

Company Name: ROTHSTEIN KASS

Employer identification number (EIN): 222131009

NAIC Classification: 541211
NAIC Description: Offices of Certified Public Accountants

Form 5500 Filing Information

Submission information for form 5500 for 401k plan ROTHSTEIN KASS 401K PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
003 2016-01-01 RAY OBSSUTH
003 2015-01-01 RAY OBSSUTH
003 2014-01-01 RAY OBSSUTH
003 2013-01-01 STEVEN KASS
003 2012-01-01 STEVEN KASS
003 2011-01-01 STEVEN KASS
003 2009-01-01 STEVEN KASS

Plan id#	Filing Submission Date	Name of Administrator
003	2016-01-01	RAY OBSSUTH
003	2015-01-01	RAY OBSSUTH
003	2014-01-01	RAY OBSSUTH
003	2013-01-01	STEVEN KASS
003	2012-01-01	STEVEN KASS
003	2011-01-01	STEVEN KASS
003	2009-01-01	STEVEN KASS

Plan Statistics for ROTHSTEIN KASS 401K PLAN

401k plan membership statisitcs for ROTHSTEIN KASS 401K PLAN

Measure Date Value
2016: ROTHSTEIN KASS 401K PLAN 2016 401k membership
Total participants, beginning-of-year 2016-01-01 1,288
Total number of active participants reported on line 7a of the Form 5500 2016-01-01 0
Number of retired or separated participants receiving benefits 2016-01-01 0
Number of other retired or separated participants entitled to future benefits 2016-01-01 0
Total of all active and inactive participants 2016-01-01 0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2016-01-01 0
Total participants 2016-01-01 0
Number of participants with account balances 2016-01-01 0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2016-01-01 0
2015: ROTHSTEIN KASS 401K PLAN 2015 401k membership
Total participants, beginning-of-year 2015-01-01 1,438
Total number of active participants reported on line 7a of the Form 5500 2015-01-01 0
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 1,288
Total of all active and inactive participants 2015-01-01 1,288
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2015-01-01 0
Total participants 2015-01-01 1,288
Number of participants with account balances 2015-01-01 1,288
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2015-01-01 0
2014: ROTHSTEIN KASS 401K PLAN 2014 401k membership
Total participants, beginning-of-year 2014-01-01 1,512
Total number of active participants reported on line 7a of the Form 5500 2014-01-01 16
Number of retired or separated participants receiving benefits 2014-01-01 0
Number of other retired or separated participants entitled to future benefits 2014-01-01 1,422
Total of all active and inactive participants 2014-01-01 1,438
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2014-01-01 0
Total participants 2014-01-01 1,438
Number of participants with account balances 2014-01-01 1,438
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2014-01-01 0
2013: ROTHSTEIN KASS 401K PLAN 2013 401k membership
Total participants, beginning-of-year 2013-01-01 1,573
Total number of active participants reported on line 7a of the Form 5500 2013-01-01 885
Number of retired or separated participants receiving benefits 2013-01-01 0
Number of other retired or separated participants entitled to future benefits 2013-01-01 553
Total of all active and inactive participants 2013-01-01 1,438
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2013-01-01 0
Total participants 2013-01-01 1,438
Number of participants with account balances 2013-01-01 1,387
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2013-01-01 172
2012: ROTHSTEIN KASS 401K PLAN 2012 401k membership
Total participants, beginning-of-year 2012-01-01 1,421
Total number of active participants reported on line 7a of the Form 5500 2012-01-01 1,084
Number of retired or separated participants receiving benefits 2012-01-01 0
Number of other retired or separated participants entitled to future benefits 2012-01-01 484
Total of all active and inactive participants 2012-01-01 1,568
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2012-01-01 0
Total participants 2012-01-01 1,568
Number of participants with account balances 2012-01-01 1,475
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2012-01-01 107
2011: ROTHSTEIN KASS 401K PLAN 2011 401k membership
Total participants, beginning-of-year 2011-01-01 1,171
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 960
Number of retired or separated participants receiving benefits 2011-01-01 0
Number of other retired or separated participants entitled to future benefits 2011-01-01 452
Total of all active and inactive participants 2011-01-01 1,412
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-01-01 0
Total participants 2011-01-01 1,412
Number of participants with account balances 2011-01-01 1,226
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-01-01 68
2009: ROTHSTEIN KASS 401K PLAN 2009 401k membership
Total participants, beginning-of-year 2009-01-01 1,228
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 821
Number of retired or separated participants receiving benefits 2009-01-01 0
Number of other retired or separated participants entitled to future benefits 2009-01-01 270
Total of all active and inactive participants 2009-01-01 1,091
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-01-01 0
Total participants 2009-01-01 1,091
Number of participants with account balances 2009-01-01 1,071
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-01-01 150

Measure	Date	Value
2016: ROTHSTEIN KASS 401K PLAN 2016 401k membership
Total participants, beginning-of-year	2016-01-01	1,288
Total number of active participants reported on line 7a of the Form 5500	2016-01-01	0
Number of retired or separated participants receiving benefits	2016-01-01	0
Number of other retired or separated participants entitled to future benefits	2016-01-01	0
Total of all active and inactive participants	2016-01-01	0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2016-01-01	0
Total participants	2016-01-01	0
Number of participants with account balances	2016-01-01	0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2016-01-01	0
2015: ROTHSTEIN KASS 401K PLAN 2015 401k membership
Total participants, beginning-of-year	2015-01-01	1,438
Total number of active participants reported on line 7a of the Form 5500	2015-01-01	0
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	1,288
Total of all active and inactive participants	2015-01-01	1,288
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2015-01-01	0
Total participants	2015-01-01	1,288
Number of participants with account balances	2015-01-01	1,288
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2015-01-01	0
2014: ROTHSTEIN KASS 401K PLAN 2014 401k membership
Total participants, beginning-of-year	2014-01-01	1,512
Total number of active participants reported on line 7a of the Form 5500	2014-01-01	16
Number of retired or separated participants receiving benefits	2014-01-01	0
Number of other retired or separated participants entitled to future benefits	2014-01-01	1,422
Total of all active and inactive participants	2014-01-01	1,438
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2014-01-01	0
Total participants	2014-01-01	1,438
Number of participants with account balances	2014-01-01	1,438
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2014-01-01	0
2013: ROTHSTEIN KASS 401K PLAN 2013 401k membership
Total participants, beginning-of-year	2013-01-01	1,573
Total number of active participants reported on line 7a of the Form 5500	2013-01-01	885
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	553
Total of all active and inactive participants	2013-01-01	1,438
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2013-01-01	0
Total participants	2013-01-01	1,438
Number of participants with account balances	2013-01-01	1,387
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2013-01-01	172
2012: ROTHSTEIN KASS 401K PLAN 2012 401k membership
Total participants, beginning-of-year	2012-01-01	1,421
Total number of active participants reported on line 7a of the Form 5500	2012-01-01	1,084
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	484
Total of all active and inactive participants	2012-01-01	1,568
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2012-01-01	0
Total participants	2012-01-01	1,568
Number of participants with account balances	2012-01-01	1,475
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2012-01-01	107
2011: ROTHSTEIN KASS 401K PLAN 2011 401k membership
Total participants, beginning-of-year	2011-01-01	1,171
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	960
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	452
Total of all active and inactive participants	2011-01-01	1,412
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-01-01	0
Total participants	2011-01-01	1,412
Number of participants with account balances	2011-01-01	1,226
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-01-01	68
2009: ROTHSTEIN KASS 401K PLAN 2009 401k membership
Total participants, beginning-of-year	2009-01-01	1,228
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	821
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	270
Total of all active and inactive participants	2009-01-01	1,091
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-01-01	0
Total participants	2009-01-01	1,091
Number of participants with account balances	2009-01-01	1,071
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-01-01	150

Financial Data on ROTHSTEIN KASS 401K PLAN

Measure	Date	Value
2016 : ROTHSTEIN KASS 401K 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	$323,443
Total loss/gain on sale of assets	2016-12-31	$0
Total of all expenses incurred	2016-12-31	$57,424,658
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2016-12-31	$57,364,298
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2016-12-31	$0
Value of total assets at end of year	2016-12-31	$0
Value of total assets at beginning of year	2016-12-31	$57,101,215
Total of administrative expenses incurred including professional, contract, advisory and management fees	2016-12-31	$60,360
Total interest from all sources	2016-12-31	$11,182
Total dividends received (eg from common stock, registered investment company shares)	2016-12-31	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2016-12-31	Yes
Value of any plan assets that reverted to the employer resulting from resoluton to terminate the plan	2016-12-31	$0
Administrative expenses professional fees incurred	2016-12-31	$60,360
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
Participant contributions at end of year	2016-12-31	$0
Participant contributions at beginning of year	2016-12-31	$124,104
Participant contributions at end of year	2016-12-31	$0
Participant contributions at beginning of year	2016-12-31	$0
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	$-57,101,215
Value of net assets at end of year (total assets less liabilities)	2016-12-31	$0
Value of net assets at beginning of year (total assets less liabilities)	2016-12-31	$57,101,215
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 pooled separate accounts at end of year	2016-12-31	$0
Value of interest in pooled separate accounts at beginning of year	2016-12-31	$52,354,079
Interest on participant loans	2016-12-31	$573
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2016-12-31	$10,609
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2016-12-31	$0
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2016-12-31	$4,623,032
Net investment gain/loss from pooled separate accounts	2016-12-31	$312,261
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
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	$57,364,298
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	Yes
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	LAWSON RESCINIO SCHIBELL & ASSOC.
Accountancy firm EIN	2016-12-31	223193482
2015 : ROTHSTEIN KASS 401K 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	$-530,950
Total loss/gain on sale of assets	2015-12-31	$0
Total of all expenses incurred	2015-12-31	$14,116,610
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2015-12-31	$13,947,408
Expenses. Certain deemed distributions of participant loans	2015-12-31	$168,506
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2015-12-31	$0
Value of total assets at end of year	2015-12-31	$57,101,215
Value of total assets at beginning of year	2015-12-31	$71,748,775
Total of administrative expenses incurred including professional, contract, advisory and management fees	2015-12-31	$696
Total interest from all sources	2015-12-31	$8,054
Total dividends received (eg from common stock, registered investment company shares)	2015-12-31	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2015-12-31	Yes
Value of any plan assets that reverted to the employer resulting from resoluton to terminate the plan	2015-12-31	$0
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
Participant contributions at end of year	2015-12-31	$124,104
Participant contributions at beginning of year	2015-12-31	$421,522
Participant contributions at end of year	2015-12-31	$0
Participant contributions at beginning of year	2015-12-31	$0
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	$-14,647,560
Value of net assets at end of year (total assets less liabilities)	2015-12-31	$57,101,215
Value of net assets at beginning of year (total assets less liabilities)	2015-12-31	$71,748,775
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 pooled separate accounts at end of year	2015-12-31	$52,354,079
Value of interest in pooled separate accounts at beginning of year	2015-12-31	$66,323,642
Interest on participant loans	2015-12-31	$8,024
Interest earned on other investments	2015-12-31	$30
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2015-12-31	$4,623,032
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2015-12-31	$5,003,611
Net investment gain/loss from pooled separate accounts	2015-12-31	$-539,004
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
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	$13,947,408
Contract administrator fees	2015-12-31	$696
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	LAWSON RESCINIO SCHIBELL & ASSOC.
Accountancy firm EIN	2015-12-31	223193482
2014 : ROTHSTEIN KASS 401K 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	$9,187,751
Total loss/gain on sale of assets	2014-12-31	$0
Total of all expenses incurred	2014-12-31	$6,697,497
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2014-12-31	$6,257,153
Expenses. Certain deemed distributions of participant loans	2014-12-31	$436,859
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2014-12-31	$4,392,425
Value of total assets at end of year	2014-12-31	$71,748,775
Value of total assets at beginning of year	2014-12-31	$69,258,521
Total of administrative expenses incurred including professional, contract, advisory and management fees	2014-12-31	$3,485
Total interest from all sources	2014-12-31	$30,600
Total dividends received (eg from common stock, registered investment company shares)	2014-12-31	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2014-12-31	No
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	$3,780,087
Participant contributions at end of year	2014-12-31	$421,522
Participant contributions at beginning of year	2014-12-31	$1,110,549
Participant contributions at end of year	2014-12-31	$0
Participant contributions at beginning of year	2014-12-31	$350,411
Income. Received or receivable in cash from other sources (including rollovers)	2014-12-31	$27,307
Administrative expenses (other) incurred	2014-12-31	$4
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
Income. Non cash contributions	2014-12-31	$0
Value of net income/loss	2014-12-31	$2,490,254
Value of net assets at end of year (total assets less liabilities)	2014-12-31	$71,748,775
Value of net assets at beginning of year (total assets less liabilities)	2014-12-31	$69,258,521
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 pooled separate accounts at end of year	2014-12-31	$66,323,642
Value of interest in pooled separate accounts at beginning of year	2014-12-31	$63,362,525
Interest on participant loans	2014-12-31	$30,292
Interest earned on other investments	2014-12-31	$308
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2014-12-31	$5,003,611
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2014-12-31	$3,458,710
Net investment gain/loss from pooled separate accounts	2014-12-31	$4,764,726
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	$585,031
Employer contributions (assets) at end of year	2014-12-31	$0
Employer contributions (assets) at beginning of year	2014-12-31	$976,326
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2014-12-31	$6,257,153
Contract administrator fees	2014-12-31	$3,481
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	LAWSON RESCINIO SCHIBELL & ASSOC.
Accountancy firm EIN	2014-12-31	223193482
2013 : ROTHSTEIN KASS 401K PLAN 2013 401k financial data
Unrealized appreciation/depreciation of real estate assets	2013-12-31	$0
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	$20,290,203
Total loss/gain on sale of assets	2013-12-31	$0
Total of all expenses incurred	2013-12-31	$7,302,373
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2013-12-31	$7,188,925
Expenses. Certain deemed distributions of participant loans	2013-12-31	$108,269
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2013-12-31	$8,203,448
Value of total assets at end of year	2013-12-31	$69,258,521
Value of total assets at beginning of year	2013-12-31	$56,270,691
Total of administrative expenses incurred including professional, contract, advisory and management fees	2013-12-31	$5,179
Total interest from all sources	2013-12-31	$45,604
Total dividends received (eg from common stock, registered investment company shares)	2013-12-31	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2013-12-31	No
Was this plan covered by a fidelity bond	2013-12-31	Yes
Value of fidelity bond cover	2013-12-31	$500,000
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	$6,992,055
Participant contributions at end of year	2013-12-31	$1,110,549
Participant contributions at beginning of year	2013-12-31	$1,011,036
Participant contributions at end of year	2013-12-31	$350,411
Participant contributions at beginning of year	2013-12-31	$443,087
Income. Received or receivable in cash from other sources (including rollovers)	2013-12-31	$241,576
Administrative expenses (other) incurred	2013-12-31	$909
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	$12,987,830
Value of net assets at end of year (total assets less liabilities)	2013-12-31	$69,258,521
Value of net assets at beginning of year (total assets less liabilities)	2013-12-31	$56,270,691
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 pooled separate accounts at end of year	2013-12-31	$63,362,525
Value of interest in pooled separate accounts at beginning of year	2013-12-31	$51,478,503
Interest on participant loans	2013-12-31	$45,494
Interest earned on other investments	2013-12-31	$110
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2013-12-31	$3,458,710
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2013-12-31	$2,218,217
Net investment gain/loss from pooled separate accounts	2013-12-31	$12,041,151
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	$969,817
Employer contributions (assets) at end of year	2013-12-31	$976,326
Employer contributions (assets) at beginning of year	2013-12-31	$1,119,848
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2013-12-31	$7,188,925
Contract administrator fees	2013-12-31	$4,270
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	LAWSON RESCINIO SCHIBELL & ASSOC.
Accountancy firm EIN	2013-12-31	223193482
2012 : ROTHSTEIN KASS 401K 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	$14,957,033
Total loss/gain on sale of assets	2012-12-31	$0
Total of all expenses incurred	2012-12-31	$3,178,362
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2012-12-31	$3,032,105
Expenses. Certain deemed distributions of participant loans	2012-12-31	$139,307
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2012-12-31	$8,681,566
Value of total assets at end of year	2012-12-31	$56,270,691
Value of total assets at beginning of year	2012-12-31	$44,492,020
Total of administrative expenses incurred including professional, contract, advisory and management fees	2012-12-31	$6,950
Total interest from all sources	2012-12-31	$36,513
Total dividends received (eg from common stock, registered investment company shares)	2012-12-31	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2012-12-31	No
Was this plan covered by a fidelity bond	2012-12-31	Yes
Value of fidelity bond cover	2012-12-31	$500,000
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	$6,835,181
Participant contributions at end of year	2012-12-31	$1,011,036
Participant contributions at beginning of year	2012-12-31	$846,778
Participant contributions at end of year	2012-12-31	$443,087
Participant contributions at beginning of year	2012-12-31	$445,265
Income. Received or receivable in cash from other sources (including rollovers)	2012-12-31	$726,537
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
Income. Non cash contributions	2012-12-31	$0
Value of net income/loss	2012-12-31	$11,778,671
Value of net assets at end of year (total assets less liabilities)	2012-12-31	$56,270,691
Value of net assets at beginning of year (total assets less liabilities)	2012-12-31	$44,492,020
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 pooled separate accounts at end of year	2012-12-31	$51,478,503
Value of interest in pooled separate accounts at beginning of year	2012-12-31	$39,883,817
Interest on participant loans	2012-12-31	$36,513
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2012-12-31	$2,218,217
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2012-12-31	$2,350,916
Net investment gain/loss from pooled separate accounts	2012-12-31	$6,238,954
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	$1,119,848
Employer contributions (assets) at end of year	2012-12-31	$1,119,848
Employer contributions (assets) at beginning of year	2012-12-31	$965,244
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2012-12-31	$3,032,105
Contract administrator fees	2012-12-31	$6,950
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	LAWSON RESCINIO SCHIBELL & ASSOC.
Accountancy firm EIN	2012-12-31	223193482
2011 : ROTHSTEIN KASS 401K 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	$5,696,324
Total loss/gain on sale of assets	2011-12-31	$0
Total of all expenses incurred	2011-12-31	$2,340,370
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2011-12-31	$2,304,610
Expenses. Certain deemed distributions of participant loans	2011-12-31	$32,060
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2011-12-31	$7,090,875
Value of total assets at end of year	2011-12-31	$44,492,020
Value of total assets at beginning of year	2011-12-31	$41,136,066
Total of administrative expenses incurred including professional, contract, advisory and management fees	2011-12-31	$3,700
Total interest from all sources	2011-12-31	$32,605
Total dividends received (eg from common stock, registered investment company shares)	2011-12-31	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2011-12-31	No
Was this plan covered by a fidelity bond	2011-12-31	Yes
Value of fidelity bond cover	2011-12-31	$500,000
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	$5,763,999
Participant contributions at end of year	2011-12-31	$846,778
Participant contributions at beginning of year	2011-12-31	$823,345
Participant contributions at end of year	2011-12-31	$445,265
Participant contributions at beginning of year	2011-12-31	$329,477
Income. Received or receivable in cash from other sources (including rollovers)	2011-12-31	$361,632
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
Income. Non cash contributions	2011-12-31	$0
Value of net income/loss	2011-12-31	$3,355,954
Value of net assets at end of year (total assets less liabilities)	2011-12-31	$44,492,020
Value of net assets at beginning of year (total assets less liabilities)	2011-12-31	$41,136,066
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 pooled separate accounts at end of year	2011-12-31	$39,883,817
Value of interest in pooled separate accounts at beginning of year	2011-12-31	$36,907,144
Interest on participant loans	2011-12-31	$32,605
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2011-12-31	$2,350,916
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2011-12-31	$2,301,651
Net investment gain/loss from pooled separate accounts	2011-12-31	$-1,427,156
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	$965,244
Employer contributions (assets) at end of year	2011-12-31	$965,244
Employer contributions (assets) at beginning of year	2011-12-31	$774,449
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2011-12-31	$2,304,610
Contract administrator fees	2011-12-31	$3,700
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	LAWSON RESCINIO SCHIBELL & ASSOC.
Accountancy firm EIN	2011-12-31	223193482
2010 : ROTHSTEIN KASS 401K 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	$11,670,332
Total loss/gain on sale of assets	2010-12-31	$0
Total of all expenses incurred	2010-12-31	$2,410,470
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2010-12-31	$2,354,874
Expenses. Certain deemed distributions of participant loans	2010-12-31	$50,646
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2010-12-31	$6,588,244
Value of total assets at end of year	2010-12-31	$41,136,066
Value of total assets at beginning of year	2010-12-31	$31,876,204
Total of administrative expenses incurred including professional, contract, advisory and management fees	2010-12-31	$4,950
Total interest from all sources	2010-12-31	$37,131
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	$500,000
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	$5,286,472
Participant contributions at end of year	2010-12-31	$823,345
Participant contributions at beginning of year	2010-12-31	$624,473
Participant contributions at end of year	2010-12-31	$329,477
Participant contributions at beginning of year	2010-12-31	$288,853
Income. Received or receivable in cash from other sources (including rollovers)	2010-12-31	$527,323
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	$9,259,862
Value of net assets at end of year (total assets less liabilities)	2010-12-31	$41,136,066
Value of net assets at beginning of year (total assets less liabilities)	2010-12-31	$31,876,204
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 pooled separate accounts at end of year	2010-12-31	$36,907,144
Value of interest in pooled separate accounts at beginning of year	2010-12-31	$28,273,530
Interest on participant loans	2010-12-31	$37,131
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2010-12-31	$2,301,651
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2010-12-31	$1,838,359
Net investment gain/loss from pooled separate accounts	2010-12-31	$5,044,957
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	$774,449
Employer contributions (assets) at end of year	2010-12-31	$774,449
Employer contributions (assets) at beginning of year	2010-12-31	$850,989
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2010-12-31	$2,354,874
Contract administrator fees	2010-12-31	$4,950
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	LAWSON RESCINIO SCHIBELL & ASSOC.
Accountancy firm EIN	2010-12-31	223193482
2009 : ROTHSTEIN KASS 401K 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 ROTHSTEIN KASS 401K PLAN

2016: ROTHSTEIN KASS 401K PLAN 2016 form 5500 responses
2016-01-01	Type of plan entity	Single employer plan
2016-01-01	Submission has been amended	No
2016-01-01	This submission is the final filing	Yes
2016-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2016-01-01	Plan is a collectively bargained plan	No
2016-01-01	Plan funding arrangement – Insurance	Yes
2016-01-01	Plan funding arrangement – Trust	Yes
2016-01-01	Plan benefit arrangement – Insurance	Yes
2016-01-01	Plan benefit arrangement - Trust	Yes
2015: ROTHSTEIN KASS 401K 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 – Insurance	Yes
2015-01-01	Plan funding arrangement – Trust	Yes
2015-01-01	Plan benefit arrangement – Insurance	Yes
2015-01-01	Plan benefit arrangement - Trust	Yes
2014: ROTHSTEIN KASS 401K 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 – Insurance	Yes
2014-01-01	Plan funding arrangement – Trust	Yes
2014-01-01	Plan benefit arrangement – Insurance	Yes
2014-01-01	Plan benefit arrangement - Trust	Yes
2013: ROTHSTEIN KASS 401K 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 – Insurance	Yes
2013-01-01	Plan funding arrangement – Trust	Yes
2013-01-01	Plan benefit arrangement – Insurance	Yes
2013-01-01	Plan benefit arrangement - Trust	Yes
2012: ROTHSTEIN KASS 401K 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 – Insurance	Yes
2012-01-01	Plan funding arrangement – Trust	Yes
2012-01-01	Plan benefit arrangement – Insurance	Yes
2012-01-01	Plan benefit arrangement - Trust	Yes
2011: ROTHSTEIN KASS 401K 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 – Insurance	Yes
2011-01-01	Plan funding arrangement – Trust	Yes
2011-01-01	Plan benefit arrangement – Insurance	Yes
2011-01-01	Plan benefit arrangement - Trust	Yes
2009: ROTHSTEIN KASS 401K PLAN 2009 form 5500 responses
2009-01-01	Type of plan entity	Single employer plan
2009-01-01	Submission has been amended	No
2009-01-01	This submission is the final filing	No
2009-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2009-01-01	Plan is a collectively bargained plan	No
2009-01-01	Plan funding arrangement – Insurance	Yes
2009-01-01	Plan funding arrangement – Trust	Yes
2009-01-01	Plan benefit arrangement – Insurance	Yes
2009-01-01	Plan benefit arrangement - Trust	Yes

Insurance Providers Used on plan

TRANSAMERICA LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 86231 )

Policy contract number

803845

Policy instance

Insurance contract or identification number	803845
Number of Individuals Covered	1288
Insurance policy start date	2015-01-01
Insurance policy end date	2015-12-31
Total amount of commissions paid to insurance broker	USD $180,452
Total amount of fees paid to insurance company	USD $0
Are there contracts with allocated funds for individual policies?	No
Are there contracts with allocated funds for group deferred annuity?	No
Are there contracts with allocated funds for types other than group deferred annuity or individual?	No
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Contracts With Unallocated Funds Deposit Administration	0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?	No
Are there contracts with unallocated funds for contracts of type guaranteed investment?	No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	Yes
Health Insurance Welfare Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
Were dividends or retroactive rate refunds paid in cash?	No
Were dividends or retroactive rate refunds paid as a credit?	No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No
Commission paid to Insurance Broker	USD $180,452
Amount paid for insurance broker fees	0
Additional information about fees paid to insurance broker	COMMISSIONS
Insurance broker organization code?	3
Insurance broker name	LINDA M TORTU

TRANSAMERICA LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 86231 )

Policy contract number

803845

Policy instance

Insurance contract or identification number	803845
Number of Individuals Covered	1438
Insurance policy start date	2014-01-01
Insurance policy end date	2014-12-31
Total amount of commissions paid to insurance broker	USD $173,322
Total amount of fees paid to insurance company	USD $0
Are there contracts with allocated funds for individual policies?	No
Are there contracts with allocated funds for group deferred annuity?	No
Are there contracts with allocated funds for types other than group deferred annuity or individual?	No
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Contracts With Unallocated Funds Deposit Administration	0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?	No
Are there contracts with unallocated funds for contracts of type guaranteed investment?	No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	Yes
Health Insurance Welfare Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
Were dividends or retroactive rate refunds paid in cash?	No
Were dividends or retroactive rate refunds paid as a credit?	No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No
Commission paid to Insurance Broker	USD $173,322
Amount paid for insurance broker fees	0
Additional information about fees paid to insurance broker	COMMISSIONS
Insurance broker organization code?	3
Insurance broker name	LINDA M TORTU

TRANSAMERICA LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 86231 )

Policy contract number

803845

Policy instance

Insurance contract or identification number	803845
Number of Individuals Covered	1387
Insurance policy start date	2013-01-01
Insurance policy end date	2013-12-31
Total amount of commissions paid to insurance broker	USD $277,394
Total amount of fees paid to insurance company	USD $0
Are there contracts with allocated funds for individual policies?	No
Are there contracts with allocated funds for group deferred annuity?	No
Are there contracts with allocated funds for types other than group deferred annuity or individual?	No
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Contracts With Unallocated Funds Deposit Administration	0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?	No
Are there contracts with unallocated funds for contracts of type guaranteed investment?	No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	Yes
Health Insurance Welfare Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
Were dividends or retroactive rate refunds paid in cash?	No
Were dividends or retroactive rate refunds paid as a credit?	No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No
Commission paid to Insurance Broker	USD $138,697
Amount paid for insurance broker fees	0
Additional information about fees paid to insurance broker	COMMISSIONS
Insurance broker organization code?	3
Insurance broker name	LINDA M TORTU

VOYA RETIRIEMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 86509 )

Policy contract number

887136

Policy instance

Insurance contract or identification number	887136
Number of Individuals Covered	1402
Insurance policy start date	2012-01-01
Insurance policy end date	2012-12-31
Total amount of commissions paid to insurance broker	USD $268,941
Total amount of fees paid to insurance company	USD $0
Are there contracts with allocated funds for individual policies?	No
Are there contracts with allocated funds for group deferred annuity?	No
Are there contracts with allocated funds for types other than group deferred annuity or individual?	No
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Contracts With Unallocated Funds Deposit Administration	0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?	No
Are there contracts with unallocated funds for contracts of type guaranteed investment?	No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	Yes
Health Insurance Welfare Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
Were dividends or retroactive rate refunds paid in cash?	No
Were dividends or retroactive rate refunds paid as a credit?	No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No
Commission paid to Insurance Broker	USD $245,288
Amount paid for insurance broker fees	0
Additional information about fees paid to insurance broker	COMMISSIONS
Insurance broker organization code?	3
Insurance broker name	LINDA M TORTU

VOYA RETIRIEMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 86509 )

Policy contract number

887136

Policy instance

Insurance contract or identification number	887136
Number of Individuals Covered	1224
Insurance policy start date	2011-01-01
Insurance policy end date	2011-12-31
Total amount of commissions paid to insurance broker	USD $230,363
Total amount of fees paid to insurance company	USD $0
Are there contracts with allocated funds for individual policies?	No
Are there contracts with allocated funds for group deferred annuity?	No
Are there contracts with allocated funds for types other than group deferred annuity or individual?	No
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Contracts With Unallocated Funds Deposit Administration	0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?	No
Are there contracts with unallocated funds for contracts of type guaranteed investment?	No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	Yes
Health Insurance Welfare Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
Were dividends or retroactive rate refunds paid in cash?	No
Were dividends or retroactive rate refunds paid as a credit?	No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No

VOYA RETIRIEMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 86509 )

Policy contract number

887136

Policy instance

Insurance contract or identification number	887136
Number of Individuals Covered	1136
Insurance policy start date	2010-01-01
Insurance policy end date	2010-12-31
Total amount of commissions paid to insurance broker	USD $227,325
Total amount of fees paid to insurance company	USD $0
Are there contracts with allocated funds for individual policies?	No
Are there contracts with allocated funds for group deferred annuity?	No
Are there contracts with allocated funds for types other than group deferred annuity or individual?	No
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Contracts With Unallocated Funds Deposit Administration	0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?	No
Are there contracts with unallocated funds for contracts of type guaranteed investment?	No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	Yes
Health Insurance Welfare Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
Were dividends or retroactive rate refunds paid in cash?	No
Were dividends or retroactive rate refunds paid as a credit?	No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No

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Company Name:	ROTHSTEIN KASS
Employer identification number (EIN):	222131009
NAIC Classification:	541211
NAIC Description:	Offices of Certified Public Accountants