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SOLOMONEDWARDSGROUP, LLC 401(K) SAVINGS PLAN 401k Plan overview

Plan NameSOLOMONEDWARDSGROUP, LLC 401(K) SAVINGS PLAN
Plan identification number 001

SOLOMONEDWARDSGROUP, LLC 401(K) SAVINGS PLAN Benefits

401k Plan TypeDefined 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.
  • Plan provides for automatic enrollment in plan that has employee contributions deducted from payroll.
  • 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.
  • Plan sponsor(s) is (are) a member(s) of a controlled group (Code sections 414(b), (c), or (m)).

401k Sponsoring company profile

SOLOMONEDWARDS GROUP, LLC has sponsored the creation of one or more 401k plans.

Company Name:SOLOMONEDWARDS GROUP, LLC
Employer identification number (EIN):233010383
NAIC Classification:561300

Additional information about SOLOMONEDWARDS GROUP, LLC

Jurisdiction of Incorporation: State of Delaware Division of Corporations
Incorporation Date:
Company Identification Number: 3034447

More information about SOLOMONEDWARDS GROUP, LLC

Form 5500 Filing Information

Submission information for form 5500 for 401k plan SOLOMONEDWARDSGROUP, LLC 401(K) SAVINGS PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator SignedName of Company SponsorDate Sponsor Signed
0012023-01-01
0012022-01-01
0012021-01-01
0012020-01-01
0012019-01-01
0012018-01-01
0012017-01-01MARK L RIPPEL MARIO PATONE2018-10-12
0012016-01-01MARK L. RIPPEL
0012015-01-01MARK L. RIPPEL
0012014-01-01NANCY MAZZONE
0012013-01-01EDWARD BAUMSTEIN
0012012-01-01ROBERT BERMON SOLOMONEDWARDSGROUP, LLC2013-10-10
0012011-01-01ROBERT BERMON
0012010-01-01EDWARD BAUMSTEIN
0012009-01-01EDWARD BAUMSTEIN

Plan Statistics for SOLOMONEDWARDSGROUP, LLC 401(K) SAVINGS PLAN

401k plan membership statisitcs for SOLOMONEDWARDSGROUP, LLC 401(K) SAVINGS PLAN

Measure Date Value
2023: SOLOMONEDWARDSGROUP, LLC 401(K) SAVINGS PLAN 2023 401k membership
Total participants, beginning-of-year2023-01-01744
Total number of active participants reported on line 7a of the Form 55002023-01-01386
Number of retired or separated participants receiving benefits2023-01-0114
Number of other retired or separated participants entitled to future benefits2023-01-01256
Total of all active and inactive participants2023-01-01656
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2023-01-010
Total participants2023-01-01656
Number of participants with account balances2023-01-01455
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2023-01-0121
2022: SOLOMONEDWARDSGROUP, LLC 401(K) SAVINGS PLAN 2022 401k membership
Total participants, beginning-of-year2022-01-01836
Total number of active participants reported on line 7a of the Form 55002022-01-01443
Number of retired or separated participants receiving benefits2022-01-0114
Number of other retired or separated participants entitled to future benefits2022-01-01248
Total of all active and inactive participants2022-01-01705
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2022-01-010
Total participants2022-01-01705
Number of participants with account balances2022-01-01454
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2022-01-0119
2021: SOLOMONEDWARDSGROUP, LLC 401(K) SAVINGS PLAN 2021 401k membership
Total participants, beginning-of-year2021-01-01732
Total number of active participants reported on line 7a of the Form 55002021-01-01558
Number of retired or separated participants receiving benefits2021-01-0111
Number of other retired or separated participants entitled to future benefits2021-01-01240
Total of all active and inactive participants2021-01-01809
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2021-01-010
Total participants2021-01-01809
Number of participants with account balances2021-01-01430
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2021-01-0115
2020: SOLOMONEDWARDSGROUP, LLC 401(K) SAVINGS PLAN 2020 401k membership
Total participants, beginning-of-year2020-01-01759
Total number of active participants reported on line 7a of the Form 55002020-01-01451
Number of retired or separated participants receiving benefits2020-01-0111
Number of other retired or separated participants entitled to future benefits2020-01-01230
Total of all active and inactive participants2020-01-01692
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2020-01-010
Total participants2020-01-01692
Number of participants with account balances2020-01-01398
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2020-01-0126
2019: SOLOMONEDWARDSGROUP, LLC 401(K) SAVINGS PLAN 2019 401k membership
Total participants, beginning-of-year2019-01-01756
Total number of active participants reported on line 7a of the Form 55002019-01-01498
Number of retired or separated participants receiving benefits2019-01-0122
Number of other retired or separated participants entitled to future benefits2019-01-01239
Total of all active and inactive participants2019-01-01759
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2019-01-010
Total participants2019-01-01759
Number of participants with account balances2019-01-01437
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2019-01-0134
2018: SOLOMONEDWARDSGROUP, LLC 401(K) SAVINGS PLAN 2018 401k membership
Total participants, beginning-of-year2018-01-01643
Total number of active participants reported on line 7a of the Form 55002018-01-01480
Number of retired or separated participants receiving benefits2018-01-0114
Number of other retired or separated participants entitled to future benefits2018-01-01235
Total of all active and inactive participants2018-01-01729
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2018-01-010
Total participants2018-01-01729
Number of participants with account balances2018-01-01422
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2018-01-0139
2017: SOLOMONEDWARDSGROUP, LLC 401(K) SAVINGS PLAN 2017 401k membership
Total participants, beginning-of-year2017-01-01739
Total number of active participants reported on line 7a of the Form 55002017-01-01260
Number of retired or separated participants receiving benefits2017-01-011
Number of other retired or separated participants entitled to future benefits2017-01-01273
Total of all active and inactive participants2017-01-01534
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2017-01-010
Total participants2017-01-01534
Number of participants with account balances2017-01-01440
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2017-01-0110
2016: SOLOMONEDWARDSGROUP, LLC 401(K) SAVINGS PLAN 2016 401k membership
Total participants, beginning-of-year2016-01-01902
Total number of active participants reported on line 7a of the Form 55002016-01-01309
Number of retired or separated participants receiving benefits2016-01-010
Number of other retired or separated participants entitled to future benefits2016-01-01429
Total of all active and inactive participants2016-01-01738
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2016-01-011
Total participants2016-01-01739
Number of participants with account balances2016-01-01637
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2016-01-0131
2015: SOLOMONEDWARDSGROUP, LLC 401(K) SAVINGS PLAN 2015 401k membership
Total participants, beginning-of-year2015-01-01843
Total number of active participants reported on line 7a of the Form 55002015-01-01469
Number of retired or separated participants receiving benefits2015-01-010
Number of other retired or separated participants entitled to future benefits2015-01-01430
Total of all active and inactive participants2015-01-01899
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2015-01-010
Total participants2015-01-01899
Number of participants with account balances2015-01-01699
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2015-01-0163
2014: SOLOMONEDWARDSGROUP, LLC 401(K) SAVINGS PLAN 2014 401k membership
Total participants, beginning-of-year2014-01-01685
Total number of active participants reported on line 7a of the Form 55002014-01-01540
Number of retired or separated participants receiving benefits2014-01-010
Number of other retired or separated participants entitled to future benefits2014-01-01298
Total of all active and inactive participants2014-01-01838
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2014-01-010
Total participants2014-01-01838
Number of participants with account balances2014-01-01651
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2014-01-0141
2013: SOLOMONEDWARDSGROUP, LLC 401(K) SAVINGS PLAN 2013 401k membership
Total participants, beginning-of-year2013-01-01729
Total number of active participants reported on line 7a of the Form 55002013-01-01270
Number of retired or separated participants receiving benefits2013-01-010
Number of other retired or separated participants entitled to future benefits2013-01-01400
Total of all active and inactive participants2013-01-01670
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2013-01-010
Total participants2013-01-01670
Number of participants with account balances2013-01-01608
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2013-01-01222
2012: SOLOMONEDWARDSGROUP, LLC 401(K) SAVINGS PLAN 2012 401k membership
Total participants, beginning-of-year2012-01-01393
Total number of active participants reported on line 7a of the Form 55002012-01-01334
Number of retired or separated participants receiving benefits2012-01-010
Number of other retired or separated participants entitled to future benefits2012-01-01242
Total of all active and inactive participants2012-01-01576
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2012-01-010
Total participants2012-01-01576
Number of participants with account balances2012-01-01469
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2012-01-0156
2011: SOLOMONEDWARDSGROUP, LLC 401(K) SAVINGS PLAN 2011 401k membership
Total participants, beginning-of-year2011-01-01492
Total number of active participants reported on line 7a of the Form 55002011-01-01245
Number of retired or separated participants receiving benefits2011-01-010
Number of other retired or separated participants entitled to future benefits2011-01-01148
Total of all active and inactive participants2011-01-01393
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2011-01-010
Total participants2011-01-01393
Number of participants with account balances2011-01-01347
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2011-01-0132
2010: SOLOMONEDWARDSGROUP, LLC 401(K) SAVINGS PLAN 2010 401k membership
Total participants, beginning-of-year2010-01-01380
Total number of active participants reported on line 7a of the Form 55002010-01-01204
Number of retired or separated participants receiving benefits2010-01-010
Number of other retired or separated participants entitled to future benefits2010-01-01288
Total of all active and inactive participants2010-01-01492
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2010-01-010
Total participants2010-01-01492
Number of participants with account balances2010-01-01449
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2010-01-0171
2009: SOLOMONEDWARDSGROUP, LLC 401(K) SAVINGS PLAN 2009 401k membership
Total participants, beginning-of-year2009-01-01442
Total number of active participants reported on line 7a of the Form 55002009-01-01152
Number of retired or separated participants receiving benefits2009-01-010
Number of other retired or separated participants entitled to future benefits2009-01-01228
Total of all active and inactive participants2009-01-01380
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2009-01-010
Total participants2009-01-01380
Number of participants with account balances2009-01-01358
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2009-01-010

Financial Data on SOLOMONEDWARDSGROUP, LLC 401(K) SAVINGS PLAN

Measure Date Value
2023 : SOLOMONEDWARDSGROUP, LLC 401(K) SAVINGS PLAN 2023 401k financial data
Total unrealized appreciation/depreciation of assets2023-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2023-12-31$13,066
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2023-12-31$0
Total income from all sources (including contributions)2023-12-31$8,996,195
Total loss/gain on sale of assets2023-12-31$0
Total of all expenses incurred2023-12-31$3,822,986
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2023-12-31$3,632,782
Expenses. Certain deemed distributions of participant loans2023-12-31$0
Value of total corrective distributions2023-12-31$0
Total contributions o plan (from employers,participants, others, non cash contrinutions)2023-12-31$4,311,258
Value of total assets at end of year2023-12-31$39,271,148
Value of total assets at beginning of year2023-12-31$34,084,873
Total of administrative expenses incurred including professional, contract, advisory and management fees2023-12-31$190,204
Total interest from all sources2023-12-31$116,155
Total dividends received (eg from common stock, registered investment company shares)2023-12-31$947,562
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2023-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2023-12-31$947,562
Was this plan covered by a fidelity bond2023-12-31Yes
Value of fidelity bond cover2023-12-31$500,000
If this is an individual account plan, was there a blackout period2023-12-31No
Were there any nonexempt tranactions with any party-in-interest2023-12-31No
Contributions received from participants2023-12-31$3,076,248
Participant contributions at end of year2023-12-31$230,690
Participant contributions at beginning of year2023-12-31$290,756
Income. Received or receivable in cash from other sources (including rollovers)2023-12-31$879,754
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year2023-12-31$13,066
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year2023-12-31$0
Other income not declared elsewhere2023-12-31$80,684
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2023-12-31No
Value of net income/loss2023-12-31$5,173,209
Value of net assets at end of year (total assets less liabilities)2023-12-31$39,258,082
Value of net assets at beginning of year (total assets less liabilities)2023-12-31$34,084,873
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2023-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2023-12-31No
Were any leases to which the plan was party in default or uncollectible2023-12-31No
Investment advisory and management fees2023-12-31$80,684
Value of interest in registered invesment companies (eg mutual funds) at end of year2023-12-31$33,917,336
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2023-12-31$29,052,586
Interest on participant loans2023-12-31$15,445
Interest earned on other investments2023-12-31$100,710
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2023-12-31$5,123,122
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2023-12-31$4,741,531
Net investment gain/loss from registered investment companies (e.g. mutual funds)2023-12-31$3,540,536
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2023-12-31No
Was there a failure to transmit to the plan any participant contributions2023-12-31No
Has the plan failed to provide any benefit when due under the plan2023-12-31No
Contributions received in cash from employer2023-12-31$355,256
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2023-12-31$3,632,782
Contract administrator fees2023-12-31$109,520
Did the plan have assets held for investment2023-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2023-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2023-12-31No
Opinion of an independent qualified public accountant for this plan2023-12-31Unqualified
Accountancy firm name2023-12-31KREISCHER MILLER
Accountancy firm EIN2023-12-31231980475
2022 : SOLOMONEDWARDSGROUP, LLC 401(K) SAVINGS PLAN 2022 401k financial data
Total unrealized appreciation/depreciation of assets2022-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2022-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2022-12-31$8,901
Total income from all sources (including contributions)2022-12-31$-1,734,543
Total loss/gain on sale of assets2022-12-31$0
Total of all expenses incurred2022-12-31$3,293,944
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2022-12-31$3,076,697
Expenses. Certain deemed distributions of participant loans2022-12-31$42,521
Value of total corrective distributions2022-12-31$750
Total contributions o plan (from employers,participants, others, non cash contrinutions)2022-12-31$3,278,101
Value of total assets at end of year2022-12-31$34,084,873
Value of total assets at beginning of year2022-12-31$39,122,261
Total of administrative expenses incurred including professional, contract, advisory and management fees2022-12-31$173,976
Total interest from all sources2022-12-31$77,645
Total dividends received (eg from common stock, registered investment company shares)2022-12-31$875,036
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2022-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2022-12-31$875,036
Was this plan covered by a fidelity bond2022-12-31Yes
Value of fidelity bond cover2022-12-31$500,000
If this is an individual account plan, was there a blackout period2022-12-31No
Were there any nonexempt tranactions with any party-in-interest2022-12-31No
Contributions received from participants2022-12-31$2,793,881
Participant contributions at end of year2022-12-31$290,756
Participant contributions at beginning of year2022-12-31$262,653
Income. Received or receivable in cash from other sources (including rollovers)2022-12-31$191,895
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year2022-12-31$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year2022-12-31$8,901
Other income not declared elsewhere2022-12-31$71,224
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2022-12-31No
Value of net income/loss2022-12-31$-5,028,487
Value of net assets at end of year (total assets less liabilities)2022-12-31$34,084,873
Value of net assets at beginning of year (total assets less liabilities)2022-12-31$39,113,360
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2022-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2022-12-31No
Were any leases to which the plan was party in default or uncollectible2022-12-31No
Investment advisory and management fees2022-12-31$71,224
Value of interest in registered invesment companies (eg mutual funds) at end of year2022-12-31$29,052,586
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2022-12-31$33,748,070
Interest on participant loans2022-12-31$14,977
Interest earned on other investments2022-12-31$62,668
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2022-12-31$4,741,531
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2022-12-31$5,111,538
Net investment gain/loss from registered investment companies (e.g. mutual funds)2022-12-31$-6,036,549
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2022-12-31No
Was there a failure to transmit to the plan any participant contributions2022-12-31No
Has the plan failed to provide any benefit when due under the plan2022-12-31No
Contributions received in cash from employer2022-12-31$292,325
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2022-12-31$3,076,697
Contract administrator fees2022-12-31$102,752
Did the plan have assets held for investment2022-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2022-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2022-12-31No
Opinion of an independent qualified public accountant for this plan2022-12-31Unqualified
Accountancy firm name2022-12-31KREISCHER MILLER
Accountancy firm EIN2022-12-31231980475
2021 : SOLOMONEDWARDSGROUP, LLC 401(K) SAVINGS PLAN 2021 401k financial data
Total unrealized appreciation/depreciation of assets2021-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2021-12-31$8,901
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2021-12-31$5,985
Total income from all sources (including contributions)2021-12-31$7,228,698
Total loss/gain on sale of assets2021-12-31$0
Total of all expenses incurred2021-12-31$2,681,322
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2021-12-31$2,503,929
Total contributions o plan (from employers,participants, others, non cash contrinutions)2021-12-31$2,867,334
Value of total assets at end of year2021-12-31$39,122,261
Value of total assets at beginning of year2021-12-31$34,571,969
Total of administrative expenses incurred including professional, contract, advisory and management fees2021-12-31$177,393
Total interest from all sources2021-12-31$72,064
Total dividends received (eg from common stock, registered investment company shares)2021-12-31$1,027,855
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2021-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2021-12-31$1,027,855
Was this plan covered by a fidelity bond2021-12-31Yes
Value of fidelity bond cover2021-12-31$500,000
If this is an individual account plan, was there a blackout period2021-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2021-12-31$0
Were there any nonexempt tranactions with any party-in-interest2021-12-31No
Contributions received from participants2021-12-31$2,536,152
Participant contributions at end of year2021-12-31$262,653
Participant contributions at beginning of year2021-12-31$274,203
Participant contributions at end of year2021-12-31$0
Participant contributions at beginning of year2021-12-31$35,883
Income. Received or receivable in cash from other sources (including rollovers)2021-12-31$198,179
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year2021-12-31$8,901
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year2021-12-31$5,985
Other income not declared elsewhere2021-12-31$72,170
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2021-12-31No
Value of net income/loss2021-12-31$4,547,376
Value of net assets at end of year (total assets less liabilities)2021-12-31$39,113,360
Value of net assets at beginning of year (total assets less liabilities)2021-12-31$34,565,984
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2021-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2021-12-31No
Were any leases to which the plan was party in default or uncollectible2021-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2021-12-31$33,748,070
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2021-12-31$29,619,163
Interest on participant loans2021-12-31$15,172
Interest earned on other investments2021-12-31$56,892
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2021-12-31$5,111,538
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2021-12-31$4,620,307
Net investment gain/loss from registered investment companies (e.g. mutual funds)2021-12-31$3,189,275
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2021-12-31No
Was there a failure to transmit to the plan any participant contributions2021-12-31Yes
Has the plan failed to provide any benefit when due under the plan2021-12-31No
Contributions received in cash from employer2021-12-31$133,003
Employer contributions (assets) at end of year2021-12-31$0
Employer contributions (assets) at beginning of year2021-12-31$22,413
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2021-12-31$2,503,929
Contract administrator fees2021-12-31$177,393
Did the plan have assets held for investment2021-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2021-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2021-12-31No
Opinion of an independent qualified public accountant for this plan2021-12-31Unqualified
Accountancy firm name2021-12-31KREISCHER MILLER
Accountancy firm EIN2021-12-31231980475
2020 : SOLOMONEDWARDSGROUP, LLC 401(K) SAVINGS PLAN 2020 401k financial data
Total unrealized appreciation/depreciation of assets2020-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2020-12-31$5,985
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2020-12-31$80,680
Total income from all sources (including contributions)2020-12-31$6,127,132
Total loss/gain on sale of assets2020-12-31$0
Total of all expenses incurred2020-12-31$3,793,784
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2020-12-31$3,647,474
Value of total corrective distributions2020-12-31$7,861
Total contributions o plan (from employers,participants, others, non cash contrinutions)2020-12-31$2,587,896
Value of total assets at end of year2020-12-31$34,571,969
Value of total assets at beginning of year2020-12-31$32,313,316
Total of administrative expenses incurred including professional, contract, advisory and management fees2020-12-31$138,449
Total interest from all sources2020-12-31$86,894
Total dividends received (eg from common stock, registered investment company shares)2020-12-31$754,897
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2020-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2020-12-31$754,897
Was this plan covered by a fidelity bond2020-12-31Yes
Value of fidelity bond cover2020-12-31$500,000
If this is an individual account plan, was there a blackout period2020-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2020-12-31$0
Were there any nonexempt tranactions with any party-in-interest2020-12-31No
Contributions received from participants2020-12-31$2,244,007
Participant contributions at end of year2020-12-31$274,203
Participant contributions at beginning of year2020-12-31$333,961
Participant contributions at end of year2020-12-31$35,883
Participant contributions at beginning of year2020-12-31$31,705
Income. Received or receivable in cash from other sources (including rollovers)2020-12-31$255,919
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year2020-12-31$5,985
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year2020-12-31$80,680
Other income not declared elsewhere2020-12-31$46,642
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2020-12-31No
Value of net income/loss2020-12-31$2,333,348
Value of net assets at end of year (total assets less liabilities)2020-12-31$34,565,984
Value of net assets at beginning of year (total assets less liabilities)2020-12-31$32,232,636
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2020-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2020-12-31No
Were any leases to which the plan was party in default or uncollectible2020-12-31No
Investment advisory and management fees2020-12-31$46,642
Value of interest in registered invesment companies (eg mutual funds) at end of year2020-12-31$29,619,163
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2020-12-31$27,488,509
Interest on participant loans2020-12-31$16,500
Interest earned on other investments2020-12-31$70,394
Value of interest in common/collective trusts at end of year2020-12-31$0
Value of interest in common/collective trusts at beginning of year2020-12-31$0
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2020-12-31$4,620,307
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2020-12-31$4,437,727
Net investment gain/loss from registered investment companies (e.g. mutual funds)2020-12-31$2,650,803
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2020-12-31No
Was there a failure to transmit to the plan any participant contributions2020-12-31Yes
Has the plan failed to provide any benefit when due under the plan2020-12-31No
Contributions received in cash from employer2020-12-31$87,970
Employer contributions (assets) at end of year2020-12-31$22,413
Employer contributions (assets) at beginning of year2020-12-31$21,414
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2020-12-31$3,647,474
Contract administrator fees2020-12-31$91,807
Liabilities. Value of benefit claims payable at end of year2020-12-31$0
Liabilities. Value of benefit claims payable at beginning of year2020-12-31$0
Did the plan have assets held for investment2020-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2020-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2020-12-31No
Opinion of an independent qualified public accountant for this plan2020-12-31Disclaimer
Accountancy firm name2020-12-31KREISCHER MILLER
Accountancy firm EIN2020-12-31231980475
2019 : SOLOMONEDWARDSGROUP, LLC 401(K) SAVINGS PLAN 2019 401k financial data
Total unrealized appreciation/depreciation of assets2019-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2019-12-31$80,680
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2019-12-31$0
Total income from all sources (including contributions)2019-12-31$8,250,132
Total loss/gain on sale of assets2019-12-31$0
Total of all expenses incurred2019-12-31$3,030,179
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2019-12-31$2,880,497
Value of total corrective distributions2019-12-31$1,559
Total contributions o plan (from employers,participants, others, non cash contrinutions)2019-12-31$3,661,071
Value of total assets at end of year2019-12-31$32,313,316
Value of total assets at beginning of year2019-12-31$27,012,683
Total of administrative expenses incurred including professional, contract, advisory and management fees2019-12-31$148,123
Total interest from all sources2019-12-31$18,226
Total dividends received (eg from common stock, registered investment company shares)2019-12-31$784,968
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2019-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2019-12-31$784,968
Was this plan covered by a fidelity bond2019-12-31Yes
Value of fidelity bond cover2019-12-31$500,000
If this is an individual account plan, was there a blackout period2019-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2019-12-31$0
Were there any nonexempt tranactions with any party-in-interest2019-12-31No
Contributions received from participants2019-12-31$2,271,662
Participant contributions at end of year2019-12-31$333,961
Participant contributions at beginning of year2019-12-31$383,991
Participant contributions at end of year2019-12-31$31,705
Participant contributions at beginning of year2019-12-31$31,224
Income. Received or receivable in cash from other sources (including rollovers)2019-12-31$1,257,983
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year2019-12-31$80,680
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year2019-12-31$0
Other income not declared elsewhere2019-12-31$56,770
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2019-12-31No
Value of net income/loss2019-12-31$5,219,953
Value of net assets at end of year (total assets less liabilities)2019-12-31$32,232,636
Value of net assets at beginning of year (total assets less liabilities)2019-12-31$27,012,683
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2019-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2019-12-31No
Were any leases to which the plan was party in default or uncollectible2019-12-31No
Investment advisory and management fees2019-12-31$56,770
Value of interest in registered invesment companies (eg mutual funds) at end of year2019-12-31$27,488,509
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2019-12-31$22,888,240
Interest on participant loans2019-12-31$18,226
Interest earned on other investments2019-12-31$0
Value of interest in common/collective trusts at end of year2019-12-31$0
Value of interest in common/collective trusts at beginning of year2019-12-31$0
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2019-12-31$4,437,727
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2019-12-31$3,667,521
Net investment gain/loss from registered investment companies (e.g. mutual funds)2019-12-31$3,729,097
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2019-12-31No
Was there a failure to transmit to the plan any participant contributions2019-12-31Yes
Has the plan failed to provide any benefit when due under the plan2019-12-31No
Contributions received in cash from employer2019-12-31$131,426
Employer contributions (assets) at end of year2019-12-31$21,414
Employer contributions (assets) at beginning of year2019-12-31$41,707
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2019-12-31$2,880,497
Contract administrator fees2019-12-31$91,353
Liabilities. Value of benefit claims payable at end of year2019-12-31$0
Liabilities. Value of benefit claims payable at beginning of year2019-12-31$0
Did the plan have assets held for investment2019-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2019-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2019-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2019-12-31Yes
Opinion of an independent qualified public accountant for this plan2019-12-31Disclaimer
Accountancy firm name2019-12-31KREISCHER MILLER
Accountancy firm EIN2019-12-31231980475
2018 : SOLOMONEDWARDSGROUP, LLC 401(K) SAVINGS PLAN 2018 401k financial data
Total unrealized appreciation/depreciation of assets2018-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2018-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2018-12-31$0
Total income from all sources (including contributions)2018-12-31$1,443,378
Total loss/gain on sale of assets2018-12-31$0
Total of all expenses incurred2018-12-31$3,936,554
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2018-12-31$3,843,934
Expenses. Certain deemed distributions of participant loans2018-12-31$5,287
Total contributions o plan (from employers,participants, others, non cash contrinutions)2018-12-31$2,613,351
Value of total assets at end of year2018-12-31$27,012,683
Value of total assets at beginning of year2018-12-31$29,505,859
Total of administrative expenses incurred including professional, contract, advisory and management fees2018-12-31$87,333
Total interest from all sources2018-12-31$85,201
Total dividends received (eg from common stock, registered investment company shares)2018-12-31$770,197
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2018-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2018-12-31$770,197
Was this plan covered by a fidelity bond2018-12-31Yes
Value of fidelity bond cover2018-12-31$500,000
If this is an individual account plan, was there a blackout period2018-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2018-12-31$0
Were there any nonexempt tranactions with any party-in-interest2018-12-31No
Contributions received from participants2018-12-31$2,136,920
Participant contributions at end of year2018-12-31$383,991
Participant contributions at beginning of year2018-12-31$450,909
Participant contributions at end of year2018-12-31$31,224
Participant contributions at beginning of year2018-12-31$57,817
Income. Received or receivable in cash from other sources (including rollovers)2018-12-31$324,814
Other income not declared elsewhere2018-12-31$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2018-12-31No
Value of net income/loss2018-12-31$-2,493,176
Value of net assets at end of year (total assets less liabilities)2018-12-31$27,012,683
Value of net assets at beginning of year (total assets less liabilities)2018-12-31$29,505,859
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2018-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2018-12-31No
Were any leases to which the plan was party in default or uncollectible2018-12-31No
Investment advisory and management fees2018-12-31$0
Value of interest in registered invesment companies (eg mutual funds) at end of year2018-12-31$22,888,240
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2018-12-31$25,107,528
Interest on participant loans2018-12-31$21,224
Interest earned on other investments2018-12-31$63,977
Value of interest in common/collective trusts at end of year2018-12-31$0
Value of interest in common/collective trusts at beginning of year2018-12-31$0
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2018-12-31$3,667,521
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2018-12-31$3,889,605
Net investment gain/loss from registered investment companies (e.g. mutual funds)2018-12-31$-2,025,371
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2018-12-31No
Was there a failure to transmit to the plan any participant contributions2018-12-31No
Has the plan failed to provide any benefit when due under the plan2018-12-31No
Contributions received in cash from employer2018-12-31$151,617
Employer contributions (assets) at end of year2018-12-31$41,707
Employer contributions (assets) at beginning of year2018-12-31$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2018-12-31$3,843,934
Contract administrator fees2018-12-31$87,333
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-32018-12-31Yes
Liabilities. Value of benefit claims payable at end of year2018-12-31$0
Liabilities. Value of benefit claims payable at beginning of year2018-12-31$0
Did the plan have assets held for investment2018-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2018-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2018-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2018-12-31Yes
Opinion of an independent qualified public accountant for this plan2018-12-31Disclaimer
Accountancy firm name2018-12-31KREISCHER MILLER
Accountancy firm EIN2018-12-31231980475
2017 : SOLOMONEDWARDSGROUP, LLC 401(K) SAVINGS PLAN 2017 401k financial data
Total unrealized appreciation/depreciation of assets2017-12-31$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$7,355
Total income from all sources (including contributions)2017-12-31$6,025,263
Total loss/gain on sale of assets2017-12-31$0
Total of all expenses incurred2017-12-31$6,065,458
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2017-12-31$5,775,448
Expenses. Certain deemed distributions of participant loans2017-12-31$152,141
Total contributions o plan (from employers,participants, others, non cash contrinutions)2017-12-31$2,128,260
Value of total assets at end of year2017-12-31$29,505,859
Value of total assets at beginning of year2017-12-31$29,553,409
Total of administrative expenses incurred including professional, contract, advisory and management fees2017-12-31$137,869
Total interest from all sources2017-12-31$20,295
Total dividends received (eg from common stock, registered investment company shares)2017-12-31$604,874
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2017-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2017-12-31$604,874
Was this plan covered by a fidelity bond2017-12-31Yes
Value of fidelity bond cover2017-12-31$500,000
If this is an individual account plan, was there a blackout period2017-12-31Yes
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2017-12-31$0
Were there any nonexempt tranactions with any party-in-interest2017-12-31No
Contributions received from participants2017-12-31$2,076,734
Participant contributions at end of year2017-12-31$450,909
Participant contributions at beginning of year2017-12-31$601,759
Participant contributions at end of year2017-12-31$57,817
Participant contributions at beginning of year2017-12-31$30,562
Income. Received or receivable in cash from other sources (including rollovers)2017-12-31$51,526
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2017-12-31No
Value of net income/loss2017-12-31$-40,195
Value of net assets at end of year (total assets less liabilities)2017-12-31$29,505,859
Value of net assets at beginning of year (total assets less liabilities)2017-12-31$29,546,054
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2017-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2017-12-31No
Were any leases to which the plan was party in default or uncollectible2017-12-31No
Investment advisory and management fees2017-12-31$14,672
Value of interest in registered invesment companies (eg mutual funds) at end of year2017-12-31$25,107,528
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2017-12-31$26,535,694
Interest on participant loans2017-12-31$20,295
Value of interest in common/collective trusts at end of year2017-12-31$0
Value of interest in common/collective trusts at beginning of year2017-12-31$2,385,394
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2017-12-31$3,889,605
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2017-12-31$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)2017-12-31$3,271,834
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2017-12-31No
Was there a failure to transmit to the plan any participant contributions2017-12-31Yes
Has the plan failed to provide any benefit when due under the plan2017-12-31No
Contributions received in cash from employer2017-12-31$0
Employer contributions (assets) at end of year2017-12-31$0
Employer contributions (assets) at beginning of year2017-12-31$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2017-12-31$5,775,448
Contract administrator fees2017-12-31$123,197
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-32017-12-31Yes
Liabilities. Value of benefit claims payable at end of year2017-12-31$0
Liabilities. Value of benefit claims payable at beginning of year2017-12-31$7,355
Did the plan have assets held for investment2017-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2017-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2017-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2017-12-31Yes
Opinion of an independent qualified public accountant for this plan2017-12-31Disclaimer
Accountancy firm name2017-12-31KREISCHER MILLER
Accountancy firm EIN2017-12-31231980475
2016 : SOLOMONEDWARDSGROUP, LLC 401(K) SAVINGS PLAN 2016 401k financial data
Total unrealized appreciation/depreciation of assets2016-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2016-12-31$7,355
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2016-12-31$170,848
Total income from all sources (including contributions)2016-12-31$4,980,095
Total loss/gain on sale of assets2016-12-31$0
Total of all expenses incurred2016-12-31$3,716,200
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2016-12-31$3,629,252
Total contributions o plan (from employers,participants, others, non cash contrinutions)2016-12-31$2,573,982
Value of total assets at end of year2016-12-31$29,553,409
Value of total assets at beginning of year2016-12-31$28,453,007
Total of administrative expenses incurred including professional, contract, advisory and management fees2016-12-31$86,948
Total interest from all sources2016-12-31$18,193
Total dividends received (eg from common stock, registered investment company shares)2016-12-31$471,252
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2016-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2016-12-31$471,252
Was this plan covered by a fidelity bond2016-12-31Yes
Value of fidelity bond cover2016-12-31$500,000
If this is an individual account plan, was there a blackout period2016-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2016-12-31$0
Were there any nonexempt tranactions with any party-in-interest2016-12-31No
Contributions received from participants2016-12-31$2,453,779
Participant contributions at end of year2016-12-31$601,759
Participant contributions at beginning of year2016-12-31$486,795
Participant contributions at end of year2016-12-31$30,562
Participant contributions at beginning of year2016-12-31$62,735
Income. Received or receivable in cash from other sources (including rollovers)2016-12-31$120,203
Administrative expenses (other) incurred2016-12-31$42
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2016-12-31No
Value of net income/loss2016-12-31$1,263,895
Value of net assets at end of year (total assets less liabilities)2016-12-31$29,546,054
Value of net assets at beginning of year (total assets less liabilities)2016-12-31$28,282,159
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2016-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2016-12-31No
Were any leases to which the plan was party in default or uncollectible2016-12-31No
Investment advisory and management fees2016-12-31$47,642
Value of interest in registered invesment companies (eg mutual funds) at end of year2016-12-31$26,535,694
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2016-12-31$25,507,065
Interest on participant loans2016-12-31$18,193
Income. Interest from loans (other than to participants)2016-12-31$0
Value of interest in common/collective trusts at end of year2016-12-31$2,385,394
Value of interest in common/collective trusts at beginning of year2016-12-31$2,247,320
Net investment gain/loss from registered investment companies (e.g. mutual funds)2016-12-31$1,886,083
Net investment gain or loss from common/collective trusts2016-12-31$30,585
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2016-12-31No
Was there a failure to transmit to the plan any participant contributions2016-12-31Yes
Has the plan failed to provide any benefit when due under the plan2016-12-31No
Contributions received in cash from employer2016-12-31$0
Employer contributions (assets) at end of year2016-12-31$0
Employer contributions (assets) at beginning of year2016-12-31$149,092
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2016-12-31$3,629,252
Contract administrator fees2016-12-31$39,264
Liabilities. Value of benefit claims payable at end of year2016-12-31$7,355
Liabilities. Value of benefit claims payable at beginning of year2016-12-31$170,848
Did the plan have assets held for investment2016-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2016-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2016-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2016-12-31Yes
Opinion of an independent qualified public accountant for this plan2016-12-31Disclaimer
Accountancy firm name2016-12-31KREISCHER MILLER
Accountancy firm EIN2016-12-31231980475
2015 : SOLOMONEDWARDSGROUP, LLC 401(K) SAVINGS PLAN 2015 401k financial data
Total unrealized appreciation/depreciation of assets2015-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2015-12-31$170,848
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2015-12-31$166,727
Total income from all sources (including contributions)2015-12-31$3,186,173
Total loss/gain on sale of assets2015-12-31$0
Total of all expenses incurred2015-12-31$3,194,178
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2015-12-31$3,092,765
Total contributions o plan (from employers,participants, others, non cash contrinutions)2015-12-31$3,497,885
Value of total assets at end of year2015-12-31$28,453,007
Value of total assets at beginning of year2015-12-31$28,456,891
Total of administrative expenses incurred including professional, contract, advisory and management fees2015-12-31$101,413
Total interest from all sources2015-12-31$14,127
Total dividends received (eg from common stock, registered investment company shares)2015-12-31$459,839
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2015-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2015-12-31$459,839
Was this plan covered by a fidelity bond2015-12-31Yes
Value of fidelity bond cover2015-12-31$500,000
If this is an individual account plan, was there a blackout period2015-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2015-12-31$0
Were there any nonexempt tranactions with any party-in-interest2015-12-31No
Contributions received from participants2015-12-31$2,853,273
Participant contributions at end of year2015-12-31$486,795
Participant contributions at beginning of year2015-12-31$403,502
Participant contributions at end of year2015-12-31$62,735
Participant contributions at beginning of year2015-12-31$98,461
Income. Received or receivable in cash from other sources (including rollovers)2015-12-31$125,520
Administrative expenses (other) incurred2015-12-31$13
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2015-12-31No
Value of net income/loss2015-12-31$-8,005
Value of net assets at end of year (total assets less liabilities)2015-12-31$28,282,159
Value of net assets at beginning of year (total assets less liabilities)2015-12-31$28,290,164
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2015-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2015-12-31No
Were any leases to which the plan was party in default or uncollectible2015-12-31No
Investment advisory and management fees2015-12-31$69,810
Value of interest in registered invesment companies (eg mutual funds) at end of year2015-12-31$25,507,065
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2015-12-31$25,795,327
Interest on participant loans2015-12-31$14,127
Value of interest in common/collective trusts at end of year2015-12-31$2,247,320
Value of interest in common/collective trusts at beginning of year2015-12-31$2,134,486
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2015-12-31$0
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2015-12-31$1,219
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2015-12-31$1,219
Net investment gain/loss from registered investment companies (e.g. mutual funds)2015-12-31$-765,913
Net investment gain or loss from common/collective trusts2015-12-31$-19,765
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2015-12-31No
Was there a failure to transmit to the plan any participant contributions2015-12-31No
Has the plan failed to provide any benefit when due under the plan2015-12-31No
Contributions received in cash from employer2015-12-31$519,092
Employer contributions (assets) at end of year2015-12-31$149,092
Employer contributions (assets) at beginning of year2015-12-31$23,896
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2015-12-31$3,092,765
Contract administrator fees2015-12-31$31,590
Liabilities. Value of benefit claims payable at end of year2015-12-31$170,848
Liabilities. Value of benefit claims payable at beginning of year2015-12-31$166,727
Did the plan have assets held for investment2015-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2015-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2015-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2015-12-31Yes
Opinion of an independent qualified public accountant for this plan2015-12-31Disclaimer
Accountancy firm name2015-12-31KREISCHER MILLER
Accountancy firm EIN2015-12-31231980475
2014 : SOLOMONEDWARDSGROUP, LLC 401(K) SAVINGS PLAN 2014 401k financial data
Total unrealized appreciation/depreciation of assets2014-12-31$0
Total transfer of assets to this plan2014-12-31$15,201,654
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2014-12-31$166,727
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2014-12-31$11,827
Total income from all sources (including contributions)2014-12-31$5,865,274
Total loss/gain on sale of assets2014-12-31$0
Total of all expenses incurred2014-12-31$4,108,911
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2014-12-31$4,013,556
Total contributions o plan (from employers,participants, others, non cash contrinutions)2014-12-31$3,724,399
Value of total assets at end of year2014-12-31$28,456,891
Value of total assets at beginning of year2014-12-31$11,343,974
Total of administrative expenses incurred including professional, contract, advisory and management fees2014-12-31$95,355
Total interest from all sources2014-12-31$12,994
Total dividends received (eg from common stock, registered investment company shares)2014-12-31$456,152
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2014-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2014-12-31$456,152
Was this plan covered by a fidelity bond2014-12-31Yes
Value of fidelity bond cover2014-12-31$500,000
If this is an individual account plan, was there a blackout period2014-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2014-12-31$0
Were there any nonexempt tranactions with any party-in-interest2014-12-31No
Contributions received from participants2014-12-31$2,891,329
Participant contributions at end of year2014-12-31$403,502
Participant contributions at beginning of year2014-12-31$240,424
Participant contributions at end of year2014-12-31$98,461
Participant contributions at beginning of year2014-12-31$19,969
Income. Received or receivable in cash from other sources (including rollovers)2014-12-31$285,690
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year2014-12-31$166,727
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year2014-12-31$11,827
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2014-12-31No
Value of net income/loss2014-12-31$1,756,363
Value of net assets at end of year (total assets less liabilities)2014-12-31$28,290,164
Value of net assets at beginning of year (total assets less liabilities)2014-12-31$11,332,147
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2014-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2014-12-31No
Were any leases to which the plan was party in default or uncollectible2014-12-31No
Investment advisory and management fees2014-12-31$44,001
Value of interest in registered invesment companies (eg mutual funds) at end of year2014-12-31$25,795,327
Interest on participant loans2014-12-31$12,994
Value of interest in common/collective trusts at end of year2014-12-31$2,134,486
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2014-12-31$1,219
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2014-12-31$11,052,079
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2014-12-31$11,052,079
Net investment gain/loss from registered investment companies (e.g. mutual funds)2014-12-31$1,620,604
Net investment gain or loss from common/collective trusts2014-12-31$51,125
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2014-12-31No
Was there a failure to transmit to the plan any participant contributions2014-12-31Yes
Has the plan failed to provide any benefit when due under the plan2014-12-31No
Contributions received in cash from employer2014-12-31$547,380
Employer contributions (assets) at end of year2014-12-31$23,896
Employer contributions (assets) at beginning of year2014-12-31$31,502
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2014-12-31$4,013,556
Contract administrator fees2014-12-31$51,354
Did the plan have assets held for investment2014-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2014-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2014-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2014-12-31Yes
Opinion of an independent qualified public accountant for this plan2014-12-31Disclaimer
Accountancy firm name2014-12-31KREISCHER MILLER
Accountancy firm EIN2014-12-31231980475
2013 : SOLOMONEDWARDSGROUP, LLC 401(K) SAVINGS PLAN 2013 401k financial data
Total unrealized appreciation/depreciation of assets2013-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2013-12-31$11,827
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2013-12-31$16,218
Total income from all sources (including contributions)2013-12-31$4,305,439
Total loss/gain on sale of assets2013-12-31$0
Total of all expenses incurred2013-12-31$922,859
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2013-12-31$909,459
Total contributions o plan (from employers,participants, others, non cash contrinutions)2013-12-31$2,302,712
Value of total assets at end of year2013-12-31$11,343,974
Value of total assets at beginning of year2013-12-31$7,965,785
Total of administrative expenses incurred including professional, contract, advisory and management fees2013-12-31$13,400
Total interest from all sources2013-12-31$46,673
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 year2013-12-31No
Was this plan covered by a fidelity bond2013-12-31Yes
Value of fidelity bond cover2013-12-31$500,000
If this is an individual account plan, was there a blackout period2013-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2013-12-31$0
Were there any nonexempt tranactions with any party-in-interest2013-12-31No
Contributions received from participants2013-12-31$1,620,202
Participant contributions at end of year2013-12-31$240,424
Participant contributions at beginning of year2013-12-31$110,306
Participant contributions at end of year2013-12-31$19,969
Participant contributions at beginning of year2013-12-31$49,685
Income. Received or receivable in cash from other sources (including rollovers)2013-12-31$424,798
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year2013-12-31$11,827
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year2013-12-31$16,218
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2013-12-31No
Value of net income/loss2013-12-31$3,382,580
Value of net assets at end of year (total assets less liabilities)2013-12-31$11,332,147
Value of net assets at beginning of year (total assets less liabilities)2013-12-31$7,949,567
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2013-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2013-12-31No
Were any leases to which the plan was party in default or uncollectible2013-12-31No
Value of interest in pooled separate accounts at end of year2013-12-31$0
Value of interest in pooled separate accounts at beginning of year2013-12-31$7,227,865
Interest on participant loans2013-12-31$7,186
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2013-12-31$11,052,079
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2013-12-31$0
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2013-12-31$0
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)2013-12-31$39,487
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2013-12-31$0
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2013-12-31$554,894
Net investment gain/loss from registered investment companies (e.g. mutual funds)2013-12-31$1,956,054
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2013-12-31No
Was there a failure to transmit to the plan any participant contributions2013-12-31No
Has the plan failed to provide any benefit when due under the plan2013-12-31No
Contributions received in cash from employer2013-12-31$257,712
Employer contributions (assets) at end of year2013-12-31$31,502
Employer contributions (assets) at beginning of year2013-12-31$23,035
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2013-12-31$909,459
Contract administrator fees2013-12-31$13,400
Did the plan have assets held for investment2013-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2013-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2013-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2013-12-31Yes
Opinion of an independent qualified public accountant for this plan2013-12-31Disclaimer
Accountancy firm name2013-12-31FESNAK & ASSOCIATES
Accountancy firm EIN2013-12-31201974241
2012 : SOLOMONEDWARDSGROUP, LLC 401(K) SAVINGS PLAN 2012 401k financial data
Total unrealized appreciation/depreciation of assets2012-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2012-12-31$16,218
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2012-12-31$12,203
Total income from all sources (including contributions)2012-12-31$2,674,797
Total loss/gain on sale of assets2012-12-31$0
Total of all expenses incurred2012-12-31$500,779
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2012-12-31$479,761
Value of total corrective distributions2012-12-31$16,218
Total contributions o plan (from employers,participants, others, non cash contrinutions)2012-12-31$1,858,487
Value of total assets at end of year2012-12-31$7,965,785
Value of total assets at beginning of year2012-12-31$5,787,752
Total of administrative expenses incurred including professional, contract, advisory and management fees2012-12-31$4,800
Total interest from all sources2012-12-31$21,412
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 year2012-12-31No
Was this plan covered by a fidelity bond2012-12-31Yes
Value of fidelity bond cover2012-12-31$500,000
If this is an individual account plan, was there a blackout period2012-12-31No
Were there any nonexempt tranactions with any party-in-interest2012-12-31No
Contributions received from participants2012-12-31$1,582,558
Participant contributions at end of year2012-12-31$110,306
Participant contributions at beginning of year2012-12-31$160,821
Participant contributions at end of year2012-12-31$49,685
Participant contributions at beginning of year2012-12-31$39,577
Income. Received or receivable in cash from other sources (including rollovers)2012-12-31$47,936
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year2012-12-31$16,218
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year2012-12-31$12,203
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2012-12-31No
Value of net income/loss2012-12-31$2,174,018
Value of net assets at end of year (total assets less liabilities)2012-12-31$7,949,567
Value of net assets at beginning of year (total assets less liabilities)2012-12-31$5,775,549
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2012-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2012-12-31No
Were any leases to which the plan was party in default or uncollectible2012-12-31No
Value of interest in pooled separate accounts at end of year2012-12-31$7,227,865
Value of interest in pooled separate accounts at beginning of year2012-12-31$5,137,750
Interest on participant loans2012-12-31$6,112
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)2012-12-31$15,300
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2012-12-31$554,894
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2012-12-31$436,315
Net investment gain/loss from pooled separate accounts2012-12-31$794,898
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2012-12-31No
Was there a failure to transmit to the plan any participant contributions2012-12-31No
Has the plan failed to provide any benefit when due under the plan2012-12-31No
Contributions received in cash from employer2012-12-31$227,993
Employer contributions (assets) at end of year2012-12-31$23,035
Employer contributions (assets) at beginning of year2012-12-31$13,289
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2012-12-31$479,761
Contract administrator fees2012-12-31$4,800
Did the plan have assets held for investment2012-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2012-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2012-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2012-12-31Yes
Opinion of an independent qualified public accountant for this plan2012-12-31Disclaimer
Accountancy firm name2012-12-31FESNAK & ASSOCIATES
Accountancy firm EIN2012-12-31201974241
2011 : SOLOMONEDWARDSGROUP, LLC 401(K) SAVINGS PLAN 2011 401k financial data
Total unrealized appreciation/depreciation of assets2011-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2011-12-31$12,203
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2011-12-31$44,883
Total income from all sources (including contributions)2011-12-31$1,185,168
Total loss/gain on sale of assets2011-12-31$0
Total of all expenses incurred2011-12-31$1,172,520
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2011-12-31$1,162,070
Total contributions o plan (from employers,participants, others, non cash contrinutions)2011-12-31$1,325,879
Value of total assets at end of year2011-12-31$5,787,752
Value of total assets at beginning of year2011-12-31$5,807,784
Total of administrative expenses incurred including professional, contract, advisory and management fees2011-12-31$10,450
Total interest from all sources2011-12-31$20,787
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 year2011-12-31No
Was this plan covered by a fidelity bond2011-12-31Yes
Value of fidelity bond cover2011-12-31$500,000
If this is an individual account plan, was there a blackout period2011-12-31No
Were there any nonexempt tranactions with any party-in-interest2011-12-31No
Contributions received from participants2011-12-31$1,148,586
Participant contributions at end of year2011-12-31$160,821
Participant contributions at beginning of year2011-12-31$218,889
Participant contributions at end of year2011-12-31$39,577
Participant contributions at beginning of year2011-12-31$27,439
Income. Received or receivable in cash from other sources (including rollovers)2011-12-31$34,892
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year2011-12-31$12,203
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year2011-12-31$44,883
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2011-12-31No
Value of net income/loss2011-12-31$12,648
Value of net assets at end of year (total assets less liabilities)2011-12-31$5,775,549
Value of net assets at beginning of year (total assets less liabilities)2011-12-31$5,762,901
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2011-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2011-12-31No
Were any leases to which the plan was party in default or uncollectible2011-12-31No
Value of interest in pooled separate accounts at end of year2011-12-31$5,137,750
Value of interest in pooled separate accounts at beginning of year2011-12-31$5,109,339
Interest on participant loans2011-12-31$8,737
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)2011-12-31$12,050
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2011-12-31$436,315
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2011-12-31$392,969
Net investment gain/loss from pooled separate accounts2011-12-31$-161,498
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2011-12-31No
Was there a failure to transmit to the plan any participant contributions2011-12-31No
Has the plan failed to provide any benefit when due under the plan2011-12-31No
Contributions received in cash from employer2011-12-31$142,401
Employer contributions (assets) at end of year2011-12-31$13,289
Employer contributions (assets) at beginning of year2011-12-31$59,148
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2011-12-31$1,162,070
Contract administrator fees2011-12-31$10,450
Did the plan have assets held for investment2011-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2011-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2011-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2011-12-31Yes
Opinion of an independent qualified public accountant for this plan2011-12-31Disclaimer
Accountancy firm name2011-12-31FESNAK & ASSOCIATES LLP
Accountancy firm EIN2011-12-31201974241
2010 : SOLOMONEDWARDSGROUP, LLC 401(K) SAVINGS PLAN 2010 401k financial data
Total unrealized appreciation/depreciation of assets2010-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2010-12-31$44,883
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2010-12-31$61,967
Total income from all sources (including contributions)2010-12-31$1,932,252
Total loss/gain on sale of assets2010-12-31$0
Total of all expenses incurred2010-12-31$1,076,828
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2010-12-31$1,071,678
Total contributions o plan (from employers,participants, others, non cash contrinutions)2010-12-31$1,251,420
Value of total assets at end of year2010-12-31$5,807,784
Value of total assets at beginning of year2010-12-31$4,969,444
Total of administrative expenses incurred including professional, contract, advisory and management fees2010-12-31$5,150
Total interest from all sources2010-12-31$20,037
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 year2010-12-31No
Was this plan covered by a fidelity bond2010-12-31Yes
Value of fidelity bond cover2010-12-31$500,000
If this is an individual account plan, was there a blackout period2010-12-31No
Were there any nonexempt tranactions with any party-in-interest2010-12-31No
Contributions received from participants2010-12-31$1,010,716
Participant contributions at end of year2010-12-31$218,889
Participant contributions at beginning of year2010-12-31$244,049
Participant contributions at end of year2010-12-31$27,439
Participant contributions at beginning of year2010-12-31$20,426
Income. Received or receivable in cash from other sources (including rollovers)2010-12-31$85,655
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year2010-12-31$44,883
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year2010-12-31$61,967
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2010-12-31No
Value of net income/loss2010-12-31$855,424
Value of net assets at end of year (total assets less liabilities)2010-12-31$5,762,901
Value of net assets at beginning of year (total assets less liabilities)2010-12-31$4,907,477
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2010-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2010-12-31No
Were any leases to which the plan was party in default or uncollectible2010-12-31No
Value of interest in pooled separate accounts at end of year2010-12-31$5,109,339
Value of interest in pooled separate accounts at beginning of year2010-12-31$4,306,634
Interest on participant loans2010-12-31$9,851
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)2010-12-31$10,186
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2010-12-31$392,969
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2010-12-31$337,003
Net investment gain/loss from pooled separate accounts2010-12-31$660,795
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2010-12-31No
Was there a failure to transmit to the plan any participant contributions2010-12-31No
Has the plan failed to provide any benefit when due under the plan2010-12-31No
Contributions received in cash from employer2010-12-31$155,049
Employer contributions (assets) at end of year2010-12-31$59,148
Employer contributions (assets) at beginning of year2010-12-31$61,332
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2010-12-31$1,071,678
Contract administrator fees2010-12-31$5,150
Did the plan have assets held for investment2010-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2010-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2010-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2010-12-31Yes
Opinion of an independent qualified public accountant for this plan2010-12-31Disclaimer
Accountancy firm name2010-12-31FESNAK & ASSOCIATES LLP
Accountancy firm EIN2010-12-31201974241

Form 5500 Responses for SOLOMONEDWARDSGROUP, LLC 401(K) SAVINGS PLAN

2023: SOLOMONEDWARDSGROUP, LLC 401(K) SAVINGS PLAN 2023 form 5500 responses
2023-01-01Type of plan entitySingle employer plan
2023-01-01Submission has been amendedNo
2023-01-01This submission is the final filingNo
2023-01-01This return/report is a short plan year return/report (less than 12 months)No
2023-01-01Plan is a collectively bargained planNo
2023-01-01Plan funding arrangement – InsuranceYes
2023-01-01Plan funding arrangement – TrustYes
2023-01-01Plan benefit arrangement – InsuranceYes
2023-01-01Plan benefit arrangement - TrustYes
2022: SOLOMONEDWARDSGROUP, LLC 401(K) SAVINGS PLAN 2022 form 5500 responses
2022-01-01Type of plan entitySingle employer plan
2022-01-01Submission has been amendedNo
2022-01-01This submission is the final filingNo
2022-01-01This return/report is a short plan year return/report (less than 12 months)No
2022-01-01Plan is a collectively bargained planNo
2022-01-01Plan funding arrangement – InsuranceYes
2022-01-01Plan funding arrangement – TrustYes
2022-01-01Plan benefit arrangement – InsuranceYes
2022-01-01Plan benefit arrangement - TrustYes
2021: SOLOMONEDWARDSGROUP, LLC 401(K) SAVINGS PLAN 2021 form 5500 responses
2021-01-01Type of plan entitySingle employer plan
2021-01-01Submission has been amendedNo
2021-01-01This submission is the final filingNo
2021-01-01This return/report is a short plan year return/report (less than 12 months)No
2021-01-01Plan is a collectively bargained planNo
2021-01-01Plan funding arrangement – InsuranceYes
2021-01-01Plan funding arrangement – TrustYes
2021-01-01Plan benefit arrangement – InsuranceYes
2021-01-01Plan benefit arrangement - TrustYes
2020: SOLOMONEDWARDSGROUP, LLC 401(K) SAVINGS PLAN 2020 form 5500 responses
2020-01-01Type of plan entitySingle employer plan
2020-01-01Submission has been amendedNo
2020-01-01This submission is the final filingNo
2020-01-01This return/report is a short plan year return/report (less than 12 months)No
2020-01-01Plan is a collectively bargained planNo
2020-01-01Plan funding arrangement – InsuranceYes
2020-01-01Plan funding arrangement – TrustYes
2020-01-01Plan benefit arrangement – InsuranceYes
2020-01-01Plan benefit arrangement - TrustYes
2019: SOLOMONEDWARDSGROUP, LLC 401(K) SAVINGS PLAN 2019 form 5500 responses
2019-01-01Type of plan entitySingle employer plan
2019-01-01Submission has been amendedNo
2019-01-01This submission is the final filingNo
2019-01-01This return/report is a short plan year return/report (less than 12 months)No
2019-01-01Plan is a collectively bargained planNo
2019-01-01Plan funding arrangement – InsuranceYes
2019-01-01Plan funding arrangement – TrustYes
2019-01-01Plan benefit arrangement – InsuranceYes
2019-01-01Plan benefit arrangement - TrustYes
2018: SOLOMONEDWARDSGROUP, LLC 401(K) SAVINGS PLAN 2018 form 5500 responses
2018-01-01Type of plan entitySingle employer plan
2018-01-01Submission has been amendedNo
2018-01-01This submission is the final filingNo
2018-01-01This return/report is a short plan year return/report (less than 12 months)No
2018-01-01Plan is a collectively bargained planNo
2018-01-01Plan funding arrangement – InsuranceYes
2018-01-01Plan funding arrangement – TrustYes
2018-01-01Plan benefit arrangement – InsuranceYes
2018-01-01Plan benefit arrangement - TrustYes
2017: SOLOMONEDWARDSGROUP, LLC 401(K) SAVINGS PLAN 2017 form 5500 responses
2017-01-01Type of plan entitySingle employer plan
2017-01-01Submission has been amendedNo
2017-01-01This submission is the final filingNo
2017-01-01This return/report is a short plan year return/report (less than 12 months)No
2017-01-01Plan is a collectively bargained planNo
2017-01-01Plan funding arrangement – InsuranceYes
2017-01-01Plan funding arrangement – TrustYes
2017-01-01Plan benefit arrangement – InsuranceYes
2017-01-01Plan benefit arrangement - TrustYes
2016: SOLOMONEDWARDSGROUP, LLC 401(K) SAVINGS PLAN 2016 form 5500 responses
2016-01-01Type of plan entitySingle employer plan
2016-01-01Submission has been amendedNo
2016-01-01This submission is the final filingNo
2016-01-01This return/report is a short plan year return/report (less than 12 months)No
2016-01-01Plan is a collectively bargained planNo
2016-01-01Plan funding arrangement – TrustYes
2016-01-01Plan benefit arrangement - TrustYes
2015: SOLOMONEDWARDSGROUP, LLC 401(K) SAVINGS PLAN 2015 form 5500 responses
2015-01-01Type of plan entitySingle employer plan
2015-01-01Submission has been amendedNo
2015-01-01This submission is the final filingNo
2015-01-01This return/report is a short plan year return/report (less than 12 months)No
2015-01-01Plan is a collectively bargained planNo
2015-01-01Plan funding arrangement – TrustYes
2015-01-01Plan benefit arrangement - TrustYes
2014: SOLOMONEDWARDSGROUP, LLC 401(K) SAVINGS PLAN 2014 form 5500 responses
2014-01-01Type of plan entitySingle employer plan
2014-01-01Submission has been amendedNo
2014-01-01This submission is the final filingNo
2014-01-01This return/report is a short plan year return/report (less than 12 months)No
2014-01-01Plan is a collectively bargained planNo
2014-01-01Plan funding arrangement – TrustYes
2014-01-01Plan benefit arrangement - TrustYes
2013: SOLOMONEDWARDSGROUP, LLC 401(K) SAVINGS PLAN 2013 form 5500 responses
2013-01-01Type of plan entitySingle employer plan
2013-01-01Submission has been amendedNo
2013-01-01This submission is the final filingNo
2013-01-01This return/report is a short plan year return/report (less than 12 months)No
2013-01-01Plan is a collectively bargained planNo
2013-01-01Plan funding arrangement – InsuranceYes
2013-01-01Plan funding arrangement – TrustYes
2013-01-01Plan benefit arrangement – InsuranceYes
2013-01-01Plan benefit arrangement - TrustYes
2012: SOLOMONEDWARDSGROUP, LLC 401(K) SAVINGS 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: SOLOMONEDWARDSGROUP, LLC 401(K) SAVINGS 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: SOLOMONEDWARDSGROUP, LLC 401(K) SAVINGS 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: SOLOMONEDWARDSGROUP, LLC 401(K) SAVINGS 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

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 65676 )
Policy contract number893507-087
Policy instance 1
Insurance contract or identification number893507-087
Number of Individuals Covered376
Insurance policy start date2023-01-01
Insurance policy end date2023-12-31
Are there contracts with allocated funds for individual policies?0
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 planNo
Contracts With Unallocated Funds Deposit Administration0
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 BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
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
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 65676 )
Policy contract number893507-087
Policy instance 1
Insurance contract or identification number893507-087
Number of Individuals Covered371
Insurance policy start date2022-01-01
Insurance policy end date2022-12-31
Are there contracts with allocated funds for individual policies?0
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 planNo
Contracts With Unallocated Funds Deposit Administration0
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 BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
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
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 65676 )
Policy contract number893507-087
Policy instance 1
Insurance contract or identification number893507-087
Number of Individuals Covered351
Insurance policy start date2021-01-01
Insurance policy end date2021-12-31
Are there contracts with allocated funds for individual policies?0
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 planNo
Contracts With Unallocated Funds Deposit Administration0
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 BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
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
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 65676 )
Policy contract number893507-087
Policy instance 1
Insurance contract or identification number893507-087
Number of Individuals Covered343
Insurance policy start date2020-01-01
Insurance policy end date2020-12-31
Are there contracts with allocated funds for individual policies?0
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 planNo
Contracts With Unallocated Funds Deposit Administration0
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 BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
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
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 65676 )
Policy contract number893507-087
Policy instance 1
Insurance contract or identification number893507-087
Number of Individuals Covered362
Insurance policy start date2019-01-01
Insurance policy end date2019-12-31
Are there contracts with allocated funds for individual policies?0
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 planNo
Contracts With Unallocated Funds Deposit Administration0
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 BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
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
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 65676 )
Policy contract number893507-087
Policy instance 1
Insurance contract or identification number893507-087
Number of Individuals Covered358
Insurance policy start date2018-01-01
Insurance policy end date2018-12-31
Are there contracts with allocated funds for individual policies?0
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 planNo
Contracts With Unallocated Funds Deposit Administration0
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 BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
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
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 65676 )
Policy contract number893507-087
Policy instance 1
Insurance contract or identification number893507-087
Number of Individuals Covered393
Insurance policy start date2017-01-01
Insurance policy end date2017-12-31
Are there contracts with allocated funds for individual policies?0
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 planNo
Contracts With Unallocated Funds Deposit Administration0
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 BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
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 number878055
Policy instance 1
Insurance contract or identification number878055
Number of Individuals Covered608
Insurance policy start date2013-01-01
Insurance policy end date2013-12-31
Total amount of commissions paid to insurance brokerUSD $0
Total amount of fees paid to insurance companyUSD $4,412
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 planNo
Contracts With Unallocated Funds Deposit Administration0
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 BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
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
Amount paid for insurance broker fees4412
Additional information about fees paid to insurance brokerTPA SERVICES
Insurance broker organization code?5
Insurance broker nameKSPH, LLC
VOYA RETIRIEMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 86509 )
Policy contract number878055
Policy instance 1
Insurance contract or identification number878055
Number of Individuals Covered469
Insurance policy start date2012-01-01
Insurance policy end date2012-12-31
Total amount of commissions paid to insurance brokerUSD $5,163
Total amount of fees paid to insurance companyUSD $3,188
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 planNo
Contracts With Unallocated Funds Deposit Administration0
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 BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Commission paid to Insurance BrokerUSD $5,163
Insurance broker organization code?3
Amount paid for insurance broker fees3188
Additional information about fees paid to insurance brokerTPA SERVICES
Insurance broker nameKSPH LLC
VOYA RETIRIEMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 86509 )
Policy contract number878055
Policy instance 1
Insurance contract or identification number878055
Insurance policy start date2011-01-01
Insurance policy end date2011-12-31
Total amount of commissions paid to insurance brokerUSD $13,874
Total amount of fees paid to insurance companyUSD $2,767
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 planNo
Contracts With Unallocated Funds Deposit Administration0
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 BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
VOYA RETIRIEMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 86509 )
Policy contract number878055
Policy instance 1
Insurance contract or identification number878055
Insurance policy start date2010-01-01
Insurance policy end date2010-12-31
Total amount of commissions paid to insurance brokerUSD $11,958
Total amount of fees paid to insurance companyUSD $1,759
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 planNo
Contracts With Unallocated Funds Deposit Administration0
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 BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Commission paid to Insurance BrokerUSD $11,958
Insurance broker organization code?3
Amount paid for insurance broker fees1759
Additional information about fees paid to insurance brokerTPA SERVICES
Insurance broker nameKSPH LLC

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