401k Plan data: KEATS, CONNELLY AND ASSOCIATES LLC 401(K) PLAN plan

KEATS, CONNELLY AND ASSOCIATES LLC 401(K) PLAN 401k Plan overview

Plan Name	KEATS, CONNELLY AND ASSOCIATES LLC 401(K) PLAN
Plan identification number	001

KEATS, CONNELLY AND ASSOCIATES LLC 401(K) PLAN Benefits

401k Plan Type

Defined Contribution Pension

Plan Features/Benefits

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

401k Sponsoring company profile

KEATS, CONNELLY AND ASSOCIATES LLC has sponsored the creation of one or more 401k plans.

Company Name: KEATS, CONNELLY AND ASSOCIATES LLC

Employer identification number (EIN): 263653710

NAIC Classification: 523900

Form 5500 Filing Information

Submission information for form 5500 for 401k plan KEATS, CONNELLY AND ASSOCIATES LLC 401(K) PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2019-01-01 ROBERT KEATS 2020-10-12
001 2018-01-01
001 2017-01-01 DONALD ZIENTY
001 2016-01-01 JON SCHADE
001 2015-01-01 JON SCHADE
001 2014-01-01 JON SCHADE
001 2013-01-01 JON SCHADE
001 2012-01-01 JON SCHADE JON SCHADE 2013-05-24
001 2011-01-01 JON SCHADE
001 2009-01-01 DALE WALTERS

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed	Name of Company Sponsor	Date Sponsor Signed
001	2019-01-01	ROBERT KEATS	2020-10-12
001	2018-01-01
001	2017-01-01	DONALD ZIENTY
001	2016-01-01	JON SCHADE
001	2015-01-01	JON SCHADE
001	2014-01-01	JON SCHADE
001	2013-01-01	JON SCHADE
001	2012-01-01	JON SCHADE		JON SCHADE	2013-05-24
001	2011-01-01	JON SCHADE
001	2009-01-01	DALE WALTERS

Plan Statistics for KEATS, CONNELLY AND ASSOCIATES LLC 401(K) PLAN

401k plan membership statisitcs for KEATS, CONNELLY AND ASSOCIATES LLC 401(K) PLAN

Measure Date Value
2018: KEATS, CONNELLY AND ASSOCIATES LLC 401(K) PLAN 2018 401k membership
Total participants, beginning-of-year 2018-01-01 38
Total number of active participants reported on line 7a of the Form 5500 2018-01-01 26
Number of retired or separated participants receiving benefits 2018-01-01 0
Number of other retired or separated participants entitled to future benefits 2018-01-01 17
Total of all active and inactive participants 2018-01-01 43
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2018-01-01 0
Total participants 2018-01-01 43
Number of participants with account balances 2018-01-01 42
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2018-01-01 0
2017: KEATS, CONNELLY AND ASSOCIATES LLC 401(K) PLAN 2017 401k membership
Total participants, beginning-of-year 2017-01-01 49
Total number of active participants reported on line 7a of the Form 5500 2017-01-01 25
Number of retired or separated participants receiving benefits 2017-01-01 0
Number of other retired or separated participants entitled to future benefits 2017-01-01 13
Total of all active and inactive participants 2017-01-01 38
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2017-01-01 0
Total participants 2017-01-01 38
Number of participants with account balances 2017-01-01 38
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2017-01-01 0
2016: KEATS, CONNELLY AND ASSOCIATES LLC 401(K) PLAN 2016 401k membership
Total participants, beginning-of-year 2016-01-01 42
Total number of active participants reported on line 7a of the Form 5500 2016-01-01 39
Number of retired or separated participants receiving benefits 2016-01-01 0
Number of other retired or separated participants entitled to future benefits 2016-01-01 10
Total of all active and inactive participants 2016-01-01 49
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2016-01-01 0
Total participants 2016-01-01 49
Number of participants with account balances 2016-01-01 45
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2016-01-01 0
2015: KEATS, CONNELLY AND ASSOCIATES LLC 401(K) PLAN 2015 401k membership
Total participants, beginning-of-year 2015-01-01 47
Total number of active participants reported on line 7a of the Form 5500 2015-01-01 34
Number of retired or separated participants receiving benefits 2015-01-01 0
Number of other retired or separated participants entitled to future benefits 2015-01-01 8
Total of all active and inactive participants 2015-01-01 42
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2015-01-01 0
Total participants 2015-01-01 42
Number of participants with account balances 2015-01-01 42
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2015-01-01 0
2014: KEATS, CONNELLY AND ASSOCIATES LLC 401(K) PLAN 2014 401k membership
Total participants, beginning-of-year 2014-01-01 34
Total number of active participants reported on line 7a of the Form 5500 2014-01-01 36
Number of retired or separated participants receiving benefits 2014-01-01 0
Number of other retired or separated participants entitled to future benefits 2014-01-01 9
Total of all active and inactive participants 2014-01-01 45
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2014-01-01 2
Total participants 2014-01-01 47
Number of participants with account balances 2014-01-01 46
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2014-01-01 0
2013: KEATS, CONNELLY AND ASSOCIATES LLC 401(K) PLAN 2013 401k membership
Total participants, beginning-of-year 2013-01-01 34
Total number of active participants reported on line 7a of the Form 5500 2013-01-01 30
Number of retired or separated participants receiving benefits 2013-01-01 0
Number of other retired or separated participants entitled to future benefits 2013-01-01 3
Total of all active and inactive participants 2013-01-01 33
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2013-01-01 1
Total participants 2013-01-01 34
Number of participants with account balances 2013-01-01 34
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2013-01-01 0
2012: KEATS, CONNELLY AND ASSOCIATES LLC 401(K) PLAN 2012 401k membership
Total participants, beginning-of-year 2012-01-01 32
Total number of active participants reported on line 7a of the Form 5500 2012-01-01 32
Number of retired or separated participants receiving benefits 2012-01-01 0
Number of other retired or separated participants entitled to future benefits 2012-01-01 2
Total of all active and inactive participants 2012-01-01 34
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2012-01-01 0
Total participants 2012-01-01 34
Number of participants with account balances 2012-01-01 34
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2012-01-01 0
2011: KEATS, CONNELLY AND ASSOCIATES LLC 401(K) PLAN 2011 401k membership
Total participants, beginning-of-year 2011-01-01 34
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 32
Number of retired or separated participants receiving benefits 2011-01-01 0
Number of other retired or separated participants entitled to future benefits 2011-01-01 3
Total of all active and inactive participants 2011-01-01 35
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-01-01 0
Total participants 2011-01-01 35
Number of participants with account balances 2011-01-01 34
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-01-01 0
2009: KEATS, CONNELLY AND ASSOCIATES LLC 401(K) PLAN 2009 401k membership
Total participants, beginning-of-year 2009-01-01 35
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 29
Number of retired or separated participants receiving benefits 2009-01-01 0
Number of other retired or separated participants entitled to future benefits 2009-01-01 6
Total of all active and inactive participants 2009-01-01 35
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-01-01 0
Total participants 2009-01-01 35
Number of participants with account balances 2009-01-01 35
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-01-01 0

Measure	Date	Value
2018: KEATS, CONNELLY AND ASSOCIATES LLC 401(K) PLAN 2018 401k membership
Total participants, beginning-of-year	2018-01-01	38
Total number of active participants reported on line 7a of the Form 5500	2018-01-01	26
Number of retired or separated participants receiving benefits	2018-01-01	0
Number of other retired or separated participants entitled to future benefits	2018-01-01	17
Total of all active and inactive participants	2018-01-01	43
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2018-01-01	0
Total participants	2018-01-01	43
Number of participants with account balances	2018-01-01	42
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2018-01-01	0
2017: KEATS, CONNELLY AND ASSOCIATES LLC 401(K) PLAN 2017 401k membership
Total participants, beginning-of-year	2017-01-01	49
Total number of active participants reported on line 7a of the Form 5500	2017-01-01	25
Number of retired or separated participants receiving benefits	2017-01-01	0
Number of other retired or separated participants entitled to future benefits	2017-01-01	13
Total of all active and inactive participants	2017-01-01	38
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2017-01-01	0
Total participants	2017-01-01	38
Number of participants with account balances	2017-01-01	38
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2017-01-01	0
2016: KEATS, CONNELLY AND ASSOCIATES LLC 401(K) PLAN 2016 401k membership
Total participants, beginning-of-year	2016-01-01	42
Total number of active participants reported on line 7a of the Form 5500	2016-01-01	39
Number of retired or separated participants receiving benefits	2016-01-01	0
Number of other retired or separated participants entitled to future benefits	2016-01-01	10
Total of all active and inactive participants	2016-01-01	49
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2016-01-01	0
Total participants	2016-01-01	49
Number of participants with account balances	2016-01-01	45
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2016-01-01	0
2015: KEATS, CONNELLY AND ASSOCIATES LLC 401(K) PLAN 2015 401k membership
Total participants, beginning-of-year	2015-01-01	47
Total number of active participants reported on line 7a of the Form 5500	2015-01-01	34
Number of retired or separated participants receiving benefits	2015-01-01	0
Number of other retired or separated participants entitled to future benefits	2015-01-01	8
Total of all active and inactive participants	2015-01-01	42
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2015-01-01	0
Total participants	2015-01-01	42
Number of participants with account balances	2015-01-01	42
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2015-01-01	0
2014: KEATS, CONNELLY AND ASSOCIATES LLC 401(K) PLAN 2014 401k membership
Total participants, beginning-of-year	2014-01-01	34
Total number of active participants reported on line 7a of the Form 5500	2014-01-01	36
Number of retired or separated participants receiving benefits	2014-01-01	0
Number of other retired or separated participants entitled to future benefits	2014-01-01	9
Total of all active and inactive participants	2014-01-01	45
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2014-01-01	2
Total participants	2014-01-01	47
Number of participants with account balances	2014-01-01	46
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2014-01-01	0
2013: KEATS, CONNELLY AND ASSOCIATES LLC 401(K) PLAN 2013 401k membership
Total participants, beginning-of-year	2013-01-01	34
Total number of active participants reported on line 7a of the Form 5500	2013-01-01	30
Number of retired or separated participants receiving benefits	2013-01-01	0
Number of other retired or separated participants entitled to future benefits	2013-01-01	3
Total of all active and inactive participants	2013-01-01	33
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2013-01-01	1
Total participants	2013-01-01	34
Number of participants with account balances	2013-01-01	34
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2013-01-01	0
2012: KEATS, CONNELLY AND ASSOCIATES LLC 401(K) PLAN 2012 401k membership
Total participants, beginning-of-year	2012-01-01	32
Total number of active participants reported on line 7a of the Form 5500	2012-01-01	32
Number of retired or separated participants receiving benefits	2012-01-01	0
Number of other retired or separated participants entitled to future benefits	2012-01-01	2
Total of all active and inactive participants	2012-01-01	34
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2012-01-01	0
Total participants	2012-01-01	34
Number of participants with account balances	2012-01-01	34
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2012-01-01	0
2011: KEATS, CONNELLY AND ASSOCIATES LLC 401(K) PLAN 2011 401k membership
Total participants, beginning-of-year	2011-01-01	34
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	32
Number of retired or separated participants receiving benefits	2011-01-01	0
Number of other retired or separated participants entitled to future benefits	2011-01-01	3
Total of all active and inactive participants	2011-01-01	35
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-01-01	0
Total participants	2011-01-01	35
Number of participants with account balances	2011-01-01	34
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-01-01	0
2009: KEATS, CONNELLY AND ASSOCIATES LLC 401(K) PLAN 2009 401k membership
Total participants, beginning-of-year	2009-01-01	35
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	29
Number of retired or separated participants receiving benefits	2009-01-01	0
Number of other retired or separated participants entitled to future benefits	2009-01-01	6
Total of all active and inactive participants	2009-01-01	35
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-01-01	0
Total participants	2009-01-01	35
Number of participants with account balances	2009-01-01	35
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-01-01	0

Financial Data on KEATS, CONNELLY AND ASSOCIATES LLC 401(K) PLAN

Measure	Date	Value
2018 : KEATS, CONNELLY AND ASSOCIATES LLC 401(K) PLAN 2018 401k financial data
Transfers to/from the plan	2018-12-31	$0
Total plan liabilities at end of year	2018-12-31	$0
Total plan liabilities at beginning of year	2018-12-31	$0
Total income from all sources	2018-12-31	$52,136
Expenses. Total of all expenses incurred	2018-12-31	$769,608
Benefits paid (including direct rollovers)	2018-12-31	$769,558
Total plan assets at end of year	2018-12-31	$1,438,945
Total plan assets at beginning of year	2018-12-31	$2,156,417
Value of fidelity bond covering the plan	2018-12-31	$200,000
Total contributions received or receivable from participants	2018-12-31	$113,093
Expenses. Other expenses not covered elsewhere	2018-12-31	$0
Contributions received from other sources (not participants or employers)	2018-12-31	$0
Other income received	2018-12-31	$-127,682
Noncash contributions received	2018-12-31	$0
Net income (gross income less expenses)	2018-12-31	$-717,472
Net plan assets at end of year (total assets less liabilities)	2018-12-31	$1,438,945
Net plan assets at beginning of year (total assets less liabilities)	2018-12-31	$2,156,417
Total contributions received or receivable from employer(s)	2018-12-31	$66,725
Value of certain deemed distributions of participant loans	2018-12-31	$0
Value of corrective distributions	2018-12-31	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2018-12-31	$50
2017 : KEATS, CONNELLY AND ASSOCIATES LLC 401(K) PLAN 2017 401k financial data
Transfers to/from the plan	2017-12-31	$0
Total plan liabilities at end of year	2017-12-31	$0
Total plan liabilities at beginning of year	2017-12-31	$0
Total income from all sources	2017-12-31	$584,647
Expenses. Total of all expenses incurred	2017-12-31	$904,972
Benefits paid (including direct rollovers)	2017-12-31	$904,857
Total plan assets at end of year	2017-12-31	$2,156,417
Total plan assets at beginning of year	2017-12-31	$2,476,742
Value of fidelity bond covering the plan	2017-12-31	$200,000
Assets. Value of tangible personal property	2017-12-31	$0
Total contributions received or receivable from participants	2017-12-31	$151,252
Assets. Value of loans (other than to participants)	2017-12-31	$0
Expenses. Other expenses not covered elsewhere	2017-12-31	$0
Contributions received from other sources (not participants or employers)	2017-12-31	$0
Other income received	2017-12-31	$356,619
Noncash contributions received	2017-12-31	$0
Net income (gross income less expenses)	2017-12-31	$-320,325
Net plan assets at end of year (total assets less liabilities)	2017-12-31	$2,156,417
Net plan assets at beginning of year (total assets less liabilities)	2017-12-31	$2,476,742
Assets. Value of participant loans	2017-12-31	$0
Assets. Value of assets in partnership/joint-venture interests	2017-12-31	$0
Assets. Value of real-estate (other than employer real property)	2017-12-31	$0
Assets. Value of employer securities	2017-12-31	$0
Assets. Value of employer real property	2017-12-31	$0
Total contributions received or receivable from employer(s)	2017-12-31	$76,776
Value of certain deemed distributions of participant loans	2017-12-31	$0
Value of corrective distributions	2017-12-31	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2017-12-31	$115
2016 : KEATS, CONNELLY AND ASSOCIATES LLC 401(K) PLAN 2016 401k financial data
Transfers to/from the plan	2016-12-31	$0
Total plan liabilities at end of year	2016-12-31	$0
Total plan liabilities at beginning of year	2016-12-31	$0
Total income from all sources	2016-12-31	$453,634
Expenses. Total of all expenses incurred	2016-12-31	$89,076
Benefits paid (including direct rollovers)	2016-12-31	$89,051
Total plan assets at end of year	2016-12-31	$2,476,742
Total plan assets at beginning of year	2016-12-31	$2,112,184
Value of fidelity bond covering the plan	2016-12-31	$200,000
Total contributions received or receivable from participants	2016-12-31	$197,529
Expenses. Other expenses not covered elsewhere	2016-12-31	$0
Contributions received from other sources (not participants or employers)	2016-12-31	$0
Other income received	2016-12-31	$171,701
Noncash contributions received	2016-12-31	$0
Net income (gross income less expenses)	2016-12-31	$364,558
Net plan assets at end of year (total assets less liabilities)	2016-12-31	$2,476,742
Net plan assets at beginning of year (total assets less liabilities)	2016-12-31	$2,112,184
Total contributions received or receivable from employer(s)	2016-12-31	$84,404
Value of certain deemed distributions of participant loans	2016-12-31	$0
Value of corrective distributions	2016-12-31	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2016-12-31	$25
2015 : KEATS, CONNELLY AND ASSOCIATES LLC 401(K) PLAN 2015 401k financial data
Transfers to/from the plan	2015-12-31	$0
Total plan liabilities at end of year	2015-12-31	$0
Total plan liabilities at beginning of year	2015-12-31	$0
Total income from all sources	2015-12-31	$289,730
Expenses. Total of all expenses incurred	2015-12-31	$58,907
Benefits paid (including direct rollovers)	2015-12-31	$54,531
Total plan assets at end of year	2015-12-31	$2,112,184
Total plan assets at beginning of year	2015-12-31	$1,881,361
Value of fidelity bond covering the plan	2015-12-31	$200,000
Total contributions received or receivable from participants	2015-12-31	$215,751
Expenses. Other expenses not covered elsewhere	2015-12-31	$0
Contributions received from other sources (not participants or employers)	2015-12-31	$24,220
Other income received	2015-12-31	$-35,347
Noncash contributions received	2015-12-31	$0
Net income (gross income less expenses)	2015-12-31	$230,823
Net plan assets at end of year (total assets less liabilities)	2015-12-31	$2,112,184
Net plan assets at beginning of year (total assets less liabilities)	2015-12-31	$1,881,361
Total contributions received or receivable from employer(s)	2015-12-31	$85,106
Value of certain deemed distributions of participant loans	2015-12-31	$0
Value of corrective distributions	2015-12-31	$4,351
Expenses. Administrative service providers (salaries,fees and commissions)	2015-12-31	$25
2014 : KEATS, CONNELLY AND ASSOCIATES LLC 401(K) PLAN 2014 401k financial data
Transfers to/from the plan	2014-12-31	$0
Total plan liabilities at end of year	2014-12-31	$0
Total plan liabilities at beginning of year	2014-12-31	$0
Total income from all sources	2014-12-31	$318,590
Expenses. Total of all expenses incurred	2014-12-31	$223,264
Benefits paid (including direct rollovers)	2014-12-31	$223,236
Total plan assets at end of year	2014-12-31	$1,881,361
Total plan assets at beginning of year	2014-12-31	$1,786,035
Value of fidelity bond covering the plan	2014-12-31	$200,000
Total contributions received or receivable from participants	2014-12-31	$186,743
Expenses. Other expenses not covered elsewhere	2014-12-31	$0
Contributions received from other sources (not participants or employers)	2014-12-31	$0
Other income received	2014-12-31	$67,820
Noncash contributions received	2014-12-31	$0
Net income (gross income less expenses)	2014-12-31	$95,326
Net plan assets at end of year (total assets less liabilities)	2014-12-31	$1,881,361
Net plan assets at beginning of year (total assets less liabilities)	2014-12-31	$1,786,035
Value of participant contributions where there was a failure to transmit these to the plan within the time period described in 29 CFR 2510.3-102	2014-12-31	$0
Total contributions received or receivable from employer(s)	2014-12-31	$64,027
Value of certain deemed distributions of participant loans	2014-12-31	$0
Value of corrective distributions	2014-12-31	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2014-12-31	$28
2013 : KEATS, CONNELLY AND ASSOCIATES LLC 401(K) PLAN 2013 401k financial data
Transfers to/from the plan	2013-12-31	$0
Total plan liabilities at end of year	2013-12-31	$0
Total income from all sources	2013-12-31	$461,732
Expenses. Total of all expenses incurred	2013-12-31	$39,548
Benefits paid (including direct rollovers)	2013-12-31	$39,485
Total plan assets at end of year	2013-12-31	$1,786,035
Total plan assets at beginning of year	2013-12-31	$1,363,851
Value of fidelity bond covering the plan	2013-12-31	$110,000
Total contributions received or receivable from participants	2013-12-31	$173,317
Expenses. Other expenses not covered elsewhere	2013-12-31	$0
Contributions received from other sources (not participants or employers)	2013-12-31	$0
Other income received	2013-12-31	$241,236
Noncash contributions received	2013-12-31	$0
Net income (gross income less expenses)	2013-12-31	$422,184
Net plan assets at end of year (total assets less liabilities)	2013-12-31	$1,786,035
Net plan assets at beginning of year (total assets less liabilities)	2013-12-31	$1,363,851
Total contributions received or receivable from employer(s)	2013-12-31	$47,179
Value of certain deemed distributions of participant loans	2013-12-31	$0
Value of corrective distributions	2013-12-31	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2013-12-31	$63
2012 : KEATS, CONNELLY AND ASSOCIATES LLC 401(K) PLAN 2012 401k financial data
Total income from all sources	2012-12-31	$374,173
Expenses. Total of all expenses incurred	2012-12-31	$12,147
Benefits paid (including direct rollovers)	2012-12-31	$12,092
Total plan assets at end of year	2012-12-31	$1,363,851
Total plan assets at beginning of year	2012-12-31	$1,001,825
Value of fidelity bond covering the plan	2012-12-31	$110,000
Total contributions received or receivable from participants	2012-12-31	$161,574
Other income received	2012-12-31	$150,012
Net income (gross income less expenses)	2012-12-31	$362,026
Net plan assets at end of year (total assets less liabilities)	2012-12-31	$1,363,851
Net plan assets at beginning of year (total assets less liabilities)	2012-12-31	$1,001,825
Total contributions received or receivable from employer(s)	2012-12-31	$62,587
Expenses. Administrative service providers (salaries,fees and commissions)	2012-12-31	$55
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2012-12-31	$0
2011 : KEATS, CONNELLY AND ASSOCIATES LLC 401(K) PLAN 2011 401k financial data
Total income from all sources	2011-12-31	$202,246
Expenses. Total of all expenses incurred	2011-12-31	$97,100
Benefits paid (including direct rollovers)	2011-12-31	$97,042
Total plan assets at end of year	2011-12-31	$1,001,825
Total plan assets at beginning of year	2011-12-31	$896,679
Value of fidelity bond covering the plan	2011-12-31	$40,000
Total contributions received or receivable from participants	2011-12-31	$156,714
Other income received	2011-12-31	$-29,003
Net income (gross income less expenses)	2011-12-31	$105,146
Net plan assets at end of year (total assets less liabilities)	2011-12-31	$1,001,825
Net plan assets at beginning of year (total assets less liabilities)	2011-12-31	$896,679
Total contributions received or receivable from employer(s)	2011-12-31	$74,535
Expenses. Administrative service providers (salaries,fees and commissions)	2011-12-31	$58
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2011-12-31	$0
2010 : KEATS, CONNELLY AND ASSOCIATES LLC 401(K) PLAN 2010 401k financial data
Total income from all sources	2010-12-31	$283,424
Expenses. Total of all expenses incurred	2010-12-31	$54,345
Benefits paid (including direct rollovers)	2010-12-31	$54,318
Total plan assets at end of year	2010-12-31	$896,679
Total plan assets at beginning of year	2010-12-31	$667,600
Value of fidelity bond covering the plan	2010-12-31	$40,000
Total contributions received or receivable from participants	2010-12-31	$125,947
Other income received	2010-12-31	$100,095
Net income (gross income less expenses)	2010-12-31	$229,079
Net plan assets at end of year (total assets less liabilities)	2010-12-31	$896,679
Net plan assets at beginning of year (total assets less liabilities)	2010-12-31	$667,600
Total contributions received or receivable from employer(s)	2010-12-31	$57,382
Expenses. Administrative service providers (salaries,fees and commissions)	2010-12-31	$27
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2010-12-31	$0
2009 : KEATS, CONNELLY AND ASSOCIATES LLC 401(K) PLAN 2009 401k financial data
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2009-12-31	$0

Form 5500 Responses for KEATS, CONNELLY AND ASSOCIATES LLC 401(K) PLAN

2018: KEATS, CONNELLY AND ASSOCIATES LLC 401(K) PLAN 2018 form 5500 responses
2018-01-01	Type of plan entity	Single employer plan
2018-01-01	Submission has been amended	No
2018-01-01	This submission is the final filing	No
2018-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2018-01-01	Plan is a collectively bargained plan	No
2018-01-01	Plan funding arrangement – Trust	Yes
2018-01-01	Plan benefit arrangement - Trust	Yes
2017: KEATS, CONNELLY AND ASSOCIATES LLC 401(K) PLAN 2017 form 5500 responses
2017-01-01	Type of plan entity	Single employer plan
2017-01-01	Submission has been amended	No
2017-01-01	This submission is the final filing	No
2017-01-01	Plan is a collectively bargained plan	No
2017-01-01	Plan funding arrangement – Trust	Yes
2017-01-01	Plan benefit arrangement - Trust	Yes
2016: KEATS, CONNELLY AND ASSOCIATES LLC 401(K) PLAN 2016 form 5500 responses
2016-01-01	Type of plan entity	Single employer plan
2016-01-01	Submission has been amended	No
2016-01-01	This submission is the final filing	No
2016-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2016-01-01	Plan is a collectively bargained plan	No
2016-01-01	Plan funding arrangement – Trust	Yes
2016-01-01	Plan benefit arrangement - Trust	Yes
2015: KEATS, CONNELLY AND ASSOCIATES LLC 401(K) PLAN 2015 form 5500 responses
2015-01-01	Type of plan entity	Single employer plan
2015-01-01	Submission has been amended	No
2015-01-01	This submission is the final filing	No
2015-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2015-01-01	Plan is a collectively bargained plan	No
2015-01-01	Plan funding arrangement – Trust	Yes
2015-01-01	Plan benefit arrangement - Trust	Yes
2014: KEATS, CONNELLY AND ASSOCIATES LLC 401(K) PLAN 2014 form 5500 responses
2014-01-01	Type of plan entity	Single employer plan
2014-01-01	Submission has been amended	No
2014-01-01	This submission is the final filing	No
2014-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2014-01-01	Plan is a collectively bargained plan	No
2014-01-01	Plan funding arrangement – Trust	Yes
2014-01-01	Plan benefit arrangement - Trust	Yes
2013: KEATS, CONNELLY AND ASSOCIATES LLC 401(K) PLAN 2013 form 5500 responses
2013-01-01	Type of plan entity	Single employer plan
2013-01-01	Submission has been amended	No
2013-01-01	This submission is the final filing	No
2013-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2013-01-01	Plan is a collectively bargained plan	No
2013-01-01	Plan funding arrangement – Trust	Yes
2013-01-01	Plan benefit arrangement - Trust	Yes
2012: KEATS, CONNELLY AND ASSOCIATES LLC 401(K) PLAN 2012 form 5500 responses
2012-01-01	Type of plan entity	Single employer plan
2012-01-01	Submission has been amended	No
2012-01-01	This submission is the final filing	No
2012-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2012-01-01	Plan funding arrangement – Trust	Yes
2012-01-01	Plan benefit arrangement - Trust	Yes
2011: KEATS, CONNELLY AND ASSOCIATES LLC 401(K) PLAN 2011 form 5500 responses
2011-01-01	Type of plan entity	Single employer plan
2011-01-01	Submission has been amended	No
2011-01-01	This submission is the final filing	No
2011-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2011-01-01	Plan funding arrangement – Trust	Yes
2011-01-01	Plan benefit arrangement - Trust	Yes
2009: KEATS, CONNELLY AND ASSOCIATES LLC 401(K) PLAN 2009 form 5500 responses
2009-01-01	Type of plan entity	Single employer plan
2009-01-01	Submission has been amended	No
2009-01-01	This submission is the final filing	No
2009-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2009-01-01	Plan funding arrangement – Trust	Yes
2009-01-01	Plan benefit arrangement - Trust	Yes

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Company Name:	KEATS, CONNELLY AND ASSOCIATES LLC
Employer identification number (EIN):	263653710
NAIC Classification:	523900