401k Plan data: RIVERPOINT CAPITAL MANAGEMENT, INC. 401(K) PROFIT SHARING PLAN plan

RIVERPOINT CAPITAL MANAGEMENT, INC. 401(K) PROFIT SHARING PLAN 401k Plan overview

Plan Name	RIVERPOINT CAPITAL MANAGEMENT, INC. 401(K) PROFIT SHARING PLAN
Plan identification number	001

RIVERPOINT CAPITAL MANAGEMENT, INC. 401(K) PROFIT SHARING PLAN Benefits

401k Plan Type

Defined Contribution Pension

Plan Features/Benefits

Age/Service Weighted or new comparability or similar plan - Age/Service Weighted Plan: Allocations are based on age, service, or age and service. New comparability or similar plan: Allocations are based on participant classifications and a classification(s) consists entirely or predominantly of highly compensated employees; or the plan provides an additional allocation rate on compensation above a specified threshold, and the theshold or additional rate exceeds the maximum threshold or rate allowed under the permitted disparity rules of section 401(l).
Profit-sharing
ERISA section 404(c) Plan - This plan, or any part of it is intended to meet the conditions of 29 CFR 2550.404c-1.
Total participant-directed account plan - Participants have the opportunity to direct the investment of all the assets allocated to their individual accounts, regardless of whether 29 CFR 2550.404c-1 is intended to be met.
Code section 401(k) feature - A cash or deferred arrangement described in Code section 401(k) that is part of a qualified defined contribution plan that provides for an election by employees to defer part of their compensation or receive these amounts in cash.
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.
Participant-directed brokerage accounts provided as an investment option under the plan.
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

RIVERPOINT CAPITAL MANAGEMENT, INC. has sponsored the creation of one or more 401k plans.

Company Name: RIVERPOINT CAPITAL MANAGEMENT, INC.

Employer identification number (EIN): 311471846

NAIC Classification: 525990
NAIC Description: Other Financial Vehicles

Additional information about RIVERPOINT CAPITAL MANAGEMENT, INC.

Jurisdiction of Incorporation: Ohio Secretary of State Business Services Division

Incorporation Date: 1996-08-08

Company Identification Number: 949799

Legal Registered Office Address: 312 WALNUT ST.
STE. 3120
CINCINNATI
United States of America (USA)
45202

More information about RIVERPOINT CAPITAL MANAGEMENT, INC.

Form 5500 Filing Information

Submission information for form 5500 for 401k plan RIVERPOINT CAPITAL MANAGEMENT, INC. 401(K) PROFIT SHARING PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2011-01-01 VALERIE L. NEWELL
001 2010-01-01 VALERIE L. NEWELL
001 2009-01-01 VALERIE NEWELL VALERIE NEWELL 2010-04-16

Plan id#	Filing Submission Date	Name of Administrator	Name of Company Sponsor	Date Sponsor Signed
001	2011-01-01	VALERIE L. NEWELL
001	2010-01-01	VALERIE L. NEWELL
001	2009-01-01	VALERIE NEWELL	VALERIE NEWELL	2010-04-16

Plan Statistics for RIVERPOINT CAPITAL MANAGEMENT, INC. 401(K) PROFIT SHARING PLAN

401k plan membership statisitcs for RIVERPOINT CAPITAL MANAGEMENT, INC. 401(K) PROFIT SHARING PLAN

Measure Date Value
2011: RIVERPOINT CAPITAL MANAGEMENT, INC. 401(K) PROFIT SHARING PLAN 2011 401k membership
Total participants, beginning-of-year 2011-01-01 18
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 15
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 18
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-01-01 0
Total participants 2011-01-01 18
Number of participants with account balances 2011-01-01 18
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-01-01 0
2010: RIVERPOINT CAPITAL MANAGEMENT, INC. 401(K) PROFIT SHARING PLAN 2010 401k membership
Total participants, beginning-of-year 2010-01-01 20
Total number of active participants reported on line 7a of the Form 5500 2010-01-01 16
Number of retired or separated participants receiving benefits 2010-01-01 0
Number of other retired or separated participants entitled to future benefits 2010-01-01 2
Total of all active and inactive participants 2010-01-01 18
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2010-01-01 0
Total participants 2010-01-01 18
Number of participants with account balances 2010-01-01 18
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2010-01-01 0
2009: RIVERPOINT CAPITAL MANAGEMENT, INC. 401(K) PROFIT SHARING PLAN 2009 401k membership
Total participants, beginning-of-year 2009-01-01 19
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 16
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 4
Total of all active and inactive participants 2009-01-01 20
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-01-01 0
Total participants 2009-01-01 20
Number of participants with account balances 2009-01-01 20
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-01-01 0

Measure	Date	Value
2011: RIVERPOINT CAPITAL MANAGEMENT, INC. 401(K) PROFIT SHARING PLAN 2011 401k membership
Total participants, beginning-of-year	2011-01-01	18
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	15
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	18
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-01-01	0
Total participants	2011-01-01	18
Number of participants with account balances	2011-01-01	18
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-01-01	0
2010: RIVERPOINT CAPITAL MANAGEMENT, INC. 401(K) PROFIT SHARING PLAN 2010 401k membership
Total participants, beginning-of-year	2010-01-01	20
Total number of active participants reported on line 7a of the Form 5500	2010-01-01	16
Number of retired or separated participants receiving benefits	2010-01-01	0
Number of other retired or separated participants entitled to future benefits	2010-01-01	2
Total of all active and inactive participants	2010-01-01	18
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2010-01-01	0
Total participants	2010-01-01	18
Number of participants with account balances	2010-01-01	18
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2010-01-01	0
2009: RIVERPOINT CAPITAL MANAGEMENT, INC. 401(K) PROFIT SHARING PLAN 2009 401k membership
Total participants, beginning-of-year	2009-01-01	19
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	16
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	4
Total of all active and inactive participants	2009-01-01	20
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-01-01	0
Total participants	2009-01-01	20
Number of participants with account balances	2009-01-01	20
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-01-01	0

Financial Data on RIVERPOINT CAPITAL MANAGEMENT, INC. 401(K) PROFIT SHARING PLAN

Measure	Date	Value
2011 : RIVERPOINT CAPITAL MANAGEMENT, INC. 401(K) PROFIT SHARING PLAN 2011 401k financial data
Total income from all sources	2011-12-31	$254,291
Expenses. Total of all expenses incurred	2011-12-31	$480
Total plan assets at end of year	2011-12-31	$3,029,467
Total plan assets at beginning of year	2011-12-31	$2,775,656
Value of fidelity bond covering the plan	2011-12-31	$500,000
Total contributions received or receivable from participants	2011-12-31	$131,486
Other income received	2011-12-31	$-29,571
Net income (gross income less expenses)	2011-12-31	$253,811
Net plan assets at end of year (total assets less liabilities)	2011-12-31	$3,029,467
Net plan assets at beginning of year (total assets less liabilities)	2011-12-31	$2,775,656
Assets. Value of participant loans	2011-12-31	$38,872
Assets. Value of employer securities	2011-12-31	$0
Total contributions received or receivable from employer(s)	2011-12-31	$152,376
Expenses. Administrative service providers (salaries,fees and commissions)	2011-12-31	$480
2010 : RIVERPOINT CAPITAL MANAGEMENT, INC. 401(K) PROFIT SHARING PLAN 2010 401k financial data
Total income from all sources	2010-12-31	$698,644
Expenses. Total of all expenses incurred	2010-12-31	$394,860
Benefits paid (including direct rollovers)	2010-12-31	$390,927
Total plan assets at end of year	2010-12-31	$2,775,656
Total plan assets at beginning of year	2010-12-31	$2,471,872
Value of fidelity bond covering the plan	2010-12-31	$258,988
Total contributions received or receivable from participants	2010-12-31	$136,390
Contributions received from other sources (not participants or employers)	2010-12-31	$51
Other income received	2010-12-31	$345,031
Net income (gross income less expenses)	2010-12-31	$303,784
Net plan assets at end of year (total assets less liabilities)	2010-12-31	$2,775,656
Net plan assets at beginning of year (total assets less liabilities)	2010-12-31	$2,471,872
Assets. Value of participant loans	2010-12-31	$54,343
Assets. Value of employer securities	2010-12-31	$32,742
Total contributions received or receivable from employer(s)	2010-12-31	$217,172
Expenses. Administrative service providers (salaries,fees and commissions)	2010-12-31	$3,933
2009 : RIVERPOINT CAPITAL MANAGEMENT, INC. 401(K) PROFIT SHARING 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 RIVERPOINT CAPITAL MANAGEMENT, INC. 401(K) PROFIT SHARING PLAN

2011: RIVERPOINT CAPITAL MANAGEMENT, INC. 401(K) PROFIT SHARING PLAN 2011 form 5500 responses
2011-01-01	Type of plan entity	Single employer plan
2011-01-01	Submission has been amended	No
2011-01-01	This submission is the final filing	No
2011-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2011-01-01	Plan is a collectively bargained plan	No
2011-01-01	Plan funding arrangement – Trust	Yes
2011-01-01	Plan benefit arrangement - Trust	Yes
2010: RIVERPOINT CAPITAL MANAGEMENT, INC. 401(K) PROFIT SHARING PLAN 2010 form 5500 responses
2010-01-01	Type of plan entity	Single employer plan
2010-01-01	Submission has been amended	No
2010-01-01	This submission is the final filing	No
2010-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2010-01-01	Plan is a collectively bargained plan	No
2010-01-01	Plan funding arrangement – Trust	Yes
2010-01-01	Plan benefit arrangement - Trust	Yes
2009: RIVERPOINT CAPITAL MANAGEMENT, INC. 401(K) PROFIT SHARING PLAN 2009 form 5500 responses
2009-01-01	Type of plan entity	Single employer plan
2009-01-01	Submission has been amended	No
2009-01-01	This submission is the final filing	No
2009-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2009-01-01	Plan is a collectively bargained plan	No
2009-01-01	Plan funding arrangement – Trust	Yes
2009-01-01	Plan benefit arrangement - Trust	Yes

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Company Name:	RIVERPOINT CAPITAL MANAGEMENT, INC.
Employer identification number (EIN):	311471846
NAIC Classification:	525990
NAIC Description:	Other Financial Vehicles

Jurisdiction of Incorporation:	Ohio Secretary of State Business Services Division
Incorporation Date:	1996-08-08
Company Identification Number:	949799
Legal Registered Office Address:	312 WALNUT ST. STE. 3120 CINCINNATI United States of America (USA) 45202