401k Plan data: ASH BROKERAGE CORPORATION 401(K) RETIREMENT PLAN plan

ASH BROKERAGE CORPORATION 401(K) RETIREMENT PLAN 401k Plan overview

Plan Name	ASH BROKERAGE CORPORATION 401(K) RETIREMENT PLAN
Plan identification number	002

ASH BROKERAGE CORPORATION 401(K) RETIREMENT PLAN Benefits

401k Plan Type

Defined Contribution Pension

Plan Features/Benefits

Profit-sharing
ERISA section 404(c) Plan - This plan, or any part of it is intended to meet the conditions of 29 CFR 2550.404c-1.
Total participant-directed account plan - Participants have the opportunity to direct the investment of all the assets allocated to their individual accounts, regardless of whether 29 CFR 2550.404c-1 is intended to be met.
Code section 401(k) feature - A cash or deferred arrangement described in Code section 401(k) that is part of a qualified defined contribution plan that provides for an election by employees to defer part of their compensation or receive these amounts in cash.
Code section 401(m) arrangement - Employee contributions are allocated to separate accounts under the plan or employer contributions are based, in whole or in part, on employee deferrals or contribtions to the plan. Not applicable if plan is 401(k) plan with only QNECs and/or QMACs. Also not applicable if Code section 403(b)(1), 403(b)(7) or 408 arrangements/accounts/annuities.
Participant-directed brokerage accounts provided as an investment option under the plan.
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

ASH BROKERAGE, LLC has sponsored the creation of one or more 401k plans.

Company Name: ASH BROKERAGE, LLC

Employer identification number (EIN): 351471922

NAIC Classification: 524210
NAIC Description: Insurance Agencies and Brokerages

Form 5500 Filing Information

Submission information for form 5500 for 401k plan ASH BROKERAGE CORPORATION 401(K) RETIREMENT PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
002 2022-01-01
002 2021-01-01
002 2020-01-01
002 2019-01-01
002 2018-01-01
002 2017-01-01 AMANDA HOEPPNER
002 2016-01-01 KRIS GILMAN
002 2015-01-01 KRIS GILMAN
002 2014-01-01 CARA BAUER
002 2013-01-01 CARA BAUER
002 2012-01-01 CARA BAUER CARA BAUER 2013-07-29
002 2011-01-01 CARA BAUER
002 2009-01-01 GINA M. WENGER GINA M. WENGER 2010-07-26
002 2009-01-01 GINA M. WENGER GINA M. WENGER 2010-07-26
002 2009-01-01 GINA M. WENGER GINA M. WENGER 2010-07-26

Plan id#	Filing Submission Date	Name of Administrator	Name of Company Sponsor	Date Sponsor Signed
002	2022-01-01
002	2021-01-01
002	2020-01-01
002	2019-01-01
002	2018-01-01
002	2017-01-01	AMANDA HOEPPNER
002	2016-01-01	KRIS GILMAN
002	2015-01-01	KRIS GILMAN
002	2014-01-01	CARA BAUER
002	2013-01-01	CARA BAUER
002	2012-01-01	CARA BAUER	CARA BAUER	2013-07-29
002	2011-01-01	CARA BAUER
002	2009-01-01	GINA M. WENGER	GINA M. WENGER	2010-07-26
002	2009-01-01	GINA M. WENGER	GINA M. WENGER	2010-07-26
002	2009-01-01	GINA M. WENGER	GINA M. WENGER	2010-07-26

Plan Statistics for ASH BROKERAGE CORPORATION 401(K) RETIREMENT PLAN

401k plan membership statisitcs for ASH BROKERAGE CORPORATION 401(K) RETIREMENT PLAN

Measure Date Value
2022: ASH BROKERAGE CORPORATION 401(K) RETIREMENT PLAN 2022 401k membership
Total participants, beginning-of-year 2022-01-01 552
Total number of active participants reported on line 7a of the Form 5500 2022-01-01 0
Number of retired or separated participants receiving benefits 2022-01-01 0
Number of other retired or separated participants entitled to future benefits 2022-01-01 0
Total of all active and inactive participants 2022-01-01 0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2022-01-01 0
Total participants 2022-01-01 0
Number of participants with account balances 2022-01-01 0
2021: ASH BROKERAGE CORPORATION 401(K) RETIREMENT PLAN 2021 401k membership
Total participants, beginning-of-year 2021-01-01 531
Total number of active participants reported on line 7a of the Form 5500 2021-01-01 445
Number of retired or separated participants receiving benefits 2021-01-01 3
Number of other retired or separated participants entitled to future benefits 2021-01-01 104
Total of all active and inactive participants 2021-01-01 552
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2021-01-01 0
Total participants 2021-01-01 552
Number of participants with account balances 2021-01-01 537
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2021-01-01 36
2020: ASH BROKERAGE CORPORATION 401(K) RETIREMENT PLAN 2020 401k membership
Total participants, beginning-of-year 2020-01-01 536
Total number of active participants reported on line 7a of the Form 5500 2020-01-01 454
Number of retired or separated participants receiving benefits 2020-01-01 1
Number of other retired or separated participants entitled to future benefits 2020-01-01 76
Total of all active and inactive participants 2020-01-01 531
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2020-01-01 0
Total participants 2020-01-01 531
Number of participants with account balances 2020-01-01 518
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2020-01-01 11
2019: ASH BROKERAGE CORPORATION 401(K) RETIREMENT PLAN 2019 401k membership
Total participants, beginning-of-year 2019-01-01 506
Total number of active participants reported on line 7a of the Form 5500 2019-01-01 451
Number of retired or separated participants receiving benefits 2019-01-01 3
Number of other retired or separated participants entitled to future benefits 2019-01-01 82
Total of all active and inactive participants 2019-01-01 536
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2019-01-01 0
Total participants 2019-01-01 536
Number of participants with account balances 2019-01-01 522
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2019-01-01 28
2018: ASH BROKERAGE CORPORATION 401(K) RETIREMENT PLAN 2018 401k membership
Total participants, beginning-of-year 2018-01-01 396
Total number of active participants reported on line 7a of the Form 5500 2018-01-01 435
Number of retired or separated participants receiving benefits 2018-01-01 3
Number of other retired or separated participants entitled to future benefits 2018-01-01 68
Total of all active and inactive participants 2018-01-01 506
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2018-01-01 0
Total participants 2018-01-01 506
Number of participants with account balances 2018-01-01 487
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2018-01-01 37
2017: ASH BROKERAGE CORPORATION 401(K) RETIREMENT PLAN 2017 401k membership
Total participants, beginning-of-year 2017-01-01 413
Total number of active participants reported on line 7a of the Form 5500 2017-01-01 339
Number of retired or separated participants receiving benefits 2017-01-01 3
Number of other retired or separated participants entitled to future benefits 2017-01-01 54
Total of all active and inactive participants 2017-01-01 396
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2017-01-01 0
Total participants 2017-01-01 396
Number of participants with account balances 2017-01-01 383
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2017-01-01 28
2016: ASH BROKERAGE CORPORATION 401(K) RETIREMENT PLAN 2016 401k membership
Total participants, beginning-of-year 2016-01-01 391
Total number of active participants reported on line 7a of the Form 5500 2016-01-01 369
Number of retired or separated participants receiving benefits 2016-01-01 3
Number of other retired or separated participants entitled to future benefits 2016-01-01 40
Total of all active and inactive participants 2016-01-01 412
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2016-01-01 1
Total participants 2016-01-01 413
Number of participants with account balances 2016-01-01 397
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2016-01-01 19
2015: ASH BROKERAGE CORPORATION 401(K) RETIREMENT PLAN 2015 401k membership
Total participants, beginning-of-year 2015-01-01 381
Total number of active participants reported on line 7a of the Form 5500 2015-01-01 348
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 43
Total of all active and inactive participants 2015-01-01 391
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2015-01-01 0
Total participants 2015-01-01 391
Number of participants with account balances 2015-01-01 371
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2015-01-01 22
2014: ASH BROKERAGE CORPORATION 401(K) RETIREMENT PLAN 2014 401k membership
Total participants, beginning-of-year 2014-01-01 367
Total number of active participants reported on line 7a of the Form 5500 2014-01-01 339
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 42
Total of all active and inactive participants 2014-01-01 381
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2014-01-01 0
Total participants 2014-01-01 381
Number of participants with account balances 2014-01-01 363
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2014-01-01 17
2013: ASH BROKERAGE CORPORATION 401(K) RETIREMENT PLAN 2013 401k membership
Total participants, beginning-of-year 2013-01-01 364
Total number of active participants reported on line 7a of the Form 5500 2013-01-01 327
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 40
Total of all active and inactive participants 2013-01-01 367
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2013-01-01 0
Total participants 2013-01-01 367
Number of participants with account balances 2013-01-01 345
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2013-01-01 24
2012: ASH BROKERAGE CORPORATION 401(K) RETIREMENT PLAN 2012 401k membership
Total participants, beginning-of-year 2012-01-01 383
Total number of active participants reported on line 7a of the Form 5500 2012-01-01 316
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 48
Total of all active and inactive participants 2012-01-01 364
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2012-01-01 0
Total participants 2012-01-01 364
Number of participants with account balances 2012-01-01 339
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2012-01-01 19
2011: ASH BROKERAGE CORPORATION 401(K) RETIREMENT PLAN 2011 401k membership
Total participants, beginning-of-year 2011-01-01 400
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 339
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 41
Total of all active and inactive participants 2011-01-01 380
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-01-01 1
Total participants 2011-01-01 381
Number of participants with account balances 2011-01-01 361
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-01-01 18
2009: ASH BROKERAGE CORPORATION 401(K) RETIREMENT PLAN 2009 401k membership
Total participants, beginning-of-year 2009-01-01 331
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 312
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 24
Total of all active and inactive participants 2009-01-01 336
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-01-01 0
Total participants 2009-01-01 336
Number of participants with account balances 2009-01-01 310
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-01-01 0

Measure	Date	Value
2022: ASH BROKERAGE CORPORATION 401(K) RETIREMENT PLAN 2022 401k membership
Total participants, beginning-of-year	2022-01-01	552
Total number of active participants reported on line 7a of the Form 5500	2022-01-01	0
Number of retired or separated participants receiving benefits	2022-01-01	0
Number of other retired or separated participants entitled to future benefits	2022-01-01	0
Total of all active and inactive participants	2022-01-01	0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2022-01-01	0
Total participants	2022-01-01	0
Number of participants with account balances	2022-01-01	0
2021: ASH BROKERAGE CORPORATION 401(K) RETIREMENT PLAN 2021 401k membership
Total participants, beginning-of-year	2021-01-01	531
Total number of active participants reported on line 7a of the Form 5500	2021-01-01	445
Number of retired or separated participants receiving benefits	2021-01-01	3
Number of other retired or separated participants entitled to future benefits	2021-01-01	104
Total of all active and inactive participants	2021-01-01	552
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2021-01-01	0
Total participants	2021-01-01	552
Number of participants with account balances	2021-01-01	537
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2021-01-01	36
2020: ASH BROKERAGE CORPORATION 401(K) RETIREMENT PLAN 2020 401k membership
Total participants, beginning-of-year	2020-01-01	536
Total number of active participants reported on line 7a of the Form 5500	2020-01-01	454
Number of retired or separated participants receiving benefits	2020-01-01	1
Number of other retired or separated participants entitled to future benefits	2020-01-01	76
Total of all active and inactive participants	2020-01-01	531
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2020-01-01	0
Total participants	2020-01-01	531
Number of participants with account balances	2020-01-01	518
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2020-01-01	11
2019: ASH BROKERAGE CORPORATION 401(K) RETIREMENT PLAN 2019 401k membership
Total participants, beginning-of-year	2019-01-01	506
Total number of active participants reported on line 7a of the Form 5500	2019-01-01	451
Number of retired or separated participants receiving benefits	2019-01-01	3
Number of other retired or separated participants entitled to future benefits	2019-01-01	82
Total of all active and inactive participants	2019-01-01	536
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2019-01-01	0
Total participants	2019-01-01	536
Number of participants with account balances	2019-01-01	522
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2019-01-01	28
2018: ASH BROKERAGE CORPORATION 401(K) RETIREMENT PLAN 2018 401k membership
Total participants, beginning-of-year	2018-01-01	396
Total number of active participants reported on line 7a of the Form 5500	2018-01-01	435
Number of retired or separated participants receiving benefits	2018-01-01	3
Number of other retired or separated participants entitled to future benefits	2018-01-01	68
Total of all active and inactive participants	2018-01-01	506
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2018-01-01	0
Total participants	2018-01-01	506
Number of participants with account balances	2018-01-01	487
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2018-01-01	37
2017: ASH BROKERAGE CORPORATION 401(K) RETIREMENT PLAN 2017 401k membership
Total participants, beginning-of-year	2017-01-01	413
Total number of active participants reported on line 7a of the Form 5500	2017-01-01	339
Number of retired or separated participants receiving benefits	2017-01-01	3
Number of other retired or separated participants entitled to future benefits	2017-01-01	54
Total of all active and inactive participants	2017-01-01	396
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2017-01-01	0
Total participants	2017-01-01	396
Number of participants with account balances	2017-01-01	383
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2017-01-01	28
2016: ASH BROKERAGE CORPORATION 401(K) RETIREMENT PLAN 2016 401k membership
Total participants, beginning-of-year	2016-01-01	391
Total number of active participants reported on line 7a of the Form 5500	2016-01-01	369
Number of retired or separated participants receiving benefits	2016-01-01	3
Number of other retired or separated participants entitled to future benefits	2016-01-01	40
Total of all active and inactive participants	2016-01-01	412
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2016-01-01	1
Total participants	2016-01-01	413
Number of participants with account balances	2016-01-01	397
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2016-01-01	19
2015: ASH BROKERAGE CORPORATION 401(K) RETIREMENT PLAN 2015 401k membership
Total participants, beginning-of-year	2015-01-01	381
Total number of active participants reported on line 7a of the Form 5500	2015-01-01	348
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	43
Total of all active and inactive participants	2015-01-01	391
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2015-01-01	0
Total participants	2015-01-01	391
Number of participants with account balances	2015-01-01	371
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2015-01-01	22
2014: ASH BROKERAGE CORPORATION 401(K) RETIREMENT PLAN 2014 401k membership
Total participants, beginning-of-year	2014-01-01	367
Total number of active participants reported on line 7a of the Form 5500	2014-01-01	339
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	42
Total of all active and inactive participants	2014-01-01	381
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2014-01-01	0
Total participants	2014-01-01	381
Number of participants with account balances	2014-01-01	363
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2014-01-01	17
2013: ASH BROKERAGE CORPORATION 401(K) RETIREMENT PLAN 2013 401k membership
Total participants, beginning-of-year	2013-01-01	364
Total number of active participants reported on line 7a of the Form 5500	2013-01-01	327
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	40
Total of all active and inactive participants	2013-01-01	367
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2013-01-01	0
Total participants	2013-01-01	367
Number of participants with account balances	2013-01-01	345
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2013-01-01	24
2012: ASH BROKERAGE CORPORATION 401(K) RETIREMENT PLAN 2012 401k membership
Total participants, beginning-of-year	2012-01-01	383
Total number of active participants reported on line 7a of the Form 5500	2012-01-01	316
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	48
Total of all active and inactive participants	2012-01-01	364
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2012-01-01	0
Total participants	2012-01-01	364
Number of participants with account balances	2012-01-01	339
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2012-01-01	19
2011: ASH BROKERAGE CORPORATION 401(K) RETIREMENT PLAN 2011 401k membership
Total participants, beginning-of-year	2011-01-01	400
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	339
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	41
Total of all active and inactive participants	2011-01-01	380
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-01-01	1
Total participants	2011-01-01	381
Number of participants with account balances	2011-01-01	361
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-01-01	18
2009: ASH BROKERAGE CORPORATION 401(K) RETIREMENT PLAN 2009 401k membership
Total participants, beginning-of-year	2009-01-01	331
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	312
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	24
Total of all active and inactive participants	2009-01-01	336
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-01-01	0
Total participants	2009-01-01	336
Number of participants with account balances	2009-01-01	310
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-01-01	0

Financial Data on ASH BROKERAGE CORPORATION 401(K) RETIREMENT PLAN

Measure	Date	Value
2022 : ASH BROKERAGE CORPORATION 401(K) RETIREMENT PLAN 2022 401k financial data
Unrealized appreciation/depreciation of real estate assets	2022-11-16	$0
Unrealized appreciation/depreciation of other (non real estate) assets	2022-11-16	$0
Total unrealized appreciation/depreciation of assets	2022-11-16	$0
Total transfer of assets to this plan	2022-11-16	$0
Total transfer of assets from this plan	2022-11-16	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2022-11-16	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2022-11-16	$0
Expenses. Interest paid	2022-11-16	$0
Amount of participant contributions which was failed to transmit to the plan within the time period described in 29 CFR 251.3-102	2022-11-16	$0
Total income from all sources (including contributions)	2022-11-16	$-5,734,523
Total loss/gain on sale of assets	2022-11-16	$-206,762
Total of all expenses incurred	2022-11-16	$48,289,141
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2022-11-16	$48,178,606
Expenses. Certain deemed distributions of participant loans	2022-11-16	$0
Value of total corrective distributions	2022-11-16	$0
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2022-11-16	$2,225,950
Value of total assets at end of year	2022-11-16	$0
Value of total assets at beginning of year	2022-11-16	$54,023,664
Total of administrative expenses incurred including professional, contract, advisory and management fees	2022-11-16	$110,535
Total income from rents	2022-11-16	$0
Total interest from all sources	2022-11-16	$23,125
Total dividends received (eg from common stock, registered investment company shares)	2022-11-16	$465,984
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2022-11-16	Yes
Value of any plan assets that reverted to the employer resulting from resoluton to terminate the plan	2022-11-16	$0
Total dividends received from registered investment company shares (eg mutual funds)	2022-11-16	$463,428
Assets. Real estate other than employer real property at end of year	2022-11-16	$0
Assets. Real estate other than employer real property at beginning of year	2022-11-16	$0
Administrative expenses professional fees incurred	2022-11-16	$0
Assets. Corporate prefeered stocks other than exployer securities at end of year	2022-11-16	$0
Assets. Corporate prefeered stocks other than exployer securities at beginning of year	2022-11-16	$755
Was this plan covered by a fidelity bond	2022-11-16	Yes
Value of fidelity bond cover	2022-11-16	$500,000
If this is an individual account plan, was there a blackout period	2022-11-16	No
Were there any nonexempt tranactions with any party-in-interest	2022-11-16	No
Contributions received from participants	2022-11-16	$1,649,246
Participant contributions at end of year	2022-11-16	$0
Participant contributions at beginning of year	2022-11-16	$577,369
Participant contributions at end of year	2022-11-16	$0
Participant contributions at beginning of year	2022-11-16	$0
Assets. Other investments not covered elsewhere at end of year	2022-11-16	$0
Assets. Other investments not covered elsewhere at beginning of year	2022-11-16	$0
Income. Received or receivable in cash from other sources (including rollovers)	2022-11-16	$124,779
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)	2022-11-16	$0
Value of other receiveables (less allowance for doubtful accounts) at end of year	2022-11-16	$0
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2022-11-16	$0
Assets. Loans (other than to participants) at end of year	2022-11-16	$0
Assets. Loans (other than to participants) at beginning of year	2022-11-16	$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2022-11-16	$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2022-11-16	$0
Other income not declared elsewhere	2022-11-16	$0
Administrative expenses (other) incurred	2022-11-16	$110,535
Liabilities. Value of operating payables at end of year	2022-11-16	$0
Liabilities. Value of operating payables at beginning of year	2022-11-16	$0
Total non interest bearing cash at end of year	2022-11-16	$0
Total non interest bearing cash at beginning of year	2022-11-16	$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2022-11-16	No
Income. Non cash contributions	2022-11-16	$0
Value of net income/loss	2022-11-16	$-54,023,664
Value of net assets at end of year (total assets less liabilities)	2022-11-16	$0
Value of net assets at beginning of year (total assets less liabilities)	2022-11-16	$54,023,664
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2022-11-16	No
Were any loans by the plan or fixed income obligations due to the plan in default	2022-11-16	No
Were any leases to which the plan was party in default or uncollectible	2022-11-16	No
Assets. partnership/joint venture interests at end of year	2022-11-16	$0
Assets. partnership/joint venture interests at beginning of year	2022-11-16	$0
Investment advisory and management fees	2022-11-16	$0
Value of interest in registered invesment companies (eg mutual funds) at end of year	2022-11-16	$0
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2022-11-16	$51,232,434
Value of interest in pooled separate accounts at end of year	2022-11-16	$0
Value of interest in pooled separate accounts at beginning of year	2022-11-16	$0
Interest on participant loans	2022-11-16	$11,866
Income. Interest from loans (other than to participants)	2022-11-16	$0
Interest earned on other investments	2022-11-16	$4,908
Income. Interest from US Government securities	2022-11-16	$0
Income. Interest from corporate debt instruments	2022-11-16	$0
Value of interest in master investment trust accounts at end of year	2022-11-16	$0
Value of interest in master investment trust accounts at beginning of year	2022-11-16	$0
Value of interest in common/collective trusts at end of year	2022-11-16	$0
Value of interest in common/collective trusts at beginning of year	2022-11-16	$0
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2022-11-16	$0
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2022-11-16	$916,462
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2022-11-16	$916,462
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2022-11-16	$6,351
Assets. Value of investments in 103.12 investment entities at end of year	2022-11-16	$0
Assets. Value of investments in 103.12 investment entities at beginning of year	2022-11-16	$0
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2022-11-16	$0
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2022-11-16	$812,087
Expenses. Payments to insurance carriers foe the provision of benefits	2022-11-16	$0
Asset value of US Government securities at end of year	2022-11-16	$0
Asset value of US Government securities at beginning of year	2022-11-16	$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2022-11-16	$-8,242,820
Net investment gain/loss from pooled separate accounts	2022-11-16	$0
Net investment gain or loss from common/collective trusts	2022-11-16	$0
Net gain/loss from 103.12 investment entities	2022-11-16	$0
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2022-11-16	No
Was there a failure to transmit to the plan any participant contributions	2022-11-16	No
Has the plan failed to provide any benefit when due under the plan	2022-11-16	No
Assets. Invements in employer securities at end of year	2022-11-16	$0
Assets. Invements in employer securities at beginning of year	2022-11-16	$0
Assets. Value of employer real property at end of year	2022-11-16	$0
Assets. Value of employer real property at beginning of year	2022-11-16	$0
Contributions received in cash from employer	2022-11-16	$451,925
Employer contributions (assets) at end of year	2022-11-16	$0
Employer contributions (assets) at beginning of year	2022-11-16	$53,299
Income. Dividends from preferred stock	2022-11-16	$0
Income. Dividends from common stock	2022-11-16	$2,556
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2022-11-16	$48,178,606
Asset. Corporate debt instrument preferred debt at end of year	2022-11-16	$0
Asset. Corporate debt instrument preferred debt at beginning of year	2022-11-16	$0
Asset. Corporate debt instrument debt (other) at end of year	2022-11-16	$0
Asset. Corporate debt instrument debt (other) at beginning of year	2022-11-16	$0
Contract administrator fees	2022-11-16	$0
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-3	2022-11-16	No
Assets. Corporate common stocks other than exployer securities at end of year	2022-11-16	$0
Assets. Corporate common stocks other than exployer securities at beginning of year	2022-11-16	$431,258
Liabilities. Value of benefit claims payable at end of year	2022-11-16	$0
Liabilities. Value of benefit claims payable at beginning of year	2022-11-16	$0
Assets. Value of buildings and other operty used in plan operation at end of year	2022-11-16	$0
Assets. Value of buildings and other operty used in plan operation at beginning of year	2022-11-16	$0
Did the plan have assets held for investment	2022-11-16	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2022-11-16	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2022-11-16	Yes
Aggregate proceeds on sale of assets	2022-11-16	$670,072
Aggregate carrying amount (costs) on sale of assets	2022-11-16	$876,834
Liabilities. Value of acquisition indebtedness at end of year	2022-11-16	$0
Liabilities. Value of acquisition indebtedness at beginning of year	2022-11-16	$0
Opinion of an independent qualified public accountant for this plan	2022-11-16	Unqualified
Accountancy firm name	2022-11-16	KATZ, SAPPER & MILLER LLP
Accountancy firm EIN	2022-11-16	351090346
2021 : ASH BROKERAGE CORPORATION 401(K) RETIREMENT PLAN 2021 401k financial data
Unrealized appreciation/depreciation of real estate assets	2021-12-31	$0
Unrealized appreciation/depreciation of other (non real estate) assets	2021-12-31	$6,224
Total unrealized appreciation/depreciation of assets	2021-12-31	$6,224
Total transfer of assets to this plan	2021-12-31	$0
Total transfer of assets from this plan	2021-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2021-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2021-12-31	$0
Expenses. Interest paid	2021-12-31	$0
Amount of participant contributions which was failed to transmit to the plan within the time period described in 29 CFR 251.3-102	2021-12-31	$0
Total income from all sources (including contributions)	2021-12-31	$12,589,695
Total loss/gain on sale of assets	2021-12-31	$47,310
Total of all expenses incurred	2021-12-31	$2,857,181
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2021-12-31	$2,726,375
Expenses. Certain deemed distributions of participant loans	2021-12-31	$0
Value of total corrective distributions	2021-12-31	$0
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2021-12-31	$4,481,456
Value of total assets at end of year	2021-12-31	$54,023,664
Value of total assets at beginning of year	2021-12-31	$44,291,150
Total of administrative expenses incurred including professional, contract, advisory and management fees	2021-12-31	$130,806
Total income from rents	2021-12-31	$0
Total interest from all sources	2021-12-31	$42,142
Total dividends received (eg from common stock, registered investment company shares)	2021-12-31	$1,599,857
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2021-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2021-12-31	$1,597,523
Assets. Real estate other than employer real property at end of year	2021-12-31	$0
Assets. Real estate other than employer real property at beginning of year	2021-12-31	$0
Administrative expenses professional fees incurred	2021-12-31	$0
Assets. Corporate prefeered stocks other than exployer securities at end of year	2021-12-31	$755
Assets. Corporate prefeered stocks other than exployer securities at beginning of year	2021-12-31	$0
Was this plan covered by a fidelity bond	2021-12-31	Yes
Value of fidelity bond cover	2021-12-31	$500,000
If this is an individual account plan, was there a blackout period	2021-12-31	No
Were there any nonexempt tranactions with any party-in-interest	2021-12-31	No
Contributions received from participants	2021-12-31	$3,054,623
Participant contributions at end of year	2021-12-31	$577,369
Participant contributions at beginning of year	2021-12-31	$506,042
Participant contributions at end of year	2021-12-31	$0
Participant contributions at beginning of year	2021-12-31	$0
Assets. Other investments not covered elsewhere at end of year	2021-12-31	$0
Assets. Other investments not covered elsewhere at beginning of year	2021-12-31	$0
Income. Received or receivable in cash from other sources (including rollovers)	2021-12-31	$518,459
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)	2021-12-31	$0
Value of other receiveables (less allowance for doubtful accounts) at end of year	2021-12-31	$0
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2021-12-31	$0
Assets. Loans (other than to participants) at end of year	2021-12-31	$0
Assets. Loans (other than to participants) at beginning of year	2021-12-31	$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2021-12-31	$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2021-12-31	$0
Other income not declared elsewhere	2021-12-31	$0
Administrative expenses (other) incurred	2021-12-31	$130,806
Liabilities. Value of operating payables at end of year	2021-12-31	$0
Liabilities. Value of operating payables at beginning of year	2021-12-31	$0
Total non interest bearing cash at end of year	2021-12-31	$0
Total non interest bearing cash at beginning of year	2021-12-31	$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2021-12-31	No
Income. Non cash contributions	2021-12-31	$0
Value of net income/loss	2021-12-31	$9,732,514
Value of net assets at end of year (total assets less liabilities)	2021-12-31	$54,023,664
Value of net assets at beginning of year (total assets less liabilities)	2021-12-31	$44,291,150
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2021-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2021-12-31	No
Were any leases to which the plan was party in default or uncollectible	2021-12-31	No
Assets. partnership/joint venture interests at end of year	2021-12-31	$0
Assets. partnership/joint venture interests at beginning of year	2021-12-31	$0
Investment advisory and management fees	2021-12-31	$0
Value of interest in registered invesment companies (eg mutual funds) at end of year	2021-12-31	$51,232,434
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2021-12-31	$41,963,867
Value of interest in pooled separate accounts at end of year	2021-12-31	$0
Value of interest in pooled separate accounts at beginning of year	2021-12-31	$0
Interest on participant loans	2021-12-31	$25,419
Income. Interest from loans (other than to participants)	2021-12-31	$0
Interest earned on other investments	2021-12-31	$16,611
Income. Interest from US Government securities	2021-12-31	$0
Income. Interest from corporate debt instruments	2021-12-31	$0
Value of interest in master investment trust accounts at end of year	2021-12-31	$0
Value of interest in master investment trust accounts at beginning of year	2021-12-31	$0
Value of interest in common/collective trusts at end of year	2021-12-31	$0
Value of interest in common/collective trusts at beginning of year	2021-12-31	$0
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2021-12-31	$916,462
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2021-12-31	$468,789
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2021-12-31	$468,789
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2021-12-31	$112
Assets. Value of investments in 103.12 investment entities at end of year	2021-12-31	$0
Assets. Value of investments in 103.12 investment entities at beginning of year	2021-12-31	$0
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2021-12-31	$812,087
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2021-12-31	$469,161
Expenses. Payments to insurance carriers foe the provision of benefits	2021-12-31	$0
Asset value of US Government securities at end of year	2021-12-31	$0
Asset value of US Government securities at beginning of year	2021-12-31	$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2021-12-31	$6,412,706
Net investment gain/loss from pooled separate accounts	2021-12-31	$0
Net investment gain or loss from common/collective trusts	2021-12-31	$0
Net gain/loss from 103.12 investment entities	2021-12-31	$0
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2021-12-31	No
Was there a failure to transmit to the plan any participant contributions	2021-12-31	No
Has the plan failed to provide any benefit when due under the plan	2021-12-31	No
Assets. Invements in employer securities at end of year	2021-12-31	$0
Assets. Invements in employer securities at beginning of year	2021-12-31	$0
Assets. Value of employer real property at end of year	2021-12-31	$0
Assets. Value of employer real property at beginning of year	2021-12-31	$0
Contributions received in cash from employer	2021-12-31	$908,374
Employer contributions (assets) at end of year	2021-12-31	$53,299
Employer contributions (assets) at beginning of year	2021-12-31	$79,389
Income. Dividends from preferred stock	2021-12-31	$0
Income. Dividends from common stock	2021-12-31	$2,334
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2021-12-31	$2,726,375
Asset. Corporate debt instrument preferred debt at end of year	2021-12-31	$0
Asset. Corporate debt instrument preferred debt at beginning of year	2021-12-31	$0
Asset. Corporate debt instrument debt (other) at end of year	2021-12-31	$0
Asset. Corporate debt instrument debt (other) at beginning of year	2021-12-31	$0
Contract administrator fees	2021-12-31	$0
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-3	2021-12-31	No
Assets. Corporate common stocks other than exployer securities at end of year	2021-12-31	$431,258
Assets. Corporate common stocks other than exployer securities at beginning of year	2021-12-31	$803,902
Liabilities. Value of benefit claims payable at end of year	2021-12-31	$0
Liabilities. Value of benefit claims payable at beginning of year	2021-12-31	$0
Assets. Value of buildings and other operty used in plan operation at end of year	2021-12-31	$0
Assets. Value of buildings and other operty used in plan operation at beginning of year	2021-12-31	$0
Did the plan have assets held for investment	2021-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2021-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2021-12-31	No
Aggregate proceeds on sale of assets	2021-12-31	$1,458,363
Aggregate carrying amount (costs) on sale of assets	2021-12-31	$1,411,053
Liabilities. Value of acquisition indebtedness at end of year	2021-12-31	$0
Liabilities. Value of acquisition indebtedness at beginning of year	2021-12-31	$0
Opinion of an independent qualified public accountant for this plan	2021-12-31	Unqualified
Accountancy firm name	2021-12-31	KATZ, SAPPER & MILLER LLP
Accountancy firm EIN	2021-12-31	351090346
2020 : ASH BROKERAGE CORPORATION 401(K) RETIREMENT PLAN 2020 401k financial data
Unrealized appreciation/depreciation of real estate assets	2020-12-31	$0
Unrealized appreciation/depreciation of other (non real estate) assets	2020-12-31	$-46,718
Total unrealized appreciation/depreciation of assets	2020-12-31	$-46,718
Total transfer of assets to this plan	2020-12-31	$0
Total transfer of assets from this plan	2020-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2020-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2020-12-31	$0
Expenses. Interest paid	2020-12-31	$0
Amount of participant contributions which was failed to transmit to the plan within the time period described in 29 CFR 251.3-102	2020-12-31	$0
Total income from all sources (including contributions)	2020-12-31	$8,100,548
Total loss/gain on sale of assets	2020-12-31	$-284,555
Total of all expenses incurred	2020-12-31	$1,840,118
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2020-12-31	$1,749,853
Expenses. Certain deemed distributions of participant loans	2020-12-31	$0
Value of total corrective distributions	2020-12-31	$0
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2020-12-31	$4,070,143
Value of total assets at end of year	2020-12-31	$44,291,150
Value of total assets at beginning of year	2020-12-31	$38,030,720
Total of administrative expenses incurred including professional, contract, advisory and management fees	2020-12-31	$90,265
Total income from rents	2020-12-31	$0
Total interest from all sources	2020-12-31	$31,225
Total dividends received (eg from common stock, registered investment company shares)	2020-12-31	$828,431
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2020-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2020-12-31	$805,163
Assets. Real estate other than employer real property at end of year	2020-12-31	$0
Assets. Real estate other than employer real property at beginning of year	2020-12-31	$0
Administrative expenses professional fees incurred	2020-12-31	$0
Assets. Corporate prefeered stocks other than exployer securities at end of year	2020-12-31	$0
Assets. Corporate prefeered stocks other than exployer securities at beginning of year	2020-12-31	$0
Was this plan covered by a fidelity bond	2020-12-31	Yes
Value of fidelity bond cover	2020-12-31	$500,000
If this is an individual account plan, was there a blackout period	2020-12-31	No
Were there any nonexempt tranactions with any party-in-interest	2020-12-31	No
Contributions received from participants	2020-12-31	$3,029,905
Participant contributions at end of year	2020-12-31	$506,042
Participant contributions at beginning of year	2020-12-31	$497,337
Participant contributions at end of year	2020-12-31	$0
Participant contributions at beginning of year	2020-12-31	$0
Assets. Other investments not covered elsewhere at end of year	2020-12-31	$0
Assets. Other investments not covered elsewhere at beginning of year	2020-12-31	$0
Income. Received or receivable in cash from other sources (including rollovers)	2020-12-31	$106,467
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)	2020-12-31	$0
Value of other receiveables (less allowance for doubtful accounts) at end of year	2020-12-31	$0
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2020-12-31	$0
Assets. Loans (other than to participants) at end of year	2020-12-31	$0
Assets. Loans (other than to participants) at beginning of year	2020-12-31	$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2020-12-31	$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2020-12-31	$0
Other income not declared elsewhere	2020-12-31	$0
Administrative expenses (other) incurred	2020-12-31	$90,265
Liabilities. Value of operating payables at end of year	2020-12-31	$0
Liabilities. Value of operating payables at beginning of year	2020-12-31	$0
Total non interest bearing cash at end of year	2020-12-31	$0
Total non interest bearing cash at beginning of year	2020-12-31	$549
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2020-12-31	No
Income. Non cash contributions	2020-12-31	$0
Value of net income/loss	2020-12-31	$6,260,430
Value of net assets at end of year (total assets less liabilities)	2020-12-31	$44,291,150
Value of net assets at beginning of year (total assets less liabilities)	2020-12-31	$38,030,720
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2020-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2020-12-31	No
Were any leases to which the plan was party in default or uncollectible	2020-12-31	No
Assets. partnership/joint venture interests at end of year	2020-12-31	$0
Assets. partnership/joint venture interests at beginning of year	2020-12-31	$0
Investment advisory and management fees	2020-12-31	$0
Value of interest in registered invesment companies (eg mutual funds) at end of year	2020-12-31	$41,963,867
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2020-12-31	$36,184,570
Value of interest in pooled separate accounts at end of year	2020-12-31	$0
Value of interest in pooled separate accounts at beginning of year	2020-12-31	$0
Interest on participant loans	2020-12-31	$25,109
Income. Interest from loans (other than to participants)	2020-12-31	$0
Interest earned on other investments	2020-12-31	$3,900
Income. Interest from US Government securities	2020-12-31	$0
Income. Interest from corporate debt instruments	2020-12-31	$0
Value of interest in master investment trust accounts at end of year	2020-12-31	$0
Value of interest in master investment trust accounts at beginning of year	2020-12-31	$0
Value of interest in common/collective trusts at end of year	2020-12-31	$0
Value of interest in common/collective trusts at beginning of year	2020-12-31	$0
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2020-12-31	$468,789
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2020-12-31	$248,030
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2020-12-31	$248,030
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2020-12-31	$2,216
Assets. Value of investments in 103.12 investment entities at end of year	2020-12-31	$0
Assets. Value of investments in 103.12 investment entities at beginning of year	2020-12-31	$0
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2020-12-31	$469,161
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2020-12-31	$0
Expenses. Payments to insurance carriers foe the provision of benefits	2020-12-31	$0
Asset value of US Government securities at end of year	2020-12-31	$0
Asset value of US Government securities at beginning of year	2020-12-31	$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2020-12-31	$3,502,022
Net investment gain/loss from pooled separate accounts	2020-12-31	$0
Net investment gain or loss from common/collective trusts	2020-12-31	$0
Net gain/loss from 103.12 investment entities	2020-12-31	$0
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2020-12-31	No
Was there a failure to transmit to the plan any participant contributions	2020-12-31	No
Has the plan failed to provide any benefit when due under the plan	2020-12-31	No
Assets. Invements in employer securities at end of year	2020-12-31	$0
Assets. Invements in employer securities at beginning of year	2020-12-31	$0
Assets. Value of employer real property at end of year	2020-12-31	$0
Assets. Value of employer real property at beginning of year	2020-12-31	$0
Contributions received in cash from employer	2020-12-31	$933,771
Employer contributions (assets) at end of year	2020-12-31	$79,389
Employer contributions (assets) at beginning of year	2020-12-31	$66,332
Income. Dividends from preferred stock	2020-12-31	$0
Income. Dividends from common stock	2020-12-31	$23,268
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2020-12-31	$1,749,853
Asset. Corporate debt instrument preferred debt at end of year	2020-12-31	$0
Asset. Corporate debt instrument preferred debt at beginning of year	2020-12-31	$0
Asset. Corporate debt instrument debt (other) at end of year	2020-12-31	$0
Asset. Corporate debt instrument debt (other) at beginning of year	2020-12-31	$0
Contract administrator fees	2020-12-31	$0
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-3	2020-12-31	No
Assets. Corporate common stocks other than exployer securities at end of year	2020-12-31	$803,902
Assets. Corporate common stocks other than exployer securities at beginning of year	2020-12-31	$1,033,902
Liabilities. Value of benefit claims payable at end of year	2020-12-31	$0
Liabilities. Value of benefit claims payable at beginning of year	2020-12-31	$0
Assets. Value of buildings and other operty used in plan operation at end of year	2020-12-31	$0
Assets. Value of buildings and other operty used in plan operation at beginning of year	2020-12-31	$0
Did the plan have assets held for investment	2020-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2020-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2020-12-31	No
Aggregate proceeds on sale of assets	2020-12-31	$1,750,873
Aggregate carrying amount (costs) on sale of assets	2020-12-31	$2,035,428
Liabilities. Value of acquisition indebtedness at end of year	2020-12-31	$0
Liabilities. Value of acquisition indebtedness at beginning of year	2020-12-31	$0
Opinion of an independent qualified public accountant for this plan	2020-12-31	Unqualified
Accountancy firm name	2020-12-31	KATZ, SAPPER & MILLER LLP
Accountancy firm EIN	2020-12-31	351090346
2019 : ASH BROKERAGE CORPORATION 401(K) RETIREMENT PLAN 2019 401k financial data
Unrealized appreciation/depreciation of real estate assets	2019-12-31	$0
Unrealized appreciation/depreciation of other (non real estate) assets	2019-12-31	$164,792
Total unrealized appreciation/depreciation of assets	2019-12-31	$164,792
Total transfer of assets to this plan	2019-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2019-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2019-12-31	$0
Expenses. Interest paid	2019-12-31	$0
Amount of participant contributions which was failed to transmit to the plan within the time period described in 29 CFR 251.3-102	2019-12-31	$0
Total income from all sources (including contributions)	2019-12-31	$11,900,488
Total loss/gain on sale of assets	2019-12-31	$6,323
Total of all expenses incurred	2019-12-31	$3,314,653
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2019-12-31	$3,257,972
Expenses. Certain deemed distributions of participant loans	2019-12-31	$0
Value of total corrective distributions	2019-12-31	$0
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2019-12-31	$4,773,415
Value of total assets at end of year	2019-12-31	$38,030,720
Value of total assets at beginning of year	2019-12-31	$29,444,885
Total of administrative expenses incurred including professional, contract, advisory and management fees	2019-12-31	$56,681
Total income from rents	2019-12-31	$0
Total interest from all sources	2019-12-31	$26,514
Total dividends received (eg from common stock, registered investment company shares)	2019-12-31	$1,313,690
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2019-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2019-12-31	$1,313,690
Assets. Real estate other than employer real property at end of year	2019-12-31	$0
Assets. Real estate other than employer real property at beginning of year	2019-12-31	$0
Administrative expenses professional fees incurred	2019-12-31	$0
Assets. Corporate prefeered stocks other than exployer securities at end of year	2019-12-31	$0
Assets. Corporate prefeered stocks other than exployer securities at beginning of year	2019-12-31	$0
Was this plan covered by a fidelity bond	2019-12-31	Yes
Value of fidelity bond cover	2019-12-31	$500,000
If this is an individual account plan, was there a blackout period	2019-12-31	No
Were there any nonexempt tranactions with any party-in-interest	2019-12-31	No
Contributions received from participants	2019-12-31	$2,780,595
Participant contributions at end of year	2019-12-31	$497,337
Participant contributions at beginning of year	2019-12-31	$348,157
Participant contributions at end of year	2019-12-31	$0
Participant contributions at beginning of year	2019-12-31	$0
Assets. Other investments not covered elsewhere at end of year	2019-12-31	$0
Assets. Other investments not covered elsewhere at beginning of year	2019-12-31	$0
Income. Received or receivable in cash from other sources (including rollovers)	2019-12-31	$1,131,679
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)	2019-12-31	$0
Value of other receiveables (less allowance for doubtful accounts) at end of year	2019-12-31	$0
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2019-12-31	$0
Assets. Loans (other than to participants) at end of year	2019-12-31	$0
Assets. Loans (other than to participants) at beginning of year	2019-12-31	$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2019-12-31	$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2019-12-31	$0
Other income not declared elsewhere	2019-12-31	$0
Administrative expenses (other) incurred	2019-12-31	$56,681
Liabilities. Value of operating payables at end of year	2019-12-31	$0
Liabilities. Value of operating payables at beginning of year	2019-12-31	$0
Total non interest bearing cash at end of year	2019-12-31	$549
Total non interest bearing cash at beginning of year	2019-12-31	$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2019-12-31	No
Income. Non cash contributions	2019-12-31	$0
Value of net income/loss	2019-12-31	$8,585,835
Value of net assets at end of year (total assets less liabilities)	2019-12-31	$38,030,720
Value of net assets at beginning of year (total assets less liabilities)	2019-12-31	$29,444,885
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2019-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2019-12-31	No
Were any leases to which the plan was party in default or uncollectible	2019-12-31	No
Assets. partnership/joint venture interests at end of year	2019-12-31	$0
Assets. partnership/joint venture interests at beginning of year	2019-12-31	$0
Investment advisory and management fees	2019-12-31	$0
Value of interest in registered invesment companies (eg mutual funds) at end of year	2019-12-31	$36,184,570
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2019-12-31	$28,423,392
Value of interest in pooled separate accounts at end of year	2019-12-31	$0
Value of interest in pooled separate accounts at beginning of year	2019-12-31	$0
Interest on participant loans	2019-12-31	$26,514
Income. Interest from loans (other than to participants)	2019-12-31	$0
Interest earned on other investments	2019-12-31	$0
Income. Interest from US Government securities	2019-12-31	$0
Income. Interest from corporate debt instruments	2019-12-31	$0
Value of interest in master investment trust accounts at end of year	2019-12-31	$0
Value of interest in master investment trust accounts at beginning of year	2019-12-31	$0
Value of interest in common/collective trusts at end of year	2019-12-31	$0
Value of interest in common/collective trusts at beginning of year	2019-12-31	$0
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2019-12-31	$248,030
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2019-12-31	$319,263
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2019-12-31	$319,263
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2019-12-31	$0
Assets. Value of investments in 103.12 investment entities at end of year	2019-12-31	$0
Assets. Value of investments in 103.12 investment entities at beginning of year	2019-12-31	$0
Expenses. Payments to insurance carriers foe the provision of benefits	2019-12-31	$0
Asset value of US Government securities at end of year	2019-12-31	$0
Asset value of US Government securities at beginning of year	2019-12-31	$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2019-12-31	$5,615,754
Net investment gain/loss from pooled separate accounts	2019-12-31	$0
Net investment gain or loss from common/collective trusts	2019-12-31	$0
Net gain/loss from 103.12 investment entities	2019-12-31	$0
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2019-12-31	No
Was there a failure to transmit to the plan any participant contributions	2019-12-31	No
Has the plan failed to provide any benefit when due under the plan	2019-12-31	No
Assets. Invements in employer securities at end of year	2019-12-31	$0
Assets. Invements in employer securities at beginning of year	2019-12-31	$0
Assets. Value of employer real property at end of year	2019-12-31	$0
Assets. Value of employer real property at beginning of year	2019-12-31	$0
Contributions received in cash from employer	2019-12-31	$861,141
Employer contributions (assets) at end of year	2019-12-31	$66,332
Employer contributions (assets) at beginning of year	2019-12-31	$57,445
Income. Dividends from preferred stock	2019-12-31	$0
Income. Dividends from common stock	2019-12-31	$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2019-12-31	$3,257,972
Asset. Corporate debt instrument preferred debt at end of year	2019-12-31	$0
Asset. Corporate debt instrument preferred debt at beginning of year	2019-12-31	$0
Asset. Corporate debt instrument debt (other) at end of year	2019-12-31	$0
Asset. Corporate debt instrument debt (other) at beginning of year	2019-12-31	$0
Contract administrator fees	2019-12-31	$0
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-3	2019-12-31	No
Assets. Corporate common stocks other than exployer securities at end of year	2019-12-31	$1,033,902
Assets. Corporate common stocks other than exployer securities at beginning of year	2019-12-31	$296,628
Liabilities. Value of benefit claims payable at end of year	2019-12-31	$0
Liabilities. Value of benefit claims payable at beginning of year	2019-12-31	$0
Assets. Value of buildings and other operty used in plan operation at end of year	2019-12-31	$0
Assets. Value of buildings and other operty used in plan operation at beginning of year	2019-12-31	$0
Did the plan have assets held for investment	2019-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2019-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2019-12-31	No
Aggregate proceeds on sale of assets	2019-12-31	$164,610
Aggregate carrying amount (costs) on sale of assets	2019-12-31	$158,287
Liabilities. Value of acquisition indebtedness at end of year	2019-12-31	$0
Liabilities. Value of acquisition indebtedness at beginning of year	2019-12-31	$0
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2019-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2019-12-31	Disclaimer
Accountancy firm name	2019-12-31	KATZ, SAPPER & MILLER LLP
Accountancy firm EIN	2019-12-31	351090346
2018 : ASH BROKERAGE CORPORATION 401(K) RETIREMENT PLAN 2018 401k financial data
Unrealized appreciation/depreciation of real estate assets	2018-12-31	$0
Unrealized appreciation/depreciation of other (non real estate) assets	2018-12-31	$176,333
Total unrealized appreciation/depreciation of assets	2018-12-31	$176,333
Total transfer of assets to this plan	2018-12-31	$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
Expenses. Interest paid	2018-12-31	$0
Amount of participant contributions which was failed to transmit to the plan within the time period described in 29 CFR 251.3-102	2018-12-31	$0
Total income from all sources (including contributions)	2018-12-31	$3,915,919
Total loss/gain on sale of assets	2018-12-31	$-15,673
Total of all expenses incurred	2018-12-31	$2,118,958
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2018-12-31	$2,060,369
Expenses. Certain deemed distributions of participant loans	2018-12-31	$0
Value of total corrective distributions	2018-12-31	$1,055
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2018-12-31	$5,710,731
Value of total assets at end of year	2018-12-31	$29,444,885
Value of total assets at beginning of year	2018-12-31	$27,647,924
Total of administrative expenses incurred including professional, contract, advisory and management fees	2018-12-31	$57,534
Total income from rents	2018-12-31	$0
Total interest from all sources	2018-12-31	$32,794
Total dividends received (eg from common stock, registered investment company shares)	2018-12-31	$1,163,511
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2018-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2018-12-31	$1,163,328
Assets. Real estate other than employer real property at end of year	2018-12-31	$0
Assets. Real estate other than employer real property at beginning of year	2018-12-31	$0
Administrative expenses professional fees incurred	2018-12-31	$0
Assets. Corporate prefeered stocks other than exployer securities at end of year	2018-12-31	$0
Assets. Corporate prefeered stocks other than exployer securities at beginning of year	2018-12-31	$0
Was this plan covered by a fidelity bond	2018-12-31	Yes
Value of fidelity bond cover	2018-12-31	$500,000
If this is an individual account plan, was there a blackout period	2018-12-31	No
Were there any nonexempt tranactions with any party-in-interest	2018-12-31	No
Contributions received from participants	2018-12-31	$2,327,387
Participant contributions at end of year	2018-12-31	$348,157
Participant contributions at beginning of year	2018-12-31	$373,508
Participant contributions at end of year	2018-12-31	$0
Participant contributions at beginning of year	2018-12-31	$0
Assets. Other investments not covered elsewhere at end of year	2018-12-31	$0
Assets. Other investments not covered elsewhere at beginning of year	2018-12-31	$0
Income. Received or receivable in cash from other sources (including rollovers)	2018-12-31	$2,680,727
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)	2018-12-31	$0
Value of other receiveables (less allowance for doubtful accounts) at end of year	2018-12-31	$0
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2018-12-31	$0
Assets. Loans (other than to participants) at end of year	2018-12-31	$0
Assets. Loans (other than to participants) at beginning of year	2018-12-31	$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2018-12-31	$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2018-12-31	$0
Other income not declared elsewhere	2018-12-31	$0
Administrative expenses (other) incurred	2018-12-31	$57,534
Liabilities. Value of operating payables at end of year	2018-12-31	$0
Liabilities. Value of operating payables at beginning of year	2018-12-31	$0
Total non interest bearing cash at end of year	2018-12-31	$0
Total non interest bearing cash at beginning of year	2018-12-31	$734
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2018-12-31	No
Income. Non cash contributions	2018-12-31	$0
Value of net income/loss	2018-12-31	$1,796,961
Value of net assets at end of year (total assets less liabilities)	2018-12-31	$29,444,885
Value of net assets at beginning of year (total assets less liabilities)	2018-12-31	$27,647,924
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2018-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2018-12-31	No
Were any leases to which the plan was party in default or uncollectible	2018-12-31	No
Assets. partnership/joint venture interests at end of year	2018-12-31	$0
Assets. partnership/joint venture interests at beginning of year	2018-12-31	$0
Investment advisory and management fees	2018-12-31	$0
Value of interest in registered invesment companies (eg mutual funds) at end of year	2018-12-31	$28,423,392
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2018-12-31	$26,643,247
Value of interest in pooled separate accounts at end of year	2018-12-31	$0
Value of interest in pooled separate accounts at beginning of year	2018-12-31	$0
Interest on participant loans	2018-12-31	$21,750
Income. Interest from loans (other than to participants)	2018-12-31	$0
Interest earned on other investments	2018-12-31	$0
Income. Interest from US Government securities	2018-12-31	$0
Income. Interest from corporate debt instruments	2018-12-31	$0
Value of interest in master investment trust accounts at end of year	2018-12-31	$0
Value of interest in master investment trust accounts at beginning of year	2018-12-31	$0
Value of interest in common/collective trusts at end of year	2018-12-31	$0
Value of interest in common/collective trusts at beginning of year	2018-12-31	$0
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2018-12-31	$319,263
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2018-12-31	$455,397
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2018-12-31	$455,397
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2018-12-31	$11,044
Assets. Value of investments in 103.12 investment entities at end of year	2018-12-31	$0
Assets. Value of investments in 103.12 investment entities at beginning of year	2018-12-31	$0
Expenses. Payments to insurance carriers foe the provision of benefits	2018-12-31	$0
Asset value of US Government securities at end of year	2018-12-31	$0
Asset value of US Government securities at beginning of year	2018-12-31	$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2018-12-31	$-3,151,777
Net investment gain/loss from pooled separate accounts	2018-12-31	$0
Net investment gain or loss from common/collective trusts	2018-12-31	$0
Net gain/loss from 103.12 investment entities	2018-12-31	$0
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2018-12-31	No
Was there a failure to transmit to the plan any participant contributions	2018-12-31	No
Has the plan failed to provide any benefit when due under the plan	2018-12-31	No
Assets. Invements in employer securities at end of year	2018-12-31	$0
Assets. Invements in employer securities at beginning of year	2018-12-31	$0
Assets. Value of employer real property at end of year	2018-12-31	$0
Assets. Value of employer real property at beginning of year	2018-12-31	$0
Contributions received in cash from employer	2018-12-31	$702,617
Employer contributions (assets) at end of year	2018-12-31	$57,445
Employer contributions (assets) at beginning of year	2018-12-31	$66,666
Income. Dividends from preferred stock	2018-12-31	$0
Income. Dividends from common stock	2018-12-31	$183
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2018-12-31	$2,060,369
Asset. Corporate debt instrument preferred debt at end of year	2018-12-31	$0
Asset. Corporate debt instrument preferred debt at beginning of year	2018-12-31	$0
Asset. Corporate debt instrument debt (other) at end of year	2018-12-31	$0
Asset. Corporate debt instrument debt (other) at beginning of year	2018-12-31	$0
Contract administrator fees	2018-12-31	$0
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-3	2018-12-31	No
Assets. Corporate common stocks other than exployer securities at end of year	2018-12-31	$296,628
Assets. Corporate common stocks other than exployer securities at beginning of year	2018-12-31	$108,372
Liabilities. Value of benefit claims payable at end of year	2018-12-31	$0
Liabilities. Value of benefit claims payable at beginning of year	2018-12-31	$0
Assets. Value of buildings and other operty used in plan operation at end of year	2018-12-31	$0
Assets. Value of buildings and other operty used in plan operation at beginning of year	2018-12-31	$0
Did the plan have assets held for investment	2018-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2018-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2018-12-31	No
Aggregate proceeds on sale of assets	2018-12-31	$56,563
Aggregate carrying amount (costs) on sale of assets	2018-12-31	$72,236
Liabilities. Value of acquisition indebtedness at end of year	2018-12-31	$0
Liabilities. Value of acquisition indebtedness at beginning of year	2018-12-31	$0
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2018-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2018-12-31	Disclaimer
Accountancy firm name	2018-12-31	KATZ, SAPPER & MILLER LLP
Accountancy firm EIN	2018-12-31	351090346
2017 : ASH BROKERAGE CORPORATION 401(K) RETIREMENT PLAN 2017 401k financial data
Unrealized appreciation/depreciation of real estate assets	2017-12-31	$0
Unrealized appreciation/depreciation of other (non real estate) assets	2017-12-31	$20,013
Total unrealized appreciation/depreciation of assets	2017-12-31	$20,013
Total transfer of assets to this plan	2017-12-31	$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	$0
Expenses. Interest paid	2017-12-31	$0
Amount of participant contributions which was failed to transmit to the plan within the time period described in 29 CFR 251.3-102	2017-12-31	$0
Total income from all sources (including contributions)	2017-12-31	$6,727,945
Total loss/gain on sale of assets	2017-12-31	$3,710
Total of all expenses incurred	2017-12-31	$1,883,625
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2017-12-31	$1,832,511
Expenses. Certain deemed distributions of participant loans	2017-12-31	$0
Value of total corrective distributions	2017-12-31	$0
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2017-12-31	$2,892,835
Value of total assets at end of year	2017-12-31	$27,647,924
Value of total assets at beginning of year	2017-12-31	$22,803,604
Total of administrative expenses incurred including professional, contract, advisory and management fees	2017-12-31	$51,114
Total income from rents	2017-12-31	$0
Total interest from all sources	2017-12-31	$20,509
Total dividends received (eg from common stock, registered investment company shares)	2017-12-31	$900,449
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2017-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2017-12-31	$900,344
Assets. Real estate other than employer real property at end of year	2017-12-31	$0
Assets. Real estate other than employer real property at beginning of year	2017-12-31	$0
Administrative expenses professional fees incurred	2017-12-31	$0
Assets. Corporate prefeered stocks other than exployer securities at end of year	2017-12-31	$0
Assets. Corporate prefeered stocks other than exployer securities at beginning of year	2017-12-31	$0
Was this plan covered by a fidelity bond	2017-12-31	Yes
Value of fidelity bond cover	2017-12-31	$500,000
If this is an individual account plan, was there a blackout period	2017-12-31	No
Were there any nonexempt tranactions with any party-in-interest	2017-12-31	No
Contributions received from participants	2017-12-31	$2,026,467
Participant contributions at end of year	2017-12-31	$373,508
Participant contributions at beginning of year	2017-12-31	$359,734
Participant contributions at end of year	2017-12-31	$0
Participant contributions at beginning of year	2017-12-31	$0
Assets. Other investments not covered elsewhere at end of year	2017-12-31	$0
Assets. Other investments not covered elsewhere at beginning of year	2017-12-31	$0
Income. Received or receivable in cash from other sources (including rollovers)	2017-12-31	$145,216
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)	2017-12-31	$0
Value of other receiveables (less allowance for doubtful accounts) at end of year	2017-12-31	$0
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2017-12-31	$0
Assets. Loans (other than to participants) at end of year	2017-12-31	$0
Assets. Loans (other than to participants) at beginning of year	2017-12-31	$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2017-12-31	$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2017-12-31	$0
Other income not declared elsewhere	2017-12-31	$0
Administrative expenses (other) incurred	2017-12-31	$51,114
Liabilities. Value of operating payables at end of year	2017-12-31	$0
Liabilities. Value of operating payables at beginning of year	2017-12-31	$0
Total non interest bearing cash at end of year	2017-12-31	$734
Total non interest bearing cash at beginning of year	2017-12-31	$543
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2017-12-31	No
Income. Non cash contributions	2017-12-31	$0
Value of net income/loss	2017-12-31	$4,844,320
Value of net assets at end of year (total assets less liabilities)	2017-12-31	$27,647,924
Value of net assets at beginning of year (total assets less liabilities)	2017-12-31	$22,803,604
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2017-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2017-12-31	No
Were any leases to which the plan was party in default or uncollectible	2017-12-31	No
Assets. partnership/joint venture interests at end of year	2017-12-31	$0
Assets. partnership/joint venture interests at beginning of year	2017-12-31	$0
Investment advisory and management fees	2017-12-31	$0
Value of interest in registered invesment companies (eg mutual funds) at end of year	2017-12-31	$26,643,247
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2017-12-31	$22,090,007
Value of interest in pooled separate accounts at end of year	2017-12-31	$0
Value of interest in pooled separate accounts at beginning of year	2017-12-31	$0
Interest on participant loans	2017-12-31	$17,165
Income. Interest from loans (other than to participants)	2017-12-31	$0
Interest earned on other investments	2017-12-31	$0
Income. Interest from US Government securities	2017-12-31	$0
Income. Interest from corporate debt instruments	2017-12-31	$0
Value of interest in master investment trust accounts at end of year	2017-12-31	$0
Value of interest in master investment trust accounts at beginning of year	2017-12-31	$0
Value of interest in common/collective trusts at end of year	2017-12-31	$0
Value of interest in common/collective trusts at beginning of year	2017-12-31	$0
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2017-12-31	$455,397
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2017-12-31	$187,295
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2017-12-31	$187,295
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2017-12-31	$3,344
Assets. Value of investments in 103.12 investment entities at end of year	2017-12-31	$0
Assets. Value of investments in 103.12 investment entities at beginning of year	2017-12-31	$0
Expenses. Payments to insurance carriers foe the provision of benefits	2017-12-31	$0
Asset value of US Government securities at end of year	2017-12-31	$0
Asset value of US Government securities at beginning of year	2017-12-31	$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2017-12-31	$2,890,429
Net investment gain/loss from pooled separate accounts	2017-12-31	$0
Net investment gain or loss from common/collective trusts	2017-12-31	$0
Net gain/loss from 103.12 investment entities	2017-12-31	$0
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2017-12-31	No
Was there a failure to transmit to the plan any participant contributions	2017-12-31	No
Has the plan failed to provide any benefit when due under the plan	2017-12-31	No
Assets. Invements in employer securities at end of year	2017-12-31	$0
Assets. Invements in employer securities at beginning of year	2017-12-31	$0
Assets. Value of employer real property at end of year	2017-12-31	$0
Assets. Value of employer real property at beginning of year	2017-12-31	$0
Contributions received in cash from employer	2017-12-31	$721,152
Employer contributions (assets) at end of year	2017-12-31	$66,666
Employer contributions (assets) at beginning of year	2017-12-31	$75,822
Income. Dividends from preferred stock	2017-12-31	$0
Income. Dividends from common stock	2017-12-31	$105
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2017-12-31	$1,832,511
Asset. Corporate debt instrument preferred debt at end of year	2017-12-31	$0
Asset. Corporate debt instrument preferred debt at beginning of year	2017-12-31	$0
Asset. Corporate debt instrument debt (other) at end of year	2017-12-31	$0
Asset. Corporate debt instrument debt (other) at beginning of year	2017-12-31	$0
Contract administrator fees	2017-12-31	$0
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-3	2017-12-31	No
Assets. Corporate common stocks other than exployer securities at end of year	2017-12-31	$108,372
Assets. Corporate common stocks other than exployer securities at beginning of year	2017-12-31	$90,203
Liabilities. Value of benefit claims payable at end of year	2017-12-31	$0
Liabilities. Value of benefit claims payable at beginning of year	2017-12-31	$0
Assets. Value of buildings and other operty used in plan operation at end of year	2017-12-31	$0
Assets. Value of buildings and other operty used in plan operation at beginning of year	2017-12-31	$0
Did the plan have assets held for investment	2017-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2017-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2017-12-31	No
Aggregate proceeds on sale of assets	2017-12-31	$19,028
Aggregate carrying amount (costs) on sale of assets	2017-12-31	$15,318
Liabilities. Value of acquisition indebtedness at end of year	2017-12-31	$0
Liabilities. Value of acquisition indebtedness at beginning of year	2017-12-31	$0
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2017-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2017-12-31	Disclaimer
Accountancy firm name	2017-12-31	KATZ, SAPPER & MILLER LLP
Accountancy firm EIN	2017-12-31	351090346
2016 : ASH BROKERAGE CORPORATION 401(K) RETIREMENT PLAN 2016 401k financial data
Unrealized appreciation/depreciation of real estate assets	2016-12-31	$0
Unrealized appreciation/depreciation of other (non real estate) assets	2016-12-31	$11,913
Total unrealized appreciation/depreciation of assets	2016-12-31	$11,913
Total transfer of assets to this plan	2016-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2016-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2016-12-31	$0
Expenses. Interest paid	2016-12-31	$0
Amount of participant contributions which was failed to transmit to the plan within the time period described in 29 CFR 251.3-102	2016-12-31	$0
Total income from all sources (including contributions)	2016-12-31	$4,993,758
Total loss/gain on sale of assets	2016-12-31	$-161
Total of all expenses incurred	2016-12-31	$1,316,545
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2016-12-31	$1,275,592
Expenses. Certain deemed distributions of participant loans	2016-12-31	$0
Value of total corrective distributions	2016-12-31	$0
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2016-12-31	$3,112,230
Value of total assets at end of year	2016-12-31	$22,803,604
Value of total assets at beginning of year	2016-12-31	$19,126,391
Total of administrative expenses incurred including professional, contract, advisory and management fees	2016-12-31	$40,953
Total income from rents	2016-12-31	$0
Total interest from all sources	2016-12-31	$16,082
Total dividends received (eg from common stock, registered investment company shares)	2016-12-31	$613,098
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2016-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2016-12-31	$613,098
Assets. Real estate other than employer real property at end of year	2016-12-31	$0
Assets. Real estate other than employer real property at beginning of year	2016-12-31	$0
Administrative expenses professional fees incurred	2016-12-31	$0
Assets. Corporate prefeered stocks other than exployer securities at end of year	2016-12-31	$0
Assets. Corporate prefeered stocks other than exployer securities at beginning of year	2016-12-31	$0
Was this plan covered by a fidelity bond	2016-12-31	Yes
Value of fidelity bond cover	2016-12-31	$500,000
If this is an individual account plan, was there a blackout period	2016-12-31	No
Were there any nonexempt tranactions with any party-in-interest	2016-12-31	No
Contributions received from participants	2016-12-31	$1,874,619
Participant contributions at end of year	2016-12-31	$359,734
Participant contributions at beginning of year	2016-12-31	$374,639
Participant contributions at end of year	2016-12-31	$0
Participant contributions at beginning of year	2016-12-31	$0
Assets. Other investments not covered elsewhere at end of year	2016-12-31	$0
Assets. Other investments not covered elsewhere at beginning of year	2016-12-31	$0
Income. Received or receivable in cash from other sources (including rollovers)	2016-12-31	$581,591
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)	2016-12-31	$0
Value of other receiveables (less allowance for doubtful accounts) at end of year	2016-12-31	$0
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2016-12-31	$0
Assets. Loans (other than to participants) at end of year	2016-12-31	$0
Assets. Loans (other than to participants) at beginning of year	2016-12-31	$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2016-12-31	$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2016-12-31	$0
Other income not declared elsewhere	2016-12-31	$0
Administrative expenses (other) incurred	2016-12-31	$40,953
Liabilities. Value of operating payables at end of year	2016-12-31	$0
Liabilities. Value of operating payables at beginning of year	2016-12-31	$0
Total non interest bearing cash at end of year	2016-12-31	$543
Total non interest bearing cash at beginning of year	2016-12-31	$994
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2016-12-31	No
Income. Non cash contributions	2016-12-31	$0
Value of net income/loss	2016-12-31	$3,677,213
Value of net assets at end of year (total assets less liabilities)	2016-12-31	$22,803,604
Value of net assets at beginning of year (total assets less liabilities)	2016-12-31	$19,126,391
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2016-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2016-12-31	No
Were any leases to which the plan was party in default or uncollectible	2016-12-31	No
Assets. partnership/joint venture interests at end of year	2016-12-31	$0
Assets. partnership/joint venture interests at beginning of year	2016-12-31	$0
Investment advisory and management fees	2016-12-31	$0
Value of interest in registered invesment companies (eg mutual funds) at end of year	2016-12-31	$22,090,007
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2016-12-31	$18,524,940
Value of interest in pooled separate accounts at end of year	2016-12-31	$0
Value of interest in pooled separate accounts at beginning of year	2016-12-31	$0
Interest on participant loans	2016-12-31	$15,785
Income. Interest from loans (other than to participants)	2016-12-31	$0
Interest earned on other investments	2016-12-31	$0
Income. Interest from US Government securities	2016-12-31	$0
Income. Interest from corporate debt instruments	2016-12-31	$0
Value of interest in master investment trust accounts at end of year	2016-12-31	$0
Value of interest in master investment trust accounts at beginning of year	2016-12-31	$0
Value of interest in common/collective trusts at end of year	2016-12-31	$0
Value of interest in common/collective trusts at beginning of year	2016-12-31	$0
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2016-12-31	$187,295
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2016-12-31	$180,343
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2016-12-31	$180,343
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2016-12-31	$297
Assets. Value of investments in 103.12 investment entities at end of year	2016-12-31	$0
Assets. Value of investments in 103.12 investment entities at beginning of year	2016-12-31	$0
Expenses. Payments to insurance carriers foe the provision of benefits	2016-12-31	$0
Asset value of US Government securities at end of year	2016-12-31	$0
Asset value of US Government securities at beginning of year	2016-12-31	$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2016-12-31	$1,240,596
Net investment gain/loss from pooled separate accounts	2016-12-31	$0
Net investment gain or loss from common/collective trusts	2016-12-31	$0
Net gain/loss from 103.12 investment entities	2016-12-31	$0
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2016-12-31	No
Was there a failure to transmit to the plan any participant contributions	2016-12-31	No
Has the plan failed to provide any benefit when due under the plan	2016-12-31	No
Assets. Invements in employer securities at end of year	2016-12-31	$0
Assets. Invements in employer securities at beginning of year	2016-12-31	$0
Assets. Value of employer real property at end of year	2016-12-31	$0
Assets. Value of employer real property at beginning of year	2016-12-31	$0
Contributions received in cash from employer	2016-12-31	$656,020
Employer contributions (assets) at end of year	2016-12-31	$75,822
Employer contributions (assets) at beginning of year	2016-12-31	$0
Income. Dividends from preferred stock	2016-12-31	$0
Income. Dividends from common stock	2016-12-31	$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2016-12-31	$1,275,592
Asset. Corporate debt instrument preferred debt at end of year	2016-12-31	$0
Asset. Corporate debt instrument preferred debt at beginning of year	2016-12-31	$0
Asset. Corporate debt instrument debt (other) at end of year	2016-12-31	$0
Asset. Corporate debt instrument debt (other) at beginning of year	2016-12-31	$0
Contract administrator fees	2016-12-31	$0
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-3	2016-12-31	No
Assets. Corporate common stocks other than exployer securities at end of year	2016-12-31	$90,203
Assets. Corporate common stocks other than exployer securities at beginning of year	2016-12-31	$45,475
Liabilities. Value of benefit claims payable at end of year	2016-12-31	$0
Liabilities. Value of benefit claims payable at beginning of year	2016-12-31	$0
Assets. Value of buildings and other operty used in plan operation at end of year	2016-12-31	$0
Assets. Value of buildings and other operty used in plan operation at beginning of year	2016-12-31	$0
Did the plan have assets held for investment	2016-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2016-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2016-12-31	No
Aggregate proceeds on sale of assets	2016-12-31	$11,398
Aggregate carrying amount (costs) on sale of assets	2016-12-31	$11,559
Liabilities. Value of acquisition indebtedness at end of year	2016-12-31	$0
Liabilities. Value of acquisition indebtedness at beginning of year	2016-12-31	$0
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2016-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2016-12-31	Disclaimer
Accountancy firm name	2016-12-31	KATZ, SAPPER & MILLER LLP
Accountancy firm EIN	2016-12-31	351090346
2015 : ASH BROKERAGE CORPORATION 401(K) RETIREMENT PLAN 2015 401k financial data
Unrealized appreciation/depreciation of real estate assets	2015-12-31	$0
Unrealized appreciation/depreciation of other (non real estate) assets	2015-12-31	$7,846
Total unrealized appreciation/depreciation of assets	2015-12-31	$7,846
Total transfer of assets to this plan	2015-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2015-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2015-12-31	$74,249
Expenses. Interest paid	2015-12-31	$0
Amount of participant contributions which was failed to transmit to the plan within the time period described in 29 CFR 251.3-102	2015-12-31	$0
Total income from all sources (including contributions)	2015-12-31	$1,979,421
Total loss/gain on sale of assets	2015-12-31	$563
Total of all expenses incurred	2015-12-31	$1,214,650
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2015-12-31	$1,172,679
Expenses. Certain deemed distributions of participant loans	2015-12-31	$0
Value of total corrective distributions	2015-12-31	$4,274
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2015-12-31	$2,266,054
Value of total assets at end of year	2015-12-31	$19,126,391
Value of total assets at beginning of year	2015-12-31	$18,435,869
Total of administrative expenses incurred including professional, contract, advisory and management fees	2015-12-31	$37,697
Total income from rents	2015-12-31	$0
Total interest from all sources	2015-12-31	$17,573
Total dividends received (eg from common stock, registered investment company shares)	2015-12-31	$643,659
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2015-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2015-12-31	$643,651
Assets. Real estate other than employer real property at end of year	2015-12-31	$0
Assets. Real estate other than employer real property at beginning of year	2015-12-31	$0
Administrative expenses professional fees incurred	2015-12-31	$0
Assets. Corporate prefeered stocks other than exployer securities at end of year	2015-12-31	$0
Assets. Corporate prefeered stocks other than exployer securities at beginning of year	2015-12-31	$0
Was this plan covered by a fidelity bond	2015-12-31	Yes
Value of fidelity bond cover	2015-12-31	$500,000
If this is an individual account plan, was there a blackout period	2015-12-31	No
Were there any nonexempt tranactions with any party-in-interest	2015-12-31	No
Contributions received from participants	2015-12-31	$1,558,840
Participant contributions at end of year	2015-12-31	$374,639
Participant contributions at beginning of year	2015-12-31	$437,184
Participant contributions at end of year	2015-12-31	$0
Participant contributions at beginning of year	2015-12-31	$0
Assets. Other investments not covered elsewhere at end of year	2015-12-31	$0
Assets. Other investments not covered elsewhere at beginning of year	2015-12-31	$0
Income. Received or receivable in cash from other sources (including rollovers)	2015-12-31	$206,967
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)	2015-12-31	$0
Value of other receiveables (less allowance for doubtful accounts) at end of year	2015-12-31	$0
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2015-12-31	$0
Assets. Loans (other than to participants) at end of year	2015-12-31	$0
Assets. Loans (other than to participants) at beginning of year	2015-12-31	$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2015-12-31	$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2015-12-31	$74,249
Other income not declared elsewhere	2015-12-31	$0
Administrative expenses (other) incurred	2015-12-31	$37,697
Liabilities. Value of operating payables at end of year	2015-12-31	$0
Liabilities. Value of operating payables at beginning of year	2015-12-31	$0
Total non interest bearing cash at end of year	2015-12-31	$994
Total non interest bearing cash at beginning of year	2015-12-31	$1,667
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2015-12-31	No
Income. Non cash contributions	2015-12-31	$0
Value of net income/loss	2015-12-31	$764,771
Value of net assets at end of year (total assets less liabilities)	2015-12-31	$19,126,391
Value of net assets at beginning of year (total assets less liabilities)	2015-12-31	$18,361,620
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2015-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2015-12-31	No
Were any leases to which the plan was party in default or uncollectible	2015-12-31	No
Assets. partnership/joint venture interests at end of year	2015-12-31	$0
Assets. partnership/joint venture interests at beginning of year	2015-12-31	$0
Investment advisory and management fees	2015-12-31	$0
Value of interest in registered invesment companies (eg mutual funds) at end of year	2015-12-31	$18,524,940
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2015-12-31	$17,798,669
Value of interest in pooled separate accounts at end of year	2015-12-31	$0
Value of interest in pooled separate accounts at beginning of year	2015-12-31	$0
Interest on participant loans	2015-12-31	$17,397
Income. Interest from loans (other than to participants)	2015-12-31	$0
Interest earned on other investments	2015-12-31	$0
Income. Interest from US Government securities	2015-12-31	$0
Income. Interest from corporate debt instruments	2015-12-31	$0
Value of interest in master investment trust accounts at end of year	2015-12-31	$0
Value of interest in master investment trust accounts at beginning of year	2015-12-31	$0
Value of interest in common/collective trusts at end of year	2015-12-31	$0
Value of interest in common/collective trusts at beginning of year	2015-12-31	$0
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2015-12-31	$180,343
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2015-12-31	$171,667
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2015-12-31	$171,667
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2015-12-31	$176
Assets. Value of investments in 103.12 investment entities at end of year	2015-12-31	$0
Assets. Value of investments in 103.12 investment entities at beginning of year	2015-12-31	$0
Expenses. Payments to insurance carriers foe the provision of benefits	2015-12-31	$0
Asset value of US Government securities at end of year	2015-12-31	$0
Asset value of US Government securities at beginning of year	2015-12-31	$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2015-12-31	$-956,274
Net investment gain/loss from pooled separate accounts	2015-12-31	$0
Net investment gain or loss from common/collective trusts	2015-12-31	$0
Net gain/loss from 103.12 investment entities	2015-12-31	$0
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2015-12-31	No
Was there a failure to transmit to the plan any participant contributions	2015-12-31	No
Has the plan failed to provide any benefit when due under the plan	2015-12-31	No
Assets. Invements in employer securities at end of year	2015-12-31	$0
Assets. Invements in employer securities at beginning of year	2015-12-31	$0
Assets. Value of employer real property at end of year	2015-12-31	$0
Assets. Value of employer real property at beginning of year	2015-12-31	$0
Contributions received in cash from employer	2015-12-31	$500,247
Employer contributions (assets) at end of year	2015-12-31	$0
Employer contributions (assets) at beginning of year	2015-12-31	$0
Income. Dividends from preferred stock	2015-12-31	$0
Income. Dividends from common stock	2015-12-31	$8
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2015-12-31	$1,172,679
Asset. Corporate debt instrument preferred debt at end of year	2015-12-31	$0
Asset. Corporate debt instrument preferred debt at beginning of year	2015-12-31	$0
Asset. Corporate debt instrument debt (other) at end of year	2015-12-31	$0
Asset. Corporate debt instrument debt (other) at beginning of year	2015-12-31	$0
Contract administrator fees	2015-12-31	$0
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-3	2015-12-31	No
Assets. Corporate common stocks other than exployer securities at end of year	2015-12-31	$45,475
Assets. Corporate common stocks other than exployer securities at beginning of year	2015-12-31	$26,682
Liabilities. Value of benefit claims payable at end of year	2015-12-31	$0
Liabilities. Value of benefit claims payable at beginning of year	2015-12-31	$0
Assets. Value of buildings and other operty used in plan operation at end of year	2015-12-31	$0
Assets. Value of buildings and other operty used in plan operation at beginning of year	2015-12-31	$0
Did the plan have assets held for investment	2015-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2015-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2015-12-31	No
Aggregate proceeds on sale of assets	2015-12-31	$6,329
Aggregate carrying amount (costs) on sale of assets	2015-12-31	$5,766
Liabilities. Value of acquisition indebtedness at end of year	2015-12-31	$0
Liabilities. Value of acquisition indebtedness at beginning of year	2015-12-31	$0
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2015-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2015-12-31	Disclaimer
Accountancy firm name	2015-12-31	KATZ, SAPPER & MILLER LLP
Accountancy firm EIN	2015-12-31	351090346
2014 : ASH BROKERAGE CORPORATION 401(K) RETIREMENT PLAN 2014 401k financial data
Unrealized appreciation/depreciation of real estate assets	2014-12-31	$0
Unrealized appreciation/depreciation of other (non real estate) assets	2014-12-31	$-16,282
Total unrealized appreciation/depreciation of assets	2014-12-31	$-16,282
Total transfer of assets to this plan	2014-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2014-12-31	$74,249
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2014-12-31	$0
Expenses. Interest paid	2014-12-31	$0
Amount of participant contributions which was failed to transmit to the plan within the time period described in 29 CFR 251.3-102	2014-12-31	$0
Total income from all sources (including contributions)	2014-12-31	$3,678,620
Total loss/gain on sale of assets	2014-12-31	$-10,261
Total of all expenses incurred	2014-12-31	$1,168,893
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2014-12-31	$1,133,107
Expenses. Certain deemed distributions of participant loans	2014-12-31	$0
Value of total corrective distributions	2014-12-31	$0
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2014-12-31	$2,284,247
Value of total assets at end of year	2014-12-31	$18,435,869
Value of total assets at beginning of year	2014-12-31	$15,851,893
Total of administrative expenses incurred including professional, contract, advisory and management fees	2014-12-31	$35,786
Total income from rents	2014-12-31	$0
Total interest from all sources	2014-12-31	$18,326
Total dividends received (eg from common stock, registered investment company shares)	2014-12-31	$723,822
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2014-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2014-12-31	$723,748
Assets. Real estate other than employer real property at end of year	2014-12-31	$0
Assets. Real estate other than employer real property at beginning of year	2014-12-31	$0
Administrative expenses professional fees incurred	2014-12-31	$0
Assets. Corporate prefeered stocks other than exployer securities at end of year	2014-12-31	$0
Assets. Corporate prefeered stocks other than exployer securities at beginning of year	2014-12-31	$0
Was this plan covered by a fidelity bond	2014-12-31	Yes
Value of fidelity bond cover	2014-12-31	$500,000
If this is an individual account plan, was there a blackout period	2014-12-31	No
Were there any nonexempt tranactions with any party-in-interest	2014-12-31	No
Contributions received from participants	2014-12-31	$1,393,767
Participant contributions at end of year	2014-12-31	$437,184
Participant contributions at beginning of year	2014-12-31	$365,073
Participant contributions at end of year	2014-12-31	$0
Participant contributions at beginning of year	2014-12-31	$0
Assets. Other investments not covered elsewhere at end of year	2014-12-31	$0
Assets. Other investments not covered elsewhere at beginning of year	2014-12-31	$616,443
Income. Received or receivable in cash from other sources (including rollovers)	2014-12-31	$469,392
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)	2014-12-31	$0
Value of other receiveables (less allowance for doubtful accounts) at end of year	2014-12-31	$0
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2014-12-31	$0
Assets. Loans (other than to participants) at end of year	2014-12-31	$0
Assets. Loans (other than to participants) at beginning of year	2014-12-31	$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2014-12-31	$74,249
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2014-12-31	$0
Other income not declared elsewhere	2014-12-31	$0
Administrative expenses (other) incurred	2014-12-31	$35,786
Liabilities. Value of operating payables at end of year	2014-12-31	$0
Liabilities. Value of operating payables at beginning of year	2014-12-31	$0
Total non interest bearing cash at end of year	2014-12-31	$1,667
Total non interest bearing cash at beginning of year	2014-12-31	$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2014-12-31	No
Income. Non cash contributions	2014-12-31	$0
Value of net income/loss	2014-12-31	$2,509,727
Value of net assets at end of year (total assets less liabilities)	2014-12-31	$18,361,620
Value of net assets at beginning of year (total assets less liabilities)	2014-12-31	$15,851,893
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2014-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2014-12-31	No
Were any leases to which the plan was party in default or uncollectible	2014-12-31	No
Assets. partnership/joint venture interests at end of year	2014-12-31	$0
Assets. partnership/joint venture interests at beginning of year	2014-12-31	$0
Investment advisory and management fees	2014-12-31	$0
Value of interest in registered invesment companies (eg mutual funds) at end of year	2014-12-31	$17,798,669
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2014-12-31	$14,620,671
Value of interest in pooled separate accounts at end of year	2014-12-31	$0
Value of interest in pooled separate accounts at beginning of year	2014-12-31	$0
Interest on participant loans	2014-12-31	$18,293
Income. Interest from loans (other than to participants)	2014-12-31	$0
Interest earned on other investments	2014-12-31	$0
Income. Interest from US Government securities	2014-12-31	$0
Income. Interest from corporate debt instruments	2014-12-31	$0
Value of interest in master investment trust accounts at end of year	2014-12-31	$0
Value of interest in master investment trust accounts at beginning of year	2014-12-31	$0
Value of interest in common/collective trusts at end of year	2014-12-31	$0
Value of interest in common/collective trusts at beginning of year	2014-12-31	$0
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2014-12-31	$171,667
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2014-12-31	$249,706
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2014-12-31	$249,706
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2014-12-31	$33
Assets. Value of investments in 103.12 investment entities at end of year	2014-12-31	$0
Assets. Value of investments in 103.12 investment entities at beginning of year	2014-12-31	$0
Expenses. Payments to insurance carriers foe the provision of benefits	2014-12-31	$0
Asset value of US Government securities at end of year	2014-12-31	$0
Asset value of US Government securities at beginning of year	2014-12-31	$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2014-12-31	$678,768
Net investment gain/loss from pooled separate accounts	2014-12-31	$0
Net investment gain or loss from common/collective trusts	2014-12-31	$0
Net gain/loss from 103.12 investment entities	2014-12-31	$0
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2014-12-31	No
Was there a failure to transmit to the plan any participant contributions	2014-12-31	No
Has the plan failed to provide any benefit when due under the plan	2014-12-31	No
Assets. Invements in employer securities at end of year	2014-12-31	$0
Assets. Invements in employer securities at beginning of year	2014-12-31	$0
Assets. Value of employer real property at end of year	2014-12-31	$0
Assets. Value of employer real property at beginning of year	2014-12-31	$0
Contributions received in cash from employer	2014-12-31	$421,088
Employer contributions (assets) at end of year	2014-12-31	$0
Employer contributions (assets) at beginning of year	2014-12-31	$0
Income. Dividends from preferred stock	2014-12-31	$0
Income. Dividends from common stock	2014-12-31	$74
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2014-12-31	$1,133,107
Asset. Corporate debt instrument preferred debt at end of year	2014-12-31	$0
Asset. Corporate debt instrument preferred debt at beginning of year	2014-12-31	$0
Asset. Corporate debt instrument debt (other) at end of year	2014-12-31	$0
Asset. Corporate debt instrument debt (other) at beginning of year	2014-12-31	$0
Contract administrator fees	2014-12-31	$0
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-3	2014-12-31	No
Assets. Corporate common stocks other than exployer securities at end of year	2014-12-31	$26,682
Assets. Corporate common stocks other than exployer securities at beginning of year	2014-12-31	$0
Liabilities. Value of benefit claims payable at end of year	2014-12-31	$0
Liabilities. Value of benefit claims payable at beginning of year	2014-12-31	$0
Assets. Value of buildings and other operty used in plan operation at end of year	2014-12-31	$0
Assets. Value of buildings and other operty used in plan operation at beginning of year	2014-12-31	$0
Did the plan have assets held for investment	2014-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2014-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2014-12-31	No
Aggregate proceeds on sale of assets	2014-12-31	$82,134
Aggregate carrying amount (costs) on sale of assets	2014-12-31	$92,395
Liabilities. Value of acquisition indebtedness at end of year	2014-12-31	$0
Liabilities. Value of acquisition indebtedness at beginning of year	2014-12-31	$0
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2014-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2014-12-31	Disclaimer
Accountancy firm name	2014-12-31	KATZ, SAPPER & MILLER LLP
Accountancy firm EIN	2014-12-31	351090346
2013 : ASH BROKERAGE CORPORATION 401(K) RETIREMENT PLAN 2013 401k financial data
Unrealized appreciation/depreciation of real estate assets	2013-12-31	$0
Unrealized appreciation/depreciation of other (non real estate) assets	2013-12-31	$0
Total unrealized appreciation/depreciation of assets	2013-12-31	$0
Total transfer of assets to this plan	2013-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2013-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2013-12-31	$0
Expenses. Interest paid	2013-12-31	$0
Amount of participant contributions which was failed to transmit to the plan within the time period described in 29 CFR 251.3-102	2013-12-31	$0
Total income from all sources (including contributions)	2013-12-31	$4,428,298
Total loss/gain on sale of assets	2013-12-31	$0
Total of all expenses incurred	2013-12-31	$1,152,913
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2013-12-31	$1,121,760
Expenses. Certain deemed distributions of participant loans	2013-12-31	$0
Value of total corrective distributions	2013-12-31	$0
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2013-12-31	$1,797,506
Value of total assets at end of year	2013-12-31	$15,851,893
Value of total assets at beginning of year	2013-12-31	$12,576,508
Total of administrative expenses incurred including professional, contract, advisory and management fees	2013-12-31	$31,153
Total income from rents	2013-12-31	$0
Total interest from all sources	2013-12-31	$15,621
Total dividends received (eg from common stock, registered investment company shares)	2013-12-31	$550,191
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2013-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2013-12-31	$550,191
Assets. Real estate other than employer real property at end of year	2013-12-31	$0
Assets. Real estate other than employer real property at beginning of year	2013-12-31	$0
Administrative expenses professional fees incurred	2013-12-31	$0
Assets. Corporate prefeered stocks other than exployer securities at end of year	2013-12-31	$0
Assets. Corporate prefeered stocks other than exployer securities at beginning of year	2013-12-31	$0
Was this plan covered by a fidelity bond	2013-12-31	Yes
Value of fidelity bond cover	2013-12-31	$500,000
If this is an individual account plan, was there a blackout period	2013-12-31	No
Were there any nonexempt tranactions with any party-in-interest	2013-12-31	No
Contributions received from participants	2013-12-31	$1,210,516
Participant contributions at end of year	2013-12-31	$365,073
Participant contributions at beginning of year	2013-12-31	$328,792
Participant contributions at end of year	2013-12-31	$0
Participant contributions at beginning of year	2013-12-31	$0
Assets. Other investments not covered elsewhere at end of year	2013-12-31	$616,443
Assets. Other investments not covered elsewhere at beginning of year	2013-12-31	$0
Income. Received or receivable in cash from other sources (including rollovers)	2013-12-31	$183,154
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)	2013-12-31	$0
Value of other receiveables (less allowance for doubtful accounts) at end of year	2013-12-31	$0
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2013-12-31	$0
Assets. Loans (other than to participants) at end of year	2013-12-31	$0
Assets. Loans (other than to participants) at beginning of year	2013-12-31	$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2013-12-31	$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2013-12-31	$0
Other income not declared elsewhere	2013-12-31	$8,251
Administrative expenses (other) incurred	2013-12-31	$31,153
Liabilities. Value of operating payables at end of year	2013-12-31	$0
Liabilities. Value of operating payables at beginning of year	2013-12-31	$0
Total non interest bearing cash at end of year	2013-12-31	$0
Total non interest bearing cash at beginning of year	2013-12-31	$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2013-12-31	No
Income. Non cash contributions	2013-12-31	$0
Value of net income/loss	2013-12-31	$3,275,385
Value of net assets at end of year (total assets less liabilities)	2013-12-31	$15,851,893
Value of net assets at beginning of year (total assets less liabilities)	2013-12-31	$12,576,508
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2013-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2013-12-31	No
Were any leases to which the plan was party in default or uncollectible	2013-12-31	No
Assets. partnership/joint venture interests at end of year	2013-12-31	$0
Assets. partnership/joint venture interests at beginning of year	2013-12-31	$0
Investment advisory and management fees	2013-12-31	$0
Value of interest in registered invesment companies (eg mutual funds) at end of year	2013-12-31	$14,620,671
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2013-12-31	$12,087,133
Value of interest in pooled separate accounts at end of year	2013-12-31	$0
Value of interest in pooled separate accounts at beginning of year	2013-12-31	$0
Interest on participant loans	2013-12-31	$15,600
Income. Interest from loans (other than to participants)	2013-12-31	$0
Interest earned on other investments	2013-12-31	$0
Income. Interest from US Government securities	2013-12-31	$0
Income. Interest from corporate debt instruments	2013-12-31	$0
Value of interest in master investment trust accounts at end of year	2013-12-31	$0
Value of interest in master investment trust accounts at beginning of year	2013-12-31	$0
Value of interest in common/collective trusts at end of year	2013-12-31	$0
Value of interest in common/collective trusts at beginning of year	2013-12-31	$0
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2013-12-31	$249,706
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2013-12-31	$108,123
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2013-12-31	$108,123
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2013-12-31	$21
Assets. Value of investments in 103.12 investment entities at end of year	2013-12-31	$0
Assets. Value of investments in 103.12 investment entities at beginning of year	2013-12-31	$0
Expenses. Payments to insurance carriers foe the provision of benefits	2013-12-31	$0
Asset value of US Government securities at end of year	2013-12-31	$0
Asset value of US Government securities at beginning of year	2013-12-31	$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2013-12-31	$2,056,729
Net investment gain/loss from pooled separate accounts	2013-12-31	$0
Net investment gain or loss from common/collective trusts	2013-12-31	$0
Net gain/loss from 103.12 investment entities	2013-12-31	$0
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2013-12-31	No
Was there a failure to transmit to the plan any participant contributions	2013-12-31	No
Has the plan failed to provide any benefit when due under the plan	2013-12-31	No
Assets. Invements in employer securities at end of year	2013-12-31	$0
Assets. Invements in employer securities at beginning of year	2013-12-31	$0
Assets. Value of employer real property at end of year	2013-12-31	$0
Assets. Value of employer real property at beginning of year	2013-12-31	$0
Contributions received in cash from employer	2013-12-31	$403,836
Employer contributions (assets) at end of year	2013-12-31	$0
Employer contributions (assets) at beginning of year	2013-12-31	$0
Income. Dividends from preferred stock	2013-12-31	$0
Income. Dividends from common stock	2013-12-31	$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2013-12-31	$1,121,760
Asset. Corporate debt instrument preferred debt at end of year	2013-12-31	$0
Asset. Corporate debt instrument preferred debt at beginning of year	2013-12-31	$0
Asset. Corporate debt instrument debt (other) at end of year	2013-12-31	$0
Asset. Corporate debt instrument debt (other) at beginning of year	2013-12-31	$0
Contract administrator fees	2013-12-31	$0
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-3	2013-12-31	No
Assets. Corporate common stocks other than exployer securities at end of year	2013-12-31	$0
Assets. Corporate common stocks other than exployer securities at beginning of year	2013-12-31	$52,460
Liabilities. Value of benefit claims payable at end of year	2013-12-31	$0
Liabilities. Value of benefit claims payable at beginning of year	2013-12-31	$0
Assets. Value of buildings and other operty used in plan operation at end of year	2013-12-31	$0
Assets. Value of buildings and other operty used in plan operation at beginning of year	2013-12-31	$0
Did the plan have assets held for investment	2013-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2013-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2013-12-31	No
Aggregate proceeds on sale of assets	2013-12-31	$0
Aggregate carrying amount (costs) on sale of assets	2013-12-31	$0
Liabilities. Value of acquisition indebtedness at end of year	2013-12-31	$0
Liabilities. Value of acquisition indebtedness at beginning of year	2013-12-31	$0
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2013-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2013-12-31	Disclaimer
Accountancy firm name	2013-12-31	KATZ, SAPPER & MILLER LLP
Accountancy firm EIN	2013-12-31	351090346
2012 : ASH BROKERAGE CORPORATION 401(K) RETIREMENT PLAN 2012 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets	2012-12-31	$-21,161
Total unrealized appreciation/depreciation of assets	2012-12-31	$-21,161
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2012-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2012-12-31	$0
Total income from all sources (including contributions)	2012-12-31	$3,134,881
Total loss/gain on sale of assets	2012-12-31	$9,631
Total of all expenses incurred	2012-12-31	$1,244,775
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2012-12-31	$1,218,577
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2012-12-31	$1,770,135
Value of total assets at end of year	2012-12-31	$12,576,508
Value of total assets at beginning of year	2012-12-31	$10,686,402
Total of administrative expenses incurred including professional, contract, advisory and management fees	2012-12-31	$26,198
Total interest from all sources	2012-12-31	$12,723
Total dividends received (eg from common stock, registered investment company shares)	2012-12-31	$343,493
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2012-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2012-12-31	$343,395
Was this plan covered by a fidelity bond	2012-12-31	Yes
Value of fidelity bond cover	2012-12-31	$500,000
If this is an individual account plan, was there a blackout period	2012-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2012-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2012-12-31	No
Contributions received from participants	2012-12-31	$1,195,736
Participant contributions at end of year	2012-12-31	$328,792
Participant contributions at beginning of year	2012-12-31	$279,254
Income. Received or receivable in cash from other sources (including rollovers)	2012-12-31	$158,816
Administrative expenses (other) incurred	2012-12-31	$26,198
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2012-12-31	No
Value of net income/loss	2012-12-31	$1,890,106
Value of net assets at end of year (total assets less liabilities)	2012-12-31	$12,576,508
Value of net assets at beginning of year (total assets less liabilities)	2012-12-31	$10,686,402
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2012-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2012-12-31	No
Were any leases to which the plan was party in default or uncollectible	2012-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2012-12-31	$12,087,133
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2012-12-31	$10,295,689
Interest on participant loans	2012-12-31	$12,714
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2012-12-31	$108,123
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2012-12-31	$62,059
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2012-12-31	$62,059
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2012-12-31	$9
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2012-12-31	$1,020,060
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2012-12-31	No
Was there a failure to transmit to the plan any participant contributions	2012-12-31	No
Has the plan failed to provide any benefit when due under the plan	2012-12-31	No
Contributions received in cash from employer	2012-12-31	$415,583
Income. Dividends from common stock	2012-12-31	$98
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2012-12-31	$1,218,577
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-3	2012-12-31	No
Assets. Corporate common stocks other than exployer securities at end of year	2012-12-31	$52,460
Assets. Corporate common stocks other than exployer securities at beginning of year	2012-12-31	$49,400
Did the plan have assets held for investment	2012-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2012-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2012-12-31	No
Aggregate proceeds on sale of assets	2012-12-31	$122,382
Aggregate carrying amount (costs) on sale of assets	2012-12-31	$112,751
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2012-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2012-12-31	Disclaimer
Accountancy firm name	2012-12-31	CROWE HORWATH LLP
Accountancy firm EIN	2012-12-31	350921680
2011 : ASH BROKERAGE CORPORATION 401(K) RETIREMENT PLAN 2011 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets	2011-12-31	$-843,669
Total unrealized appreciation/depreciation of assets	2011-12-31	$-843,669
Total income from all sources (including contributions)	2011-12-31	$2,457,494
Total loss/gain on sale of assets	2011-12-31	$974,445
Total of all expenses incurred	2011-12-31	$1,204,307
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2011-12-31	$1,179,784
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2011-12-31	$2,429,611
Value of total assets at end of year	2011-12-31	$10,686,402
Value of total assets at beginning of year	2011-12-31	$9,433,215
Total of administrative expenses incurred including professional, contract, advisory and management fees	2011-12-31	$24,523
Total interest from all sources	2011-12-31	$11,041
Total dividends received (eg from common stock, registered investment company shares)	2011-12-31	$293,438
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2011-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2011-12-31	$293,188
Administrative expenses professional fees incurred	2011-12-31	$5,263
Was this plan covered by a fidelity bond	2011-12-31	Yes
Value of fidelity bond cover	2011-12-31	$500,000
If this is an individual account plan, was there a blackout period	2011-12-31	Yes
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2011-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2011-12-31	No
Contributions received from participants	2011-12-31	$1,410,188
Participant contributions at end of year	2011-12-31	$279,254
Participant contributions at beginning of year	2011-12-31	$169,078
Income. Received or receivable in cash from other sources (including rollovers)	2011-12-31	$532,923
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)	2011-12-31	$677
Administrative expenses (other) incurred	2011-12-31	$19,260
Total non interest bearing cash at end of year	2011-12-31	$0
Total non interest bearing cash at beginning of year	2011-12-31	$1,112
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2011-12-31	No
Value of net income/loss	2011-12-31	$1,253,187
Value of net assets at end of year (total assets less liabilities)	2011-12-31	$10,686,402
Value of net assets at beginning of year (total assets less liabilities)	2011-12-31	$9,433,215
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2011-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2011-12-31	No
Were any leases to which the plan was party in default or uncollectible	2011-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2011-12-31	$10,295,689
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2011-12-31	$8,225,289
Interest on participant loans	2011-12-31	$10,898
Value of interest in common/collective trusts at end of year	2011-12-31	$0
Value of interest in common/collective trusts at beginning of year	2011-12-31	$1,037,736
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2011-12-31	$62,059
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2011-12-31	$0
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2011-12-31	$0
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2011-12-31	$143
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2011-12-31	$-410,775
Net investment gain or loss from common/collective trusts	2011-12-31	$3,403
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2011-12-31	No
Was there a failure to transmit to the plan any participant contributions	2011-12-31	No
Has the plan failed to provide any benefit when due under the plan	2011-12-31	No
Contributions received in cash from employer	2011-12-31	$486,500
Income. Dividends from common stock	2011-12-31	$250
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2011-12-31	$1,179,107
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-3	2011-12-31	Yes
Assets. Corporate common stocks other than exployer securities at end of year	2011-12-31	$49,400
Assets. Corporate common stocks other than exployer securities at beginning of year	2011-12-31	$0
Did the plan have assets held for investment	2011-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2011-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2011-12-31	No
Aggregate proceeds on sale of assets	2011-12-31	$8,427,523
Aggregate carrying amount (costs) on sale of assets	2011-12-31	$7,453,078
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2011-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2011-12-31	Disclaimer
Accountancy firm name	2011-12-31	CROWE HORWATH LLP
Accountancy firm EIN	2011-12-31	350921680
2010 : ASH BROKERAGE CORPORATION 401(K) RETIREMENT PLAN 2010 401k financial data
Total unrealized appreciation/depreciation of assets	2010-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2010-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2010-12-31	$0
Total income from all sources (including contributions)	2010-12-31	$3,058,061
Total loss/gain on sale of assets	2010-12-31	$0
Total of all expenses incurred	2010-12-31	$731,283
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2010-12-31	$693,900
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2010-12-31	$1,838,584
Value of total assets at end of year	2010-12-31	$9,433,215
Value of total assets at beginning of year	2010-12-31	$7,106,437
Total of administrative expenses incurred including professional, contract, advisory and management fees	2010-12-31	$37,383
Total interest from all sources	2010-12-31	$7,884
Total dividends received (eg from common stock, registered investment company shares)	2010-12-31	$230,642
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2010-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2010-12-31	$230,642
Was this plan covered by a fidelity bond	2010-12-31	Yes
Value of fidelity bond cover	2010-12-31	$500,000
If this is an individual account plan, was there a blackout period	2010-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2010-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2010-12-31	No
Contributions received from participants	2010-12-31	$1,127,379
Participant contributions at end of year	2010-12-31	$169,078
Participant contributions at beginning of year	2010-12-31	$129,727
Income. Received or receivable in cash from other sources (including rollovers)	2010-12-31	$308,060
Total non interest bearing cash at end of year	2010-12-31	$1,112
Total non interest bearing cash at beginning of year	2010-12-31	$235
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2010-12-31	No
Value of net income/loss	2010-12-31	$2,326,778
Value of net assets at end of year (total assets less liabilities)	2010-12-31	$9,433,215
Value of net assets at beginning of year (total assets less liabilities)	2010-12-31	$7,106,437
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2010-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2010-12-31	No
Were any leases to which the plan was party in default or uncollectible	2010-12-31	No
Investment advisory and management fees	2010-12-31	$31,141
Value of interest in registered invesment companies (eg mutual funds) at end of year	2010-12-31	$8,225,289
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2010-12-31	$6,107,988
Interest on participant loans	2010-12-31	$7,884
Value of interest in common/collective trusts at end of year	2010-12-31	$1,037,736
Value of interest in common/collective trusts at beginning of year	2010-12-31	$868,487
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2010-12-31	$980,951
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2010-12-31	No
Was there a failure to transmit to the plan any participant contributions	2010-12-31	No
Has the plan failed to provide any benefit when due under the plan	2010-12-31	No
Contributions received in cash from employer	2010-12-31	$403,145
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2010-12-31	$693,900
Contract administrator fees	2010-12-31	$6,242
Did the plan have assets held for investment	2010-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2010-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2010-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2010-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2010-12-31	Disclaimer
Accountancy firm name	2010-12-31	CROWE HORWATH LLP
Accountancy firm EIN	2010-12-31	350921680
2009 : ASH BROKERAGE CORPORATION 401(K) RETIREMENT 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 ASH BROKERAGE CORPORATION 401(K) RETIREMENT PLAN

2022: ASH BROKERAGE CORPORATION 401(K) RETIREMENT PLAN 2022 form 5500 responses
2022-01-01	Type of plan entity	Single employer plan
2022-01-01	Submission has been amended	No
2022-01-01	This submission is the final filing	Yes
2022-01-01	This return/report is a short plan year return/report (less than 12 months)	Yes
2022-01-01	Plan is a collectively bargained plan	No
2022-01-01	Plan funding arrangement – Insurance	Yes
2022-01-01	Plan funding arrangement – Trust	Yes
2022-01-01	Plan benefit arrangement – Insurance	Yes
2022-01-01	Plan benefit arrangement - Trust	Yes
2021: ASH BROKERAGE CORPORATION 401(K) RETIREMENT PLAN 2021 form 5500 responses
2021-01-01	Type of plan entity	Single employer plan
2021-01-01	This submission is the final filing	No
2021-01-01	Plan is a collectively bargained plan	No
2021-01-01	Plan funding arrangement – Insurance	Yes
2021-01-01	Plan funding arrangement – Trust	Yes
2021-01-01	Plan benefit arrangement – Insurance	Yes
2021-01-01	Plan benefit arrangement - Trust	Yes
2020: ASH BROKERAGE CORPORATION 401(K) RETIREMENT PLAN 2020 form 5500 responses
2020-01-01	Type of plan entity	Single employer plan
2020-01-01	Submission has been amended	No
2020-01-01	This submission is the final filing	No
2020-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2020-01-01	Plan is a collectively bargained plan	No
2020-01-01	Plan funding arrangement – Insurance	Yes
2020-01-01	Plan funding arrangement – Trust	Yes
2020-01-01	Plan benefit arrangement – Insurance	Yes
2020-01-01	Plan benefit arrangement - Trust	Yes
2019: ASH BROKERAGE CORPORATION 401(K) RETIREMENT PLAN 2019 form 5500 responses
2019-01-01	Type of plan entity	Single employer plan
2019-01-01	Submission has been amended	No
2019-01-01	This submission is the final filing	No
2019-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2019-01-01	Plan is a collectively bargained plan	No
2019-01-01	Plan funding arrangement – Trust	Yes
2019-01-01	Plan benefit arrangement - Trust	Yes
2018: ASH BROKERAGE CORPORATION 401(K) RETIREMENT 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: ASH BROKERAGE CORPORATION 401(K) RETIREMENT PLAN 2017 form 5500 responses
2017-01-01	Type of plan entity	Single employer plan
2017-01-01	Submission has been amended	No
2017-01-01	This submission is the final filing	No
2017-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2017-01-01	Plan is a collectively bargained plan	No
2017-01-01	Plan funding arrangement – Trust	Yes
2017-01-01	Plan benefit arrangement - Trust	Yes
2016: ASH BROKERAGE CORPORATION 401(K) RETIREMENT 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: ASH BROKERAGE CORPORATION 401(K) RETIREMENT 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: ASH BROKERAGE CORPORATION 401(K) RETIREMENT 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: ASH BROKERAGE CORPORATION 401(K) RETIREMENT 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: ASH BROKERAGE CORPORATION 401(K) RETIREMENT PLAN 2012 form 5500 responses
2012-01-01	Type of plan entity	Single employer plan
2012-01-01	Submission has been amended	No
2012-01-01	This submission is the final filing	No
2012-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2012-01-01	Plan is a collectively bargained plan	No
2012-01-01	Plan funding arrangement – Trust	Yes
2012-01-01	Plan benefit arrangement - Trust	Yes
2011: ASH BROKERAGE CORPORATION 401(K) RETIREMENT 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: ASH BROKERAGE CORPORATION 401(K) RETIREMENT PLAN 2009 form 5500 responses
2009-01-01	Type of plan entity	Single employer plan
2009-01-01	Submission has been amended	Yes
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

Insurance Providers Used on plan

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 65675 )

Policy contract number

896131 087

Policy instance

Insurance contract or identification number	896131 087
Number of Individuals Covered	0
Insurance policy start date	2022-01-01
Insurance policy end date	2022-12-31
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Contracts With Unallocated Funds Deposit Administration	0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?	No
Are there contracts with unallocated funds for contracts of type guaranteed investment?	Yes
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	No
Health Insurance Welfare Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
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: 65675 )

Policy contract number

896131 087

Policy instance

Insurance contract or identification number	896131 087
Number of Individuals Covered	13
Insurance policy start date	2021-01-01
Insurance policy end date	2021-12-31
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Contracts With Unallocated Funds Deposit Administration	0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?	No
Are there contracts with unallocated funds for contracts of type guaranteed investment?	Yes
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	No
Health Insurance Welfare Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
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: 65675 )

Policy contract number

896131 087

Policy instance

Insurance contract or identification number	896131 087
Number of Individuals Covered	8
Insurance policy start date	2020-01-01
Insurance policy end date	2020-12-31
Total amount of commissions paid to insurance broker	USD $0
Total amount of fees paid to insurance company	USD $0
Are there contracts with allocated funds for individual policies?	0
Are there contracts with allocated funds for types other than group deferred annuity or individual?	No
Contracts With Unallocated Funds Deposit Administration	0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?	No
Are there contracts with unallocated funds for contracts of type guaranteed investment?	Yes
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	No
Health Insurance Welfare Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
Were dividends or retroactive rate refunds paid in cash?	No
Were dividends or retroactive rate refunds paid as a credit?	No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No

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Company Name:	ASH BROKERAGE, LLC
Employer identification number (EIN):	351471922
NAIC Classification:	524210
NAIC Description:	Insurance Agencies and Brokerages