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PROFIT SHARING AND RETIREMENT PLAN OF SMITH HAUGHEY, RICE AND ROEGGE, P.C. 401k Plan overview

Plan NamePROFIT SHARING AND RETIREMENT PLAN OF SMITH HAUGHEY, RICE AND ROEGGE, P.C.
Plan identification number 002

PROFIT SHARING AND RETIREMENT PLAN OF SMITH HAUGHEY, RICE AND ROEGGE, P.C. Benefits

401k Plan TypeDefined Contribution Pension
Plan Features/Benefits
  • Profit-sharing
  • Total participant-directed account plan - Participants have the opportunity to direct the investment of all the assets allocated to their individual accounts, regardless of whether 29 CFR 2550.404c-1 is intended to be met.
  • Code section 401(k) feature - A cash or deferred arrangement described in Code section 401(k) that is part of a qualified defined contribution plan that provides for an election by employees to defer part of their compensation or receive these amounts in cash.
  • Code section 401(m) arrangement - Employee contributions are allocated to separate accounts under the plan or employer contributions are based, in whole or in part, on employee deferrals or contribtions to the plan. Not applicable if plan is 401(k) plan with only QNECs and/or QMACs. Also not applicable if Code section 403(b)(1), 403(b)(7) or 408 arrangements/accounts/annuities.
  • Plan provides for automatic enrollment in plan that has employee contributions deducted from payroll.
  • Master plan - A pension plan that is made available by a sponsor for adoption by employers; that is the subject of a favorable opinion letter; and for which a single funding medium (for example, a trust or custodial account) is established for the joint use of all adopting employers.

401k Sponsoring company profile

SMITH,HAUGHEY,RICE AND ROEGGE, P.C. has sponsored the creation of one or more 401k plans.

Company Name:SMITH,HAUGHEY,RICE AND ROEGGE, P.C.
Employer identification number (EIN):382234596
NAIC Classification:541110
NAIC Description:Offices of Lawyers

Form 5500 Filing Information

Submission information for form 5500 for 401k plan PROFIT SHARING AND RETIREMENT PLAN OF SMITH HAUGHEY, RICE AND ROEGGE, P.C.

Plan id# Filing Submission Date Name of Administrator Date Administrator SignedName of Company SponsorDate Sponsor Signed
0022022-01-01JESSIE LAHAIE2023-07-27
0022021-01-01JESSIE LAHAIE2022-07-21
0022021-01-01JESSIE LAHAIE2023-04-24
0022020-01-01JESSIE LAHAIE2021-10-03
0022019-01-01JESSIE LAHAIE2020-08-30
0022018-01-01
0022017-01-01
0022016-01-01DEAN MACVICAR
0022016-01-01
0022015-01-01STEPHEN W. EDISON
0022014-01-01KATE HARMS
0022013-01-01KATE HARMS
0022012-01-01KATE E HARMS KATE E HARMS2013-07-30
0022011-01-01KATE E. HARMS
0022010-01-01WILLIAM P SCARBROUGH
0022009-01-01WILLIAM P. SCARBROUGH

Plan Statistics for PROFIT SHARING AND RETIREMENT PLAN OF SMITH HAUGHEY, RICE AND ROEGGE, P.C.

401k plan membership statisitcs for PROFIT SHARING AND RETIREMENT PLAN OF SMITH HAUGHEY, RICE AND ROEGGE, P.C.

Measure Date Value
2022: PROFIT SHARING AND RETIREMENT PLAN OF SMITH HAUGHEY, RICE AND ROEGGE, P.C. 2022 401k membership
Total participants, beginning-of-year2022-01-01188
Total number of active participants reported on line 7a of the Form 55002022-01-01116
Number of retired or separated participants receiving benefits2022-01-014
Number of other retired or separated participants entitled to future benefits2022-01-0163
Total of all active and inactive participants2022-01-01183
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2022-01-010
Total participants2022-01-01183
Number of participants with account balances2022-01-01174
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2022-01-011
2021: PROFIT SHARING AND RETIREMENT PLAN OF SMITH HAUGHEY, RICE AND ROEGGE, P.C. 2021 401k membership
Total participants, beginning-of-year2021-01-01181
Total number of active participants reported on line 7a of the Form 55002021-01-01115
Number of retired or separated participants receiving benefits2021-01-014
Number of other retired or separated participants entitled to future benefits2021-01-0167
Total of all active and inactive participants2021-01-01186
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2021-01-012
Total participants2021-01-01188
Number of participants with account balances2021-01-01176
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2021-01-018
2020: PROFIT SHARING AND RETIREMENT PLAN OF SMITH HAUGHEY, RICE AND ROEGGE, P.C. 2020 401k membership
Total participants, beginning-of-year2020-01-01191
Total number of active participants reported on line 7a of the Form 55002020-01-01117
Number of retired or separated participants receiving benefits2020-01-015
Number of other retired or separated participants entitled to future benefits2020-01-0158
Total of all active and inactive participants2020-01-01180
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2020-01-011
Total participants2020-01-01181
Number of participants with account balances2020-01-01171
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2020-01-012
2019: PROFIT SHARING AND RETIREMENT PLAN OF SMITH HAUGHEY, RICE AND ROEGGE, P.C. 2019 401k membership
Total participants, beginning-of-year2019-01-01186
Total number of active participants reported on line 7a of the Form 55002019-01-01117
Number of retired or separated participants receiving benefits2019-01-014
Number of other retired or separated participants entitled to future benefits2019-01-0167
Total of all active and inactive participants2019-01-01188
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2019-01-011
Total participants2019-01-01189
Number of participants with account balances2019-01-01178
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2019-01-017
2018: PROFIT SHARING AND RETIREMENT PLAN OF SMITH HAUGHEY, RICE AND ROEGGE, P.C. 2018 401k membership
Total participants, beginning-of-year2018-01-01189
Total number of active participants reported on line 7a of the Form 55002018-01-01115
Number of retired or separated participants receiving benefits2018-01-016
Number of other retired or separated participants entitled to future benefits2018-01-0165
Total of all active and inactive participants2018-01-01186
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2018-01-010
Total participants2018-01-01186
Number of participants with account balances2018-01-01176
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2018-01-013
2017: PROFIT SHARING AND RETIREMENT PLAN OF SMITH HAUGHEY, RICE AND ROEGGE, P.C. 2017 401k membership
Total participants, beginning-of-year2017-01-01215
Total number of active participants reported on line 7a of the Form 55002017-01-01112
Number of retired or separated participants receiving benefits2017-01-019
Number of other retired or separated participants entitled to future benefits2017-01-0170
Total of all active and inactive participants2017-01-01191
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2017-01-010
Total participants2017-01-01191
Number of participants with account balances2017-01-01181
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2017-01-0111
2016: PROFIT SHARING AND RETIREMENT PLAN OF SMITH HAUGHEY, RICE AND ROEGGE, P.C. 2016 401k membership
Total participants, beginning-of-year2016-01-01207
Total number of active participants reported on line 7a of the Form 55002016-01-01140
Number of retired or separated participants receiving benefits2016-01-014
Number of other retired or separated participants entitled to future benefits2016-01-0169
Total of all active and inactive participants2016-01-01213
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2016-01-010
Total participants2016-01-01213
Number of participants with account balances2016-01-01208
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2016-01-015
2015: PROFIT SHARING AND RETIREMENT PLAN OF SMITH HAUGHEY, RICE AND ROEGGE, P.C. 2015 401k membership
Total participants, beginning-of-year2015-01-01220
Total number of active participants reported on line 7a of the Form 55002015-01-01142
Number of retired or separated participants receiving benefits2015-01-016
Number of other retired or separated participants entitled to future benefits2015-01-0159
Total of all active and inactive participants2015-01-01207
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2015-01-010
Total participants2015-01-01207
Number of participants with account balances2015-01-01205
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2015-01-0111
2014: PROFIT SHARING AND RETIREMENT PLAN OF SMITH HAUGHEY, RICE AND ROEGGE, P.C. 2014 401k membership
Total participants, beginning-of-year2014-01-01209
Total number of active participants reported on line 7a of the Form 55002014-01-01162
Number of retired or separated participants receiving benefits2014-01-017
Number of other retired or separated participants entitled to future benefits2014-01-0151
Total of all active and inactive participants2014-01-01220
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2014-01-010
Total participants2014-01-01220
Number of participants with account balances2014-01-01216
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2014-01-013
2013: PROFIT SHARING AND RETIREMENT PLAN OF SMITH HAUGHEY, RICE AND ROEGGE, P.C. 2013 401k membership
Total participants, beginning-of-year2013-01-01208
Total number of active participants reported on line 7a of the Form 55002013-01-01159
Number of retired or separated participants receiving benefits2013-01-017
Number of other retired or separated participants entitled to future benefits2013-01-0142
Total of all active and inactive participants2013-01-01208
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2013-01-010
Total participants2013-01-01208
Number of participants with account balances2013-01-01205
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2013-01-012
2012: PROFIT SHARING AND RETIREMENT PLAN OF SMITH HAUGHEY, RICE AND ROEGGE, P.C. 2012 401k membership
Total participants, beginning-of-year2012-01-01213
Total number of active participants reported on line 7a of the Form 55002012-01-01168
Number of retired or separated participants receiving benefits2012-01-017
Number of other retired or separated participants entitled to future benefits2012-01-0135
Total of all active and inactive participants2012-01-01210
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2012-01-010
Total participants2012-01-01210
Number of participants with account balances2012-01-01208
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2012-01-017
2011: PROFIT SHARING AND RETIREMENT PLAN OF SMITH HAUGHEY, RICE AND ROEGGE, P.C. 2011 401k membership
Total participants, beginning-of-year2011-01-01207
Total number of active participants reported on line 7a of the Form 55002011-01-01167
Number of retired or separated participants receiving benefits2011-01-014
Number of other retired or separated participants entitled to future benefits2011-01-0138
Total of all active and inactive participants2011-01-01209
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2011-01-010
Total participants2011-01-01209
Number of participants with account balances2011-01-01196
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2011-01-017
2010: PROFIT SHARING AND RETIREMENT PLAN OF SMITH HAUGHEY, RICE AND ROEGGE, P.C. 2010 401k membership
Total participants, beginning-of-year2010-01-01206
Total number of active participants reported on line 7a of the Form 55002010-01-01162
Number of retired or separated participants receiving benefits2010-01-015
Number of other retired or separated participants entitled to future benefits2010-01-0139
Total of all active and inactive participants2010-01-01206
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2010-01-010
Total participants2010-01-01206
Number of participants with account balances2010-01-01196
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2010-01-0112
2009: PROFIT SHARING AND RETIREMENT PLAN OF SMITH HAUGHEY, RICE AND ROEGGE, P.C. 2009 401k membership
Total participants, beginning-of-year2009-01-01200
Total number of active participants reported on line 7a of the Form 55002009-01-01149
Number of retired or separated participants receiving benefits2009-01-011
Number of other retired or separated participants entitled to future benefits2009-01-0147
Total of all active and inactive participants2009-01-01197
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2009-01-010
Total participants2009-01-01197
Number of participants with account balances2009-01-01192
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2009-01-015

Financial Data on PROFIT SHARING AND RETIREMENT PLAN OF SMITH HAUGHEY, RICE AND ROEGGE, P.C.

Measure Date Value
2022 : PROFIT SHARING AND RETIREMENT PLAN OF SMITH HAUGHEY, RICE AND ROEGGE, P.C. 2022 401k financial data
Total unrealized appreciation/depreciation of assets2022-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2022-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2022-12-31$0
Total income from all sources (including contributions)2022-12-31$-5,575,573
Total loss/gain on sale of assets2022-12-31$0
Total of all expenses incurred2022-12-31$1,583,569
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2022-12-31$1,489,390
Total contributions o plan (from employers,participants, others, non cash contrinutions)2022-12-31$1,242,085
Value of total assets at end of year2022-12-31$35,263,432
Value of total assets at beginning of year2022-12-31$42,422,574
Total of administrative expenses incurred including professional, contract, advisory and management fees2022-12-31$94,179
Total interest from all sources2022-12-31$25,954
Total dividends received (eg from common stock, registered investment company shares)2022-12-31$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2022-12-31No
Administrative expenses professional fees incurred2022-12-31$94,179
Was this plan covered by a fidelity bond2022-12-31Yes
Value of fidelity bond cover2022-12-31$1,000,000
If this is an individual account plan, was there a blackout period2022-12-31No
Were there any nonexempt tranactions with any party-in-interest2022-12-31No
Contributions received from participants2022-12-31$1,007,732
Income. Received or receivable in cash from other sources (including rollovers)2022-12-31$7,856
Value of other receiveables (less allowance for doubtful accounts) at end of year2022-12-31$24,515
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2022-12-31$28,527
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2022-12-31No
Value of net income/loss2022-12-31$-7,159,142
Value of net assets at end of year (total assets less liabilities)2022-12-31$35,263,432
Value of net assets at beginning of year (total assets less liabilities)2022-12-31$42,422,574
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2022-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2022-12-31No
Were any leases to which the plan was party in default or uncollectible2022-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2022-12-31$32,668,877
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2022-12-31$40,596,900
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2022-12-31$1,784,410
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2022-12-31$992,999
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2022-12-31$992,999
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)2022-12-31$25,954
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2022-12-31$785,630
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2022-12-31$804,148
Expenses. Payments to insurance carriers foe the provision of benefits2022-12-31$7,923
Net investment gain/loss from registered investment companies (e.g. mutual funds)2022-12-31$-6,843,612
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2022-12-31No
Was there a failure to transmit to the plan any participant contributions2022-12-31No
Has the plan failed to provide any benefit when due under the plan2022-12-31No
Contributions received in cash from employer2022-12-31$226,497
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2022-12-31$1,481,467
Did the plan have assets held for investment2022-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2022-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2022-12-31No
Opinion of an independent qualified public accountant for this plan2022-12-31Unqualified
Accountancy firm name2022-12-31BAKER HOLTZ
Accountancy firm EIN2022-12-31382268656
2021 : PROFIT SHARING AND RETIREMENT PLAN OF SMITH HAUGHEY, RICE AND ROEGGE, P.C. 2021 401k financial data
Total unrealized appreciation/depreciation of assets2021-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2021-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2021-12-31$0
Total income from all sources (including contributions)2021-12-31$6,494,962
Total loss/gain on sale of assets2021-12-31$0
Total of all expenses incurred2021-12-31$1,221,233
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2021-12-31$1,122,617
Total contributions o plan (from employers,participants, others, non cash contrinutions)2021-12-31$1,460,545
Value of total assets at end of year2021-12-31$42,422,574
Value of total assets at beginning of year2021-12-31$37,148,845
Total of administrative expenses incurred including professional, contract, advisory and management fees2021-12-31$98,616
Total interest from all sources2021-12-31$112
Total dividends received (eg from common stock, registered investment company shares)2021-12-31$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2021-12-31No
Administrative expenses professional fees incurred2021-12-31$98,616
Was this plan covered by a fidelity bond2021-12-31Yes
Value of fidelity bond cover2021-12-31$1,000,000
If this is an individual account plan, was there a blackout period2021-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2021-12-31$0
Were there any nonexempt tranactions with any party-in-interest2021-12-31No
Contributions received from participants2021-12-31$952,292
Participant contributions at beginning of year2021-12-31$6,034
Income. Received or receivable in cash from other sources (including rollovers)2021-12-31$313,472
Value of other receiveables (less allowance for doubtful accounts) at end of year2021-12-31$28,527
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2021-12-31$16,796
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2021-12-31No
Value of net income/loss2021-12-31$5,273,729
Value of net assets at end of year (total assets less liabilities)2021-12-31$42,422,574
Value of net assets at beginning of year (total assets less liabilities)2021-12-31$37,148,845
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2021-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2021-12-31No
Were any leases to which the plan was party in default or uncollectible2021-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2021-12-31$40,596,900
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2021-12-31$34,941,042
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2021-12-31$992,999
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2021-12-31$1,435,282
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2021-12-31$1,435,282
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)2021-12-31$112
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2021-12-31$804,148
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2021-12-31$748,183
Expenses. Payments to insurance carriers foe the provision of benefits2021-12-31$6,845
Net investment gain/loss from registered investment companies (e.g. mutual funds)2021-12-31$5,034,305
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2021-12-31No
Was there a failure to transmit to the plan any participant contributions2021-12-31No
Has the plan failed to provide any benefit when due under the plan2021-12-31No
Contributions received in cash from employer2021-12-31$194,781
Employer contributions (assets) at beginning of year2021-12-31$1,508
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2021-12-31$1,115,772
Did the plan have assets held for investment2021-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2021-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2021-12-31No
Opinion of an independent qualified public accountant for this plan2021-12-31Disclaimer
Accountancy firm name2021-12-31BAKER HOLTZ
Accountancy firm EIN2021-12-31382268656
2020 : PROFIT SHARING AND RETIREMENT PLAN OF SMITH HAUGHEY, RICE AND ROEGGE, P.C. 2020 401k financial data
Total unrealized appreciation/depreciation of assets2020-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2020-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2020-12-31$0
Total income from all sources (including contributions)2020-12-31$5,528,316
Total loss/gain on sale of assets2020-12-31$0
Total of all expenses incurred2020-12-31$4,451,004
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2020-12-31$4,367,582
Total contributions o plan (from employers,participants, others, non cash contrinutions)2020-12-31$1,130,599
Value of total assets at end of year2020-12-31$37,148,845
Value of total assets at beginning of year2020-12-31$36,071,533
Total of administrative expenses incurred including professional, contract, advisory and management fees2020-12-31$83,422
Total interest from all sources2020-12-31$4,560
Total dividends received (eg from common stock, registered investment company shares)2020-12-31$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2020-12-31No
Administrative expenses professional fees incurred2020-12-31$83,422
Was this plan covered by a fidelity bond2020-12-31Yes
Value of fidelity bond cover2020-12-31$1,000,000
If this is an individual account plan, was there a blackout period2020-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2020-12-31$0
Were there any nonexempt tranactions with any party-in-interest2020-12-31No
Contributions received from participants2020-12-31$899,411
Participant contributions at end of year2020-12-31$6,034
Income. Received or receivable in cash from other sources (including rollovers)2020-12-31$54,197
Value of other receiveables (less allowance for doubtful accounts) at end of year2020-12-31$16,796
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2020-12-31$19,602
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2020-12-31No
Value of net income/loss2020-12-31$1,077,312
Value of net assets at end of year (total assets less liabilities)2020-12-31$37,148,845
Value of net assets at beginning of year (total assets less liabilities)2020-12-31$36,071,533
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2020-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2020-12-31No
Were any leases to which the plan was party in default or uncollectible2020-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2020-12-31$34,941,042
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2020-12-31$34,257,834
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2020-12-31$1,435,282
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2020-12-31$948,384
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2020-12-31$948,384
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)2020-12-31$4,560
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2020-12-31$748,183
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2020-12-31$831,651
Expenses. Payments to insurance carriers foe the provision of benefits2020-12-31$7,923
Net investment gain/loss from registered investment companies (e.g. mutual funds)2020-12-31$4,393,157
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2020-12-31No
Was there a failure to transmit to the plan any participant contributions2020-12-31No
Has the plan failed to provide any benefit when due under the plan2020-12-31No
Contributions received in cash from employer2020-12-31$176,991
Employer contributions (assets) at end of year2020-12-31$1,508
Employer contributions (assets) at beginning of year2020-12-31$14,062
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2020-12-31$4,359,659
Did the plan have assets held for investment2020-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2020-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2020-12-31No
Opinion of an independent qualified public accountant for this plan2020-12-31Disclaimer
Accountancy firm name2020-12-31BAKER HOLTZ
Accountancy firm EIN2020-12-31382268656
2019 : PROFIT SHARING AND RETIREMENT PLAN OF SMITH HAUGHEY, RICE AND ROEGGE, P.C. 2019 401k financial data
Total unrealized appreciation/depreciation of assets2019-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2019-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2019-12-31$0
Total income from all sources (including contributions)2019-12-31$8,721,304
Total loss/gain on sale of assets2019-12-31$0
Total of all expenses incurred2019-12-31$8,707,808
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2019-12-31$8,610,314
Total contributions o plan (from employers,participants, others, non cash contrinutions)2019-12-31$1,508,155
Value of total assets at end of year2019-12-31$36,071,533
Value of total assets at beginning of year2019-12-31$36,058,037
Total of administrative expenses incurred including professional, contract, advisory and management fees2019-12-31$97,494
Total interest from all sources2019-12-31$23,666
Total dividends received (eg from common stock, registered investment company shares)2019-12-31$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2019-12-31No
Was this plan covered by a fidelity bond2019-12-31Yes
Value of fidelity bond cover2019-12-31$1,000,000
If this is an individual account plan, was there a blackout period2019-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2019-12-31$0
Were there any nonexempt tranactions with any party-in-interest2019-12-31No
Contributions received from participants2019-12-31$915,471
Income. Received or receivable in cash from other sources (including rollovers)2019-12-31$403,952
Value of other receiveables (less allowance for doubtful accounts) at end of year2019-12-31$19,602
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2019-12-31$20,673
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2019-12-31No
Value of net income/loss2019-12-31$13,496
Value of net assets at end of year (total assets less liabilities)2019-12-31$36,071,533
Value of net assets at beginning of year (total assets less liabilities)2019-12-31$36,058,037
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2019-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2019-12-31No
Were any leases to which the plan was party in default or uncollectible2019-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2019-12-31$34,257,834
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2019-12-31$28,645,228
Value of interest in common/collective trusts at beginning of year2019-12-31$5,136,097
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2019-12-31$948,384
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2019-12-31$1,488,195
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2019-12-31$1,488,195
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)2019-12-31$23,666
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2019-12-31$831,651
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2019-12-31$767,844
Expenses. Payments to insurance carriers foe the provision of benefits2019-12-31$9,720
Net investment gain/loss from registered investment companies (e.g. mutual funds)2019-12-31$7,189,483
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2019-12-31No
Was there a failure to transmit to the plan any participant contributions2019-12-31No
Has the plan failed to provide any benefit when due under the plan2019-12-31No
Contributions received in cash from employer2019-12-31$188,732
Employer contributions (assets) at end of year2019-12-31$14,062
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2019-12-31$8,600,594
Contract administrator fees2019-12-31$97,494
Did the plan have assets held for investment2019-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2019-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2019-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2019-12-31Yes
Opinion of an independent qualified public accountant for this plan2019-12-31Disclaimer
Accountancy firm name2019-12-31BAKER HOLTZ
Accountancy firm EIN2019-12-31382268656
2018 : PROFIT SHARING AND RETIREMENT PLAN OF SMITH HAUGHEY, RICE AND ROEGGE, P.C. 2018 401k financial data
Total unrealized appreciation/depreciation of assets2018-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2018-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2018-12-31$0
Total income from all sources (including contributions)2018-12-31$-735,892
Total loss/gain on sale of assets2018-12-31$0
Total of all expenses incurred2018-12-31$3,677,079
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2018-12-31$3,574,482
Value of total corrective distributions2018-12-31$2,149
Total contributions o plan (from employers,participants, others, non cash contrinutions)2018-12-31$1,136,329
Value of total assets at end of year2018-12-31$36,058,037
Value of total assets at beginning of year2018-12-31$40,471,008
Total of administrative expenses incurred including professional, contract, advisory and management fees2018-12-31$100,448
Total interest from all sources2018-12-31$19,331
Total dividends received (eg from common stock, registered investment company shares)2018-12-31$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2018-12-31No
Was this plan covered by a fidelity bond2018-12-31Yes
Value of fidelity bond cover2018-12-31$1,000,000
If this is an individual account plan, was there a blackout period2018-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2018-12-31$0
Were there any nonexempt tranactions with any party-in-interest2018-12-31No
Contributions received from participants2018-12-31$894,425
Participant contributions at beginning of year2018-12-31$149
Participant contributions at beginning of year2018-12-31$38,644
Income. Received or receivable in cash from other sources (including rollovers)2018-12-31$40,099
Value of other receiveables (less allowance for doubtful accounts) at end of year2018-12-31$20,673
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2018-12-31$15,592
Other income not declared elsewhere2018-12-31$-274,716
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2018-12-31No
Value of net income/loss2018-12-31$-4,412,971
Value of net assets at end of year (total assets less liabilities)2018-12-31$36,058,037
Value of net assets at beginning of year (total assets less liabilities)2018-12-31$40,471,008
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2018-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2018-12-31No
Were any leases to which the plan was party in default or uncollectible2018-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2018-12-31$28,645,228
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2018-12-31$32,525,150
Value of interest in common/collective trusts at end of year2018-12-31$5,136,097
Value of interest in common/collective trusts at beginning of year2018-12-31$6,015,607
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2018-12-31$1,488,195
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2018-12-31$829,686
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2018-12-31$829,686
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)2018-12-31$19,331
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2018-12-31$767,844
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2018-12-31$1,025,368
Expenses. Payments to insurance carriers foe the provision of benefits2018-12-31$8,642
Net investment gain/loss from registered investment companies (e.g. mutual funds)2018-12-31$-1,616,836
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2018-12-31No
Was there a failure to transmit to the plan any participant contributions2018-12-31No
Has the plan failed to provide any benefit when due under the plan2018-12-31No
Contributions received in cash from employer2018-12-31$201,805
Employer contributions (assets) at beginning of year2018-12-31$20,812
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2018-12-31$3,565,840
Contract administrator fees2018-12-31$100,448
Did the plan have assets held for investment2018-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2018-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2018-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2018-12-31Yes
Opinion of an independent qualified public accountant for this plan2018-12-31Disclaimer
Accountancy firm name2018-12-31BAKER HOLTZ
Accountancy firm EIN2018-12-31382268656
2017 : PROFIT SHARING AND RETIREMENT PLAN OF SMITH HAUGHEY, RICE AND ROEGGE, P.C. 2017 401k financial data
Total unrealized appreciation/depreciation of assets2017-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2017-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2017-12-31$0
Total income from all sources (including contributions)2017-12-31$7,079,275
Total loss/gain on sale of assets2017-12-31$0
Total of all expenses incurred2017-12-31$4,794,993
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2017-12-31$4,696,567
Total contributions o plan (from employers,participants, others, non cash contrinutions)2017-12-31$1,316,298
Value of total assets at end of year2017-12-31$40,471,008
Value of total assets at beginning of year2017-12-31$38,186,726
Total of administrative expenses incurred including professional, contract, advisory and management fees2017-12-31$98,426
Total interest from all sources2017-12-31$7,463
Total dividends received (eg from common stock, registered investment company shares)2017-12-31$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2017-12-31No
Was this plan covered by a fidelity bond2017-12-31Yes
Value of fidelity bond cover2017-12-31$1,000,000
If this is an individual account plan, was there a blackout period2017-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2017-12-31$0
Were there any nonexempt tranactions with any party-in-interest2017-12-31No
Contributions received from participants2017-12-31$1,054,139
Participant contributions at end of year2017-12-31$149
Participant contributions at beginning of year2017-12-31$3,136
Participant contributions at end of year2017-12-31$38,644
Participant contributions at beginning of year2017-12-31$29,356
Income. Received or receivable in cash from other sources (including rollovers)2017-12-31$25,879
Value of other receiveables (less allowance for doubtful accounts) at end of year2017-12-31$15,592
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2017-12-31$14,330
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2017-12-31No
Value of net income/loss2017-12-31$2,284,282
Value of net assets at end of year (total assets less liabilities)2017-12-31$40,471,008
Value of net assets at beginning of year (total assets less liabilities)2017-12-31$38,186,726
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2017-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2017-12-31No
Were any leases to which the plan was party in default or uncollectible2017-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2017-12-31$32,525,150
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2017-12-31$28,528,488
Interest on participant loans2017-12-31$90
Value of interest in common/collective trusts at end of year2017-12-31$6,015,607
Value of interest in common/collective trusts at beginning of year2017-12-31$6,623,761
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2017-12-31$829,686
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2017-12-31$1,788,736
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2017-12-31$1,788,736
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)2017-12-31$7,373
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2017-12-31$1,025,368
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2017-12-31$976,202
Expenses. Payments to insurance carriers foe the provision of benefits2017-12-31$7,150
Net investment gain/loss from registered investment companies (e.g. mutual funds)2017-12-31$5,117,947
Net investment gain or loss from common/collective trusts2017-12-31$637,567
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2017-12-31No
Was there a failure to transmit to the plan any participant contributions2017-12-31No
Has the plan failed to provide any benefit when due under the plan2017-12-31No
Contributions received in cash from employer2017-12-31$236,280
Employer contributions (assets) at end of year2017-12-31$20,812
Employer contributions (assets) at beginning of year2017-12-31$222,717
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2017-12-31$4,689,417
Contract administrator fees2017-12-31$98,426
Did the plan have assets held for investment2017-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2017-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2017-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2017-12-31Yes
Opinion of an independent qualified public accountant for this plan2017-12-31Disclaimer
Accountancy firm name2017-12-31BAKER HOLTZ
Accountancy firm EIN2017-12-31382268656
2016 : PROFIT SHARING AND RETIREMENT PLAN OF SMITH HAUGHEY, RICE AND ROEGGE, P.C. 2016 401k financial data
Total unrealized appreciation/depreciation of assets2016-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2016-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2016-12-31$0
Total income from all sources (including contributions)2016-12-31$4,090,849
Total loss/gain on sale of assets2016-12-31$0
Total of all expenses incurred2016-12-31$8,187,176
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2016-12-31$8,083,919
Total contributions o plan (from employers,participants, others, non cash contrinutions)2016-12-31$1,510,839
Value of total assets at end of year2016-12-31$38,186,726
Value of total assets at beginning of year2016-12-31$42,283,053
Total of administrative expenses incurred including professional, contract, advisory and management fees2016-12-31$103,257
Total interest from all sources2016-12-31$2,828
Total dividends received (eg from common stock, registered investment company shares)2016-12-31$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2016-12-31No
Was this plan covered by a fidelity bond2016-12-31Yes
Value of fidelity bond cover2016-12-31$1,000,000
If this is an individual account plan, was there a blackout period2016-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2016-12-31$0
Were there any nonexempt tranactions with any party-in-interest2016-12-31No
Contributions received from participants2016-12-31$1,069,165
Participant contributions at end of year2016-12-31$3,136
Participant contributions at beginning of year2016-12-31$5,970
Participant contributions at end of year2016-12-31$29,356
Participant contributions at beginning of year2016-12-31$45,110
Income. Received or receivable in cash from other sources (including rollovers)2016-12-31$8,412
Value of other receiveables (less allowance for doubtful accounts) at end of year2016-12-31$14,330
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2016-12-31$16,545
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2016-12-31No
Value of net income/loss2016-12-31$-4,096,327
Value of net assets at end of year (total assets less liabilities)2016-12-31$38,186,726
Value of net assets at beginning of year (total assets less liabilities)2016-12-31$42,283,053
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2016-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2016-12-31No
Were any leases to which the plan was party in default or uncollectible2016-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2016-12-31$28,528,488
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2016-12-31$32,123,175
Interest on participant loans2016-12-31$243
Value of interest in common/collective trusts at end of year2016-12-31$6,623,761
Value of interest in common/collective trusts at beginning of year2016-12-31$7,461,106
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2016-12-31$1,788,736
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2016-12-31$1,589,479
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2016-12-31$1,589,479
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)2016-12-31$2,585
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2016-12-31$976,202
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2016-12-31$1,009,954
Expenses. Payments to insurance carriers foe the provision of benefits2016-12-31$11,278
Net investment gain/loss from registered investment companies (e.g. mutual funds)2016-12-31$2,147,976
Net investment gain or loss from common/collective trusts2016-12-31$429,206
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2016-12-31No
Was there a failure to transmit to the plan any participant contributions2016-12-31No
Has the plan failed to provide any benefit when due under the plan2016-12-31No
Contributions received in cash from employer2016-12-31$433,262
Employer contributions (assets) at end of year2016-12-31$222,717
Employer contributions (assets) at beginning of year2016-12-31$31,714
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2016-12-31$8,072,641
Contract administrator fees2016-12-31$103,257
Did the plan have assets held for investment2016-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2016-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2016-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2016-12-31Yes
Opinion of an independent qualified public accountant for this plan2016-12-31Disclaimer
Accountancy firm name2016-12-31BAKER HOLTZ
Accountancy firm EIN2016-12-31382268656
2015 : PROFIT SHARING AND RETIREMENT PLAN OF SMITH HAUGHEY, RICE AND ROEGGE, P.C. 2015 401k financial data
Total unrealized appreciation/depreciation of assets2015-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2015-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2015-12-31$0
Total income from all sources (including contributions)2015-12-31$1,433,532
Total loss/gain on sale of assets2015-12-31$0
Total of all expenses incurred2015-12-31$7,037,411
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2015-12-31$6,925,528
Total contributions o plan (from employers,participants, others, non cash contrinutions)2015-12-31$1,550,914
Value of total assets at end of year2015-12-31$42,283,053
Value of total assets at beginning of year2015-12-31$47,886,932
Total of administrative expenses incurred including professional, contract, advisory and management fees2015-12-31$111,883
Total interest from all sources2015-12-31$635
Total dividends received (eg from common stock, registered investment company shares)2015-12-31$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2015-12-31No
Was this plan covered by a fidelity bond2015-12-31Yes
Value of fidelity bond cover2015-12-31$1,000,000
If this is an individual account plan, was there a blackout period2015-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2015-12-31$0
Were there any nonexempt tranactions with any party-in-interest2015-12-31No
Contributions received from participants2015-12-31$1,255,465
Participant contributions at end of year2015-12-31$5,970
Participant contributions at beginning of year2015-12-31$11,983
Participant contributions at end of year2015-12-31$45,110
Participant contributions at beginning of year2015-12-31$35,377
Income. Received or receivable in cash from other sources (including rollovers)2015-12-31$32,266
Value of other receiveables (less allowance for doubtful accounts) at end of year2015-12-31$16,545
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2015-12-31$7,594
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2015-12-31No
Value of net income/loss2015-12-31$-5,603,879
Value of net assets at end of year (total assets less liabilities)2015-12-31$42,283,053
Value of net assets at beginning of year (total assets less liabilities)2015-12-31$47,886,932
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2015-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2015-12-31No
Were any leases to which the plan was party in default or uncollectible2015-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2015-12-31$32,123,175
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2015-12-31$31,520,294
Interest on participant loans2015-12-31$444
Value of interest in common/collective trusts at end of year2015-12-31$7,461,106
Value of interest in common/collective trusts at beginning of year2015-12-31$14,266,342
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2015-12-31$1,589,479
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2015-12-31$1,053,033
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2015-12-31$1,053,033
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)2015-12-31$191
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2015-12-31$1,009,954
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2015-12-31$991,251
Expenses. Payments to insurance carriers foe the provision of benefits2015-12-31$11,360
Net investment gain/loss from registered investment companies (e.g. mutual funds)2015-12-31$-34,445
Net investment gain or loss from common/collective trusts2015-12-31$-83,572
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2015-12-31No
Was there a failure to transmit to the plan any participant contributions2015-12-31No
Has the plan failed to provide any benefit when due under the plan2015-12-31No
Contributions received in cash from employer2015-12-31$263,183
Employer contributions (assets) at end of year2015-12-31$31,714
Employer contributions (assets) at beginning of year2015-12-31$1,058
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2015-12-31$6,914,168
Contract administrator fees2015-12-31$111,883
Did the plan have assets held for investment2015-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2015-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2015-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2015-12-31Yes
Opinion of an independent qualified public accountant for this plan2015-12-31Disclaimer
Accountancy firm name2015-12-31BAKER HOLTZ
Accountancy firm EIN2015-12-31382268656
2014 : PROFIT SHARING AND RETIREMENT PLAN OF SMITH HAUGHEY, RICE AND ROEGGE, P.C. 2014 401k financial data
Total unrealized appreciation/depreciation of assets2014-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2014-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2014-12-31$0
Total income from all sources (including contributions)2014-12-31$3,935,009
Total loss/gain on sale of assets2014-12-31$0
Total of all expenses incurred2014-12-31$1,443,117
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2014-12-31$1,326,021
Total contributions o plan (from employers,participants, others, non cash contrinutions)2014-12-31$1,422,498
Value of total assets at end of year2014-12-31$47,886,932
Value of total assets at beginning of year2014-12-31$45,395,040
Total of administrative expenses incurred including professional, contract, advisory and management fees2014-12-31$117,096
Total interest from all sources2014-12-31$955
Total dividends received (eg from common stock, registered investment company shares)2014-12-31$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2014-12-31No
Was this plan covered by a fidelity bond2014-12-31Yes
Value of fidelity bond cover2014-12-31$1,000,000
If this is an individual account plan, was there a blackout period2014-12-31No
Were there any nonexempt tranactions with any party-in-interest2014-12-31No
Contributions received from participants2014-12-31$1,121,904
Participant contributions at end of year2014-12-31$11,983
Participant contributions at beginning of year2014-12-31$19,775
Participant contributions at end of year2014-12-31$35,377
Income. Received or receivable in cash from other sources (including rollovers)2014-12-31$52,975
Value of other receiveables (less allowance for doubtful accounts) at end of year2014-12-31$7,594
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2014-12-31$9,517
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2014-12-31No
Value of net income/loss2014-12-31$2,491,892
Value of net assets at end of year (total assets less liabilities)2014-12-31$47,886,932
Value of net assets at beginning of year (total assets less liabilities)2014-12-31$45,395,040
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2014-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2014-12-31No
Were any leases to which the plan was party in default or uncollectible2014-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2014-12-31$31,520,294
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2014-12-31$29,170,850
Interest on participant loans2014-12-31$843
Value of interest in common/collective trusts at end of year2014-12-31$14,266,342
Value of interest in common/collective trusts at beginning of year2014-12-31$14,090,069
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2014-12-31$1,053,033
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2014-12-31$1,164,138
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2014-12-31$1,164,138
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)2014-12-31$112
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2014-12-31$991,251
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2014-12-31$940,691
Expenses. Payments to insurance carriers foe the provision of benefits2014-12-31$17,003
Net investment gain/loss from registered investment companies (e.g. mutual funds)2014-12-31$1,871,905
Net investment gain or loss from common/collective trusts2014-12-31$639,651
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2014-12-31No
Was there a failure to transmit to the plan any participant contributions2014-12-31No
Has the plan failed to provide any benefit when due under the plan2014-12-31No
Contributions received in cash from employer2014-12-31$247,619
Employer contributions (assets) at end of year2014-12-31$1,058
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2014-12-31$1,309,018
Contract administrator fees2014-12-31$117,096
Did the plan have assets held for investment2014-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2014-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2014-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2014-12-31Yes
Opinion of an independent qualified public accountant for this plan2014-12-31Disclaimer
Accountancy firm name2014-12-31BAKER HOLTZ
Accountancy firm EIN2014-12-31382268656
2013 : PROFIT SHARING AND RETIREMENT PLAN OF SMITH HAUGHEY, RICE AND ROEGGE, P.C. 2013 401k financial data
Total unrealized appreciation/depreciation of assets2013-12-31$0
Total transfer of assets to this plan2013-12-31$842,992
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2013-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2013-12-31$0
Total income from all sources (including contributions)2013-12-31$7,491,730
Total loss/gain on sale of assets2013-12-31$0
Total of all expenses incurred2013-12-31$3,996,674
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2013-12-31$3,890,402
Total contributions o plan (from employers,participants, others, non cash contrinutions)2013-12-31$1,343,991
Value of total assets at end of year2013-12-31$45,395,040
Value of total assets at beginning of year2013-12-31$41,056,992
Total of administrative expenses incurred including professional, contract, advisory and management fees2013-12-31$106,272
Total interest from all sources2013-12-31$312
Total dividends received (eg from common stock, registered investment company shares)2013-12-31$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2013-12-31No
Was this plan covered by a fidelity bond2013-12-31Yes
Value of fidelity bond cover2013-12-31$1,000,000
If this is an individual account plan, was there a blackout period2013-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2013-12-31$0
Were there any nonexempt tranactions with any party-in-interest2013-12-31No
Contributions received from participants2013-12-31$1,128,217
Participant contributions at end of year2013-12-31$19,775
Participant contributions at beginning of year2013-12-31$0
Participant contributions at beginning of year2013-12-31$663
Income. Received or receivable in cash from other sources (including rollovers)2013-12-31$54
Value of other receiveables (less allowance for doubtful accounts) at end of year2013-12-31$9,517
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2013-12-31$16,891
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2013-12-31No
Value of net income/loss2013-12-31$3,495,056
Value of net assets at end of year (total assets less liabilities)2013-12-31$45,395,040
Value of net assets at beginning of year (total assets less liabilities)2013-12-31$41,056,992
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2013-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2013-12-31No
Were any leases to which the plan was party in default or uncollectible2013-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2013-12-31$29,170,850
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2013-12-31$26,328,620
Interest on participant loans2013-12-31$228
Value of interest in common/collective trusts at end of year2013-12-31$14,090,069
Value of interest in common/collective trusts at beginning of year2013-12-31$12,995,766
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2013-12-31$1,164,138
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2013-12-31$820,113
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2013-12-31$820,113
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)2013-12-31$84
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2013-12-31$940,691
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2013-12-31$875,219
Expenses. Payments to insurance carriers foe the provision of benefits2013-12-31$23,869
Net investment gain/loss from registered investment companies (e.g. mutual funds)2013-12-31$4,574,142
Net investment gain or loss from common/collective trusts2013-12-31$1,573,285
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2013-12-31No
Was there a failure to transmit to the plan any participant contributions2013-12-31No
Has the plan failed to provide any benefit when due under the plan2013-12-31No
Contributions received in cash from employer2013-12-31$215,720
Employer contributions (assets) at beginning of year2013-12-31$19,720
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2013-12-31$3,866,533
Contract administrator fees2013-12-31$106,272
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-32013-12-31No
Did the plan have assets held for investment2013-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2013-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2013-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2013-12-31Yes
Opinion of an independent qualified public accountant for this plan2013-12-31Disclaimer
Accountancy firm name2013-12-31BAKER HOLTZ
Accountancy firm EIN2013-12-31382268656
2012 : PROFIT SHARING AND RETIREMENT PLAN OF SMITH HAUGHEY, RICE AND ROEGGE, P.C. 2012 401k financial data
Total unrealized appreciation/depreciation of assets2012-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2012-12-31$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$6,049,672
Total loss/gain on sale of assets2012-12-31$0
Total of all expenses incurred2012-12-31$3,091,281
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2012-12-31$3,073,381
Total contributions o plan (from employers,participants, others, non cash contrinutions)2012-12-31$1,527,322
Value of total assets at end of year2012-12-31$41,056,992
Value of total assets at beginning of year2012-12-31$38,098,601
Total of administrative expenses incurred including professional, contract, advisory and management fees2012-12-31$17,900
Total interest from all sources2012-12-31$758
Total dividends received (eg from common stock, registered investment company shares)2012-12-31$861,982
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2012-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2012-12-31$861,982
Was this plan covered by a fidelity bond2012-12-31Yes
Value of fidelity bond cover2012-12-31$1,000,000
If this is an individual account plan, was there a blackout period2012-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2012-12-31$0
Were there any nonexempt tranactions with any party-in-interest2012-12-31No
Contributions received from participants2012-12-31$1,007,809
Participant contributions at end of year2012-12-31$0
Participant contributions at beginning of year2012-12-31$12,239
Participant contributions at end of year2012-12-31$663
Income. Received or receivable in cash from other sources (including rollovers)2012-12-31$118,687
Value of other receiveables (less allowance for doubtful accounts) at end of year2012-12-31$16,891
Administrative expenses (other) incurred2012-12-31$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2012-12-31No
Value of net income/loss2012-12-31$2,958,391
Value of net assets at end of year (total assets less liabilities)2012-12-31$41,056,992
Value of net assets at beginning of year (total assets less liabilities)2012-12-31$38,098,601
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2012-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2012-12-31No
Were any leases to which the plan was party in default or uncollectible2012-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2012-12-31$26,328,620
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2012-12-31$35,344,671
Interest on participant loans2012-12-31$459
Value of interest in common/collective trusts at end of year2012-12-31$12,995,766
Value of interest in common/collective trusts at beginning of year2012-12-31$1,920,059
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2012-12-31$820,113
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)2012-12-31$299
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2012-12-31$875,219
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2012-12-31$821,632
Expenses. Payments to insurance carriers foe the provision of benefits2012-12-31$25,156
Net investment gain/loss from registered investment companies (e.g. mutual funds)2012-12-31$3,231,728
Net investment gain or loss from common/collective trusts2012-12-31$427,882
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2012-12-31No
Was there a failure to transmit to the plan any participant contributions2012-12-31No
Has the plan failed to provide any benefit when due under the plan2012-12-31No
Contributions received in cash from employer2012-12-31$400,826
Employer contributions (assets) at end of year2012-12-31$19,720
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2012-12-31$3,048,225
Contract administrator fees2012-12-31$17,900
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-32012-12-31No
Did the plan have assets held for investment2012-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2012-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2012-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2012-12-31Yes
Opinion of an independent qualified public accountant for this plan2012-12-31Disclaimer
Accountancy firm name2012-12-31BAKER HOLTZ
Accountancy firm EIN2012-12-31382268656
2011 : PROFIT SHARING AND RETIREMENT PLAN OF SMITH HAUGHEY, RICE AND ROEGGE, P.C. 2011 401k financial data
Unrealized appreciation/depreciation of real estate assets2011-12-31$0
Unrealized appreciation/depreciation of other (non real estate) assets2011-12-31$0
Total unrealized appreciation/depreciation of assets2011-12-31$0
Total transfer of assets to this plan2011-12-31$0
Total transfer of assets from this plan2011-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2011-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2011-12-31$0
Expenses. Interest paid2011-12-31$0
Amount of participant contributions which was failed to transmit to the plan within the time period described in 29 CFR 251.3-1022011-12-31$0
Total income from all sources (including contributions)2011-12-31$577,333
Total loss/gain on sale of assets2011-12-31$0
Total of all expenses incurred2011-12-31$1,355,834
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2011-12-31$1,331,443
Expenses. Certain deemed distributions of participant loans2011-12-31$0
Value of total corrective distributions2011-12-31$0
Total contributions o plan (from employers,participants, others, non cash contrinutions)2011-12-31$1,004,443
Value of total assets at end of year2011-12-31$38,098,601
Value of total assets at beginning of year2011-12-31$38,877,102
Total of administrative expenses incurred including professional, contract, advisory and management fees2011-12-31$24,391
Total income from rents2011-12-31$0
Total interest from all sources2011-12-31$920
Total dividends received (eg from common stock, registered investment company shares)2011-12-31$661,757
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2011-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2011-12-31$661,757
Assets. Real estate other than employer real property at end of year2011-12-31$0
Assets. Real estate other than employer real property at beginning of year2011-12-31$0
Administrative expenses professional fees incurred2011-12-31$0
Assets. Corporate prefeered stocks other than exployer securities at end of year2011-12-31$0
Assets. Corporate prefeered stocks other than exployer securities at beginning of year2011-12-31$0
Was this plan covered by a fidelity bond2011-12-31Yes
Value of fidelity bond cover2011-12-31$1,000,000
If this is an individual account plan, was there a blackout period2011-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2011-12-31$0
Were there any nonexempt tranactions with any party-in-interest2011-12-31No
Contributions received from participants2011-12-31$814,834
Participant contributions at end of year2011-12-31$12,239
Participant contributions at beginning of year2011-12-31$16,370
Participant contributions at end of year2011-12-31$0
Participant contributions at beginning of year2011-12-31$0
Assets. Other investments not covered elsewhere at end of year2011-12-31$0
Assets. Other investments not covered elsewhere at beginning of year2011-12-31$0
Income. Received or receivable in cash from other sources (including rollovers)2011-12-31$0
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)2011-12-31$0
Value of other receiveables (less allowance for doubtful accounts) at end of year2011-12-31$0
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2011-12-31$0
Assets. Loans (other than to participants) at end of year2011-12-31$0
Assets. Loans (other than to participants) at beginning of year2011-12-31$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year2011-12-31$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year2011-12-31$0
Other income not declared elsewhere2011-12-31$0
Administrative expenses (other) incurred2011-12-31$0
Total non interest bearing cash at end of year2011-12-31$0
Total non interest bearing cash at beginning of year2011-12-31$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2011-12-31No
Income. Non cash contributions2011-12-31$0
Value of net income/loss2011-12-31$-778,501
Value of net assets at end of year (total assets less liabilities)2011-12-31$38,098,601
Value of net assets at beginning of year (total assets less liabilities)2011-12-31$38,877,102
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2011-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2011-12-31No
Were any leases to which the plan was party in default or uncollectible2011-12-31No
Assets. partnership/joint venture interests at end of year2011-12-31$0
Assets. partnership/joint venture interests at beginning of year2011-12-31$0
Investment advisory and management fees2011-12-31$0
Value of interest in registered invesment companies (eg mutual funds) at end of year2011-12-31$35,344,671
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2011-12-31$36,694,418
Interest on participant loans2011-12-31$920
Income. Interest from loans (other than to participants)2011-12-31$0
Interest earned on other investments2011-12-31$0
Income. Interest from US Government securities2011-12-31$0
Income. Interest from corporate debt instruments2011-12-31$0
Value of interest in master investment trust accounts at end of year2011-12-31$0
Value of interest in master investment trust accounts at beginning of year2011-12-31$0
Value of interest in common/collective trusts at end of year2011-12-31$1,920,059
Value of interest in common/collective trusts at beginning of year2011-12-31$1,421,148
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2011-12-31$0
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2011-12-31$0
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2011-12-31$0
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)2011-12-31$0
Assets. Value of investments in 103.12 investment entities at end of year2011-12-31$0
Assets. Value of investments in 103.12 investment entities at beginning of year2011-12-31$0
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2011-12-31$821,632
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2011-12-31$745,166
Expenses. Payments to insurance carriers foe the provision of benefits2011-12-31$0
Asset value of US Government securities at end of year2011-12-31$0
Asset value of US Government securities at beginning of year2011-12-31$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)2011-12-31$-1,112,157
Net investment gain/loss from pooled separate accounts2011-12-31$0
Net investment gain or loss from common/collective trusts2011-12-31$22,370
Net gain/loss from 103.12 investment entities2011-12-31$0
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2011-12-31No
Was there a failure to transmit to the plan any participant contributions2011-12-31No
Has the plan failed to provide any benefit when due under the plan2011-12-31No
Assets. Invements in employer securities at end of year2011-12-31$0
Assets. Invements in employer securities at beginning of year2011-12-31$0
Assets. Value of employer real property at end of year2011-12-31$0
Assets. Value of employer real property at beginning of year2011-12-31$0
Contributions received in cash from employer2011-12-31$189,609
Employer contributions (assets) at end of year2011-12-31$0
Employer contributions (assets) at beginning of year2011-12-31$0
Income. Dividends from preferred stock2011-12-31$0
Income. Dividends from common stock2011-12-31$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2011-12-31$1,331,443
Asset. Corporate debt instrument preferred debt at end of year2011-12-31$0
Asset. Corporate debt instrument preferred debt at beginning of year2011-12-31$0
Asset. Corporate debt instrument debt (other) at end of year2011-12-31$0
Asset. Corporate debt instrument debt (other) at beginning of year2011-12-31$0
Contract administrator fees2011-12-31$24,391
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-32011-12-31No
Assets. Corporate common stocks other than exployer securities at end of year2011-12-31$0
Assets. Corporate common stocks other than exployer securities at beginning of year2011-12-31$0
Liabilities. Value of benefit claims payable at end of year2011-12-31$0
Liabilities. Value of benefit claims payable at beginning of year2011-12-31$0
Assets. Value of buildings and other operty used in plan operation at end of year2011-12-31$0
Assets. Value of buildings and other operty used in plan operation at beginning of year2011-12-31$0
Did the plan have assets held for investment2011-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2011-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2011-12-31No
Aggregate proceeds on sale of assets2011-12-31$0
Aggregate carrying amount (costs) on sale of assets2011-12-31$0
Liabilities. Value of acquisition indebtedness at end of year2011-12-31$0
Liabilities. Value of acquisition indebtedness at beginning of year2011-12-31$0
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2011-12-31Yes
Opinion of an independent qualified public accountant for this plan2011-12-31Disclaimer
Accountancy firm name2011-12-31BAKER SPINDLER HOLTZ
Accountancy firm EIN2011-12-31382268656
2010 : PROFIT SHARING AND RETIREMENT PLAN OF SMITH HAUGHEY, RICE AND ROEGGE, P.C. 2010 401k financial data
Unrealized appreciation/depreciation of real estate assets2010-12-31$0
Unrealized appreciation/depreciation of other (non real estate) assets2010-12-31$0
Total unrealized appreciation/depreciation of assets2010-12-31$0
Total transfer of assets to this plan2010-12-31$0
Total transfer of assets from this plan2010-12-31$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
Expenses. Interest paid2010-12-31$0
Amount of participant contributions which was failed to transmit to the plan within the time period described in 29 CFR 251.3-1022010-12-31$0
Total income from all sources (including contributions)2010-12-31$5,379,066
Total loss/gain on sale of assets2010-12-31$0
Total of all expenses incurred2010-12-31$2,072,164
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2010-12-31$2,039,060
Expenses. Certain deemed distributions of participant loans2010-12-31$9,024
Value of total corrective distributions2010-12-31$0
Total contributions o plan (from employers,participants, others, non cash contrinutions)2010-12-31$1,203,044
Value of total assets at end of year2010-12-31$38,877,102
Value of total assets at beginning of year2010-12-31$35,570,200
Total of administrative expenses incurred including professional, contract, advisory and management fees2010-12-31$24,080
Total income from rents2010-12-31$0
Total interest from all sources2010-12-31$1,376
Total dividends received (eg from common stock, registered investment company shares)2010-12-31$664,948
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2010-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2010-12-31$664,948
Assets. Real estate other than employer real property at end of year2010-12-31$0
Assets. Real estate other than employer real property at beginning of year2010-12-31$0
Administrative expenses professional fees incurred2010-12-31$0
Assets. Corporate prefeered stocks other than exployer securities at end of year2010-12-31$0
Assets. Corporate prefeered stocks other than exployer securities at beginning of year2010-12-31$0
Was this plan covered by a fidelity bond2010-12-31Yes
Value of fidelity bond cover2010-12-31$1,000,000
If this is an individual account plan, was there a blackout period2010-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2010-12-31$0
Were there any nonexempt tranactions with any party-in-interest2010-12-31No
Contributions received from participants2010-12-31$797,373
Participant contributions at end of year2010-12-31$16,370
Participant contributions at beginning of year2010-12-31$33,809
Participant contributions at end of year2010-12-31$0
Participant contributions at beginning of year2010-12-31$0
Assets. Other investments not covered elsewhere at end of year2010-12-31$0
Assets. Other investments not covered elsewhere at beginning of year2010-12-31$0
Income. Received or receivable in cash from other sources (including rollovers)2010-12-31$405,671
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)2010-12-31$0
Value of other receiveables (less allowance for doubtful accounts) at end of year2010-12-31$0
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2010-12-31$0
Assets. Loans (other than to participants) at end of year2010-12-31$0
Assets. Loans (other than to participants) at beginning of year2010-12-31$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year2010-12-31$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year2010-12-31$0
Other income not declared elsewhere2010-12-31$0
Administrative expenses (other) incurred2010-12-31$0
Total non interest bearing cash at end of year2010-12-31$0
Total non interest bearing cash at beginning of year2010-12-31$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2010-12-31No
Income. Non cash contributions2010-12-31$0
Value of net income/loss2010-12-31$3,306,902
Value of net assets at end of year (total assets less liabilities)2010-12-31$38,877,102
Value of net assets at beginning of year (total assets less liabilities)2010-12-31$35,570,200
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2010-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2010-12-31No
Were any leases to which the plan was party in default or uncollectible2010-12-31No
Assets. partnership/joint venture interests at end of year2010-12-31$0
Assets. partnership/joint venture interests at beginning of year2010-12-31$0
Investment advisory and management fees2010-12-31$0
Value of interest in registered invesment companies (eg mutual funds) at end of year2010-12-31$36,694,418
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2010-12-31$33,704,671
Interest on participant loans2010-12-31$1,376
Income. Interest from loans (other than to participants)2010-12-31$0
Interest earned on other investments2010-12-31$0
Income. Interest from US Government securities2010-12-31$0
Income. Interest from corporate debt instruments2010-12-31$0
Value of interest in master investment trust accounts at end of year2010-12-31$0
Value of interest in master investment trust accounts at beginning of year2010-12-31$0
Value of interest in common/collective trusts at end of year2010-12-31$1,421,148
Value of interest in common/collective trusts at beginning of year2010-12-31$1,012,764
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2010-12-31$0
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2010-12-31$0
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2010-12-31$0
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)2010-12-31$0
Assets. Value of investments in 103.12 investment entities at end of year2010-12-31$0
Assets. Value of investments in 103.12 investment entities at beginning of year2010-12-31$0
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2010-12-31$745,166
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2010-12-31$818,956
Expenses. Payments to insurance carriers foe the provision of benefits2010-12-31$0
Asset value of US Government securities at end of year2010-12-31$0
Asset value of US Government securities at beginning of year2010-12-31$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)2010-12-31$2,266,568
Net investment gain/loss from pooled separate accounts2010-12-31$0
Net investment gain or loss from common/collective trusts2010-12-31$1,243,130
Net gain/loss from 103.12 investment entities2010-12-31$0
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2010-12-31No
Was there a failure to transmit to the plan any participant contributions2010-12-31No
Has the plan failed to provide any benefit when due under the plan2010-12-31No
Assets. Invements in employer securities at end of year2010-12-31$0
Assets. Invements in employer securities at beginning of year2010-12-31$0
Assets. Value of employer real property at end of year2010-12-31$0
Assets. Value of employer real property at beginning of year2010-12-31$0
Contributions received in cash from employer2010-12-31$0
Employer contributions (assets) at end of year2010-12-31$0
Employer contributions (assets) at beginning of year2010-12-31$0
Income. Dividends from preferred stock2010-12-31$0
Income. Dividends from common stock2010-12-31$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2010-12-31$2,039,060
Asset. Corporate debt instrument preferred debt at end of year2010-12-31$0
Asset. Corporate debt instrument preferred debt at beginning of year2010-12-31$0
Asset. Corporate debt instrument debt (other) at end of year2010-12-31$0
Asset. Corporate debt instrument debt (other) at beginning of year2010-12-31$0
Contract administrator fees2010-12-31$24,080
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-32010-12-31No
Assets. Corporate common stocks other than exployer securities at end of year2010-12-31$0
Assets. Corporate common stocks other than exployer securities at beginning of year2010-12-31$0
Liabilities. Value of benefit claims payable at end of year2010-12-31$0
Liabilities. Value of benefit claims payable at beginning of year2010-12-31$0
Assets. Value of buildings and other operty used in plan operation at end of year2010-12-31$0
Assets. Value of buildings and other operty used in plan operation at beginning of year2010-12-31$0
Did the plan have assets held for investment2010-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2010-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2010-12-31No
Aggregate proceeds on sale of assets2010-12-31$0
Aggregate carrying amount (costs) on sale of assets2010-12-31$0
Liabilities. Value of acquisition indebtedness at end of year2010-12-31$0
Liabilities. Value of acquisition indebtedness at beginning of year2010-12-31$0
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2010-12-31Yes
Opinion of an independent qualified public accountant for this plan2010-12-31Disclaimer
Accountancy firm name2010-12-31BAKER SPINDLER HOLTZ
Accountancy firm EIN2010-12-31382268656
2009 : PROFIT SHARING AND RETIREMENT PLAN OF SMITH HAUGHEY, RICE AND ROEGGE, P.C. 2009 401k financial data
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2009-12-31$0

Form 5500 Responses for PROFIT SHARING AND RETIREMENT PLAN OF SMITH HAUGHEY, RICE AND ROEGGE, P.C.

2022: PROFIT SHARING AND RETIREMENT PLAN OF SMITH HAUGHEY, RICE AND ROEGGE, P.C. 2022 form 5500 responses
2022-01-01Type of plan entitySingle employer plan
2022-01-01Submission has been amendedNo
2022-01-01This submission is the final filingNo
2022-01-01This return/report is a short plan year return/report (less than 12 months)No
2022-01-01Plan is a collectively bargained planNo
2022-01-01Plan funding arrangement – InsuranceYes
2022-01-01Plan funding arrangement – TrustYes
2022-01-01Plan benefit arrangement – InsuranceYes
2022-01-01Plan benefit arrangement - TrustYes
2021: PROFIT SHARING AND RETIREMENT PLAN OF SMITH HAUGHEY, RICE AND ROEGGE, P.C. 2021 form 5500 responses
2021-01-01Type of plan entitySingle employer plan
2021-01-01Submission has been amendedNo
2021-01-01This submission is the final filingNo
2021-01-01This return/report is a short plan year return/report (less than 12 months)No
2021-01-01Plan is a collectively bargained planNo
2021-01-01Plan funding arrangement – InsuranceYes
2021-01-01Plan funding arrangement – TrustYes
2021-01-01Plan benefit arrangement – InsuranceYes
2021-01-01Plan benefit arrangement - TrustYes
2020: PROFIT SHARING AND RETIREMENT PLAN OF SMITH HAUGHEY, RICE AND ROEGGE, P.C. 2020 form 5500 responses
2020-01-01Type of plan entitySingle employer plan
2020-01-01Submission has been amendedNo
2020-01-01This submission is the final filingNo
2020-01-01This return/report is a short plan year return/report (less than 12 months)No
2020-01-01Plan is a collectively bargained planNo
2020-01-01Plan funding arrangement – InsuranceYes
2020-01-01Plan funding arrangement – TrustYes
2020-01-01Plan benefit arrangement – InsuranceYes
2020-01-01Plan benefit arrangement - TrustYes
2019: PROFIT SHARING AND RETIREMENT PLAN OF SMITH HAUGHEY, RICE AND ROEGGE, P.C. 2019 form 5500 responses
2019-01-01Type of plan entitySingle employer plan
2019-01-01Submission has been amendedNo
2019-01-01This submission is the final filingNo
2019-01-01This return/report is a short plan year return/report (less than 12 months)No
2019-01-01Plan is a collectively bargained planNo
2019-01-01Plan funding arrangement – InsuranceYes
2019-01-01Plan funding arrangement – TrustYes
2019-01-01Plan benefit arrangement – InsuranceYes
2019-01-01Plan benefit arrangement - TrustYes
2018: PROFIT SHARING AND RETIREMENT PLAN OF SMITH HAUGHEY, RICE AND ROEGGE, P.C. 2018 form 5500 responses
2018-01-01Type of plan entitySingle employer plan
2018-01-01Submission has been amendedNo
2018-01-01This submission is the final filingNo
2018-01-01This return/report is a short plan year return/report (less than 12 months)No
2018-01-01Plan is a collectively bargained planNo
2018-01-01Plan funding arrangement – InsuranceYes
2018-01-01Plan funding arrangement – TrustYes
2018-01-01Plan benefit arrangement – InsuranceYes
2018-01-01Plan benefit arrangement - TrustYes
2017: PROFIT SHARING AND RETIREMENT PLAN OF SMITH HAUGHEY, RICE AND ROEGGE, P.C. 2017 form 5500 responses
2017-01-01Type of plan entitySingle employer plan
2017-01-01Submission has been amendedNo
2017-01-01This submission is the final filingNo
2017-01-01This return/report is a short plan year return/report (less than 12 months)No
2017-01-01Plan is a collectively bargained planNo
2017-01-01Plan funding arrangement – InsuranceYes
2017-01-01Plan funding arrangement – TrustYes
2017-01-01Plan benefit arrangement – InsuranceYes
2017-01-01Plan benefit arrangement - TrustYes
2016: PROFIT SHARING AND RETIREMENT PLAN OF SMITH HAUGHEY, RICE AND ROEGGE, P.C. 2016 form 5500 responses
2016-01-01Type of plan entitySingle employer plan
2016-01-01Submission has been amendedNo
2016-01-01This submission is the final filingNo
2016-01-01This return/report is a short plan year return/report (less than 12 months)No
2016-01-01Plan is a collectively bargained planNo
2016-01-01Plan funding arrangement – InsuranceYes
2016-01-01Plan funding arrangement – TrustYes
2016-01-01Plan benefit arrangement – InsuranceYes
2016-01-01Plan benefit arrangement - TrustYes
2015: PROFIT SHARING AND RETIREMENT PLAN OF SMITH HAUGHEY, RICE AND ROEGGE, P.C. 2015 form 5500 responses
2015-01-01Type of plan entitySingle employer plan
2015-01-01Submission has been amendedNo
2015-01-01This submission is the final filingNo
2015-01-01This return/report is a short plan year return/report (less than 12 months)No
2015-01-01Plan is a collectively bargained planNo
2015-01-01Plan funding arrangement – InsuranceYes
2015-01-01Plan funding arrangement – TrustYes
2015-01-01Plan benefit arrangement – InsuranceYes
2015-01-01Plan benefit arrangement - TrustYes
2014: PROFIT SHARING AND RETIREMENT PLAN OF SMITH HAUGHEY, RICE AND ROEGGE, P.C. 2014 form 5500 responses
2014-01-01Type of plan entitySingle employer plan
2014-01-01Submission has been amendedNo
2014-01-01This submission is the final filingNo
2014-01-01This return/report is a short plan year return/report (less than 12 months)No
2014-01-01Plan is a collectively bargained planNo
2014-01-01Plan funding arrangement – InsuranceYes
2014-01-01Plan funding arrangement – TrustYes
2014-01-01Plan benefit arrangement – InsuranceYes
2014-01-01Plan benefit arrangement - TrustYes
2013: PROFIT SHARING AND RETIREMENT PLAN OF SMITH HAUGHEY, RICE AND ROEGGE, P.C. 2013 form 5500 responses
2013-01-01Type of plan entitySingle employer plan
2013-01-01Submission has been amendedNo
2013-01-01This submission is the final filingNo
2013-01-01This return/report is a short plan year return/report (less than 12 months)No
2013-01-01Plan is a collectively bargained planNo
2013-01-01Plan funding arrangement – InsuranceYes
2013-01-01Plan funding arrangement – TrustYes
2013-01-01Plan benefit arrangement – InsuranceYes
2013-01-01Plan benefit arrangement - TrustYes
2012: PROFIT SHARING AND RETIREMENT PLAN OF SMITH HAUGHEY, RICE AND ROEGGE, P.C. 2012 form 5500 responses
2012-01-01Type of plan entitySingle employer plan
2012-01-01Submission has been amendedNo
2012-01-01This submission is the final filingNo
2012-01-01This return/report is a short plan year return/report (less than 12 months)No
2012-01-01Plan is a collectively bargained planNo
2012-01-01Plan funding arrangement – InsuranceYes
2012-01-01Plan funding arrangement – TrustYes
2012-01-01Plan benefit arrangement – InsuranceYes
2012-01-01Plan benefit arrangement - TrustYes
2011: PROFIT SHARING AND RETIREMENT PLAN OF SMITH HAUGHEY, RICE AND ROEGGE, P.C. 2011 form 5500 responses
2011-01-01Type of plan entitySingle employer plan
2011-01-01Submission has been amendedNo
2011-01-01This submission is the final filingNo
2011-01-01This return/report is a short plan year return/report (less than 12 months)No
2011-01-01Plan is a collectively bargained planNo
2011-01-01Plan funding arrangement – InsuranceYes
2011-01-01Plan funding arrangement – TrustYes
2011-01-01Plan benefit arrangement – InsuranceYes
2011-01-01Plan benefit arrangement - TrustYes
2010: PROFIT SHARING AND RETIREMENT PLAN OF SMITH HAUGHEY, RICE AND ROEGGE, P.C. 2010 form 5500 responses
2010-01-01Type of plan entitySingle employer plan
2010-01-01Submission has been amendedNo
2010-01-01This submission is the final filingNo
2010-01-01This return/report is a short plan year return/report (less than 12 months)No
2010-01-01Plan is a collectively bargained planNo
2010-01-01Plan funding arrangement – InsuranceYes
2010-01-01Plan funding arrangement – TrustYes
2010-01-01Plan benefit arrangement – InsuranceYes
2010-01-01Plan benefit arrangement - TrustYes
2009: PROFIT SHARING AND RETIREMENT PLAN OF SMITH HAUGHEY, RICE AND ROEGGE, P.C. 2009 form 5500 responses
2009-01-01Type of plan entitySingle employer plan
2009-01-01Submission has been amendedNo
2009-01-01This submission is the final filingNo
2009-01-01This return/report is a short plan year return/report (less than 12 months)No
2009-01-01Plan is a collectively bargained planNo
2009-01-01Plan funding arrangement – InsuranceYes
2009-01-01Plan funding arrangement – TrustYes
2009-01-01Plan benefit arrangement – InsuranceYes
2009-01-01Plan benefit arrangement - TrustYes

Insurance Providers Used on plan

NORTHWESTERN MUTUAL (National Association of Insurance Commissioners NAIC id number: 67091 )
Policy contract number15723
Policy instance 3
Insurance contract or identification number15723
Insurance policy start date2022-01-01
Insurance policy end date2022-12-31
Are there contracts with allocated funds for individual policies?0
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?Yes
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitYes
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
C.M. LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 93432 )
Policy contract number70738060
Policy instance 2
Insurance contract or identification number70738060
Insurance policy start date2022-01-01
Insurance policy end date2022-12-31
Total amount of commissions paid to insurance brokerUSD $0
Total amount of fees paid to insurance companyUSD $0
Are there contracts with allocated funds for individual policies?0
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?Yes
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitYes
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Insurance broker organization code?3
C.M. LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 93432 )
Policy contract number70738060
Policy instance 2
Insurance contract or identification number70738060
Insurance policy start date2021-01-01
Insurance policy end date2021-12-31
Total amount of commissions paid to insurance brokerUSD $0
Total amount of fees paid to insurance companyUSD $0
Are there contracts with allocated funds for individual policies?0
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?Yes
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitYes
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Insurance broker organization code?3
NORTHWESTERN MUTUAL (National Association of Insurance Commissioners NAIC id number: 67091 )
Policy contract number15723
Policy instance 3
Insurance contract or identification number15723
Insurance policy start date2021-01-01
Insurance policy end date2021-12-31
Total amount of commissions paid to insurance brokerUSD $0
Total amount of fees paid to insurance companyUSD $0
Are there contracts with allocated funds for individual policies?0
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?Yes
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitYes
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
C.M. LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 93432 )
Policy contract number70738060
Policy instance 2
Insurance contract or identification number70738060
Insurance policy start date2020-01-01
Insurance policy end date2020-12-31
Total amount of commissions paid to insurance brokerUSD $0
Total amount of fees paid to insurance companyUSD $0
Are there contracts with allocated funds for individual policies?0
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?Yes
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitYes
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Insurance broker organization code?3
NORTHWESTERN MUTUAL (National Association of Insurance Commissioners NAIC id number: 67091 )
Policy contract number15723
Policy instance 3
Insurance contract or identification number15723
Insurance policy start date2020-01-01
Insurance policy end date2020-12-31
Total amount of commissions paid to insurance brokerUSD $0
Total amount of fees paid to insurance companyUSD $45
Are there contracts with allocated funds for individual policies?0
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?Yes
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitYes
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Amount paid for insurance broker fees45
Additional information about fees paid to insurance brokerPERSISTENCY FEES OTHER COMPENSATION
Insurance broker organization code?3
C.M. LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 93432 )
Policy contract number70738060
Policy instance 2
Insurance contract or identification number70738060
Insurance policy start date2019-01-01
Insurance policy end date2019-12-31
Total amount of commissions paid to insurance brokerUSD $0
Total amount of fees paid to insurance companyUSD $0
Are there contracts with allocated funds for individual policies?0
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?Yes
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitYes
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Insurance broker organization code?3
NORTHWESTERN MUTUAL (National Association of Insurance Commissioners NAIC id number: 67091 )
Policy contract number15723
Policy instance 3
Insurance contract or identification number15723
Insurance policy start date2019-01-01
Insurance policy end date2019-12-31
Total amount of commissions paid to insurance brokerUSD $0
Total amount of fees paid to insurance companyUSD $45
Are there contracts with allocated funds for individual policies?0
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?Yes
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitYes
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Amount paid for insurance broker fees45
Additional information about fees paid to insurance brokerPERSISTENCY FEES OTHER COMPENSATION
Insurance broker organization code?3
C.M. LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 93432 )
Policy contract number70738060
Policy instance 2
Insurance contract or identification number70738060
Insurance policy start date2018-01-01
Insurance policy end date2018-12-31
Total amount of commissions paid to insurance brokerUSD $0
Total amount of fees paid to insurance companyUSD $0
Are there contracts with allocated funds for individual policies?0
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?Yes
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitYes
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Insurance broker organization code?3
NORTHWESTERN MUTUAL (National Association of Insurance Commissioners NAIC id number: 67091 )
Policy contract number15723
Policy instance 3
Insurance contract or identification number15723
Insurance policy start date2018-01-01
Insurance policy end date2018-12-31
Total amount of commissions paid to insurance brokerUSD $0
Total amount of fees paid to insurance companyUSD $45
Are there contracts with allocated funds for individual policies?0
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?Yes
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitYes
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Amount paid for insurance broker fees45
Additional information about fees paid to insurance brokerPERSISTENCY FEES OTHER COMPENSATION
Insurance broker organization code?3
MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 65935 )
Policy contract number07427630
Policy instance 2
Insurance contract or identification number07427630
Insurance policy start date2017-01-01
Insurance policy end date2017-12-31
Total amount of commissions paid to insurance brokerUSD $0
Total amount of fees paid to insurance companyUSD $0
Are there contracts with allocated funds for individual policies?0
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?Yes
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitYes
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Insurance broker organization code?3
Insurance broker name
NORTHWESTERN MUTUAL (National Association of Insurance Commissioners NAIC id number: 67091 )
Policy contract number15723
Policy instance 3
Insurance contract or identification number15723
Insurance policy start date2017-01-01
Insurance policy end date2017-12-31
Total amount of commissions paid to insurance brokerUSD $3
Total amount of fees paid to insurance companyUSD $46
Are there contracts with allocated funds for individual policies?0
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?Yes
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitYes
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Commission paid to Insurance BrokerUSD $3
Amount paid for insurance broker fees1
Additional information about fees paid to insurance brokerPERSISTENCY FEES OTHER COMPENSATION
Insurance broker organization code?3
Insurance broker nameWESTERN MI GROUP LLC
JACKSON NATIONAL (National Association of Insurance Commissioners NAIC id number: 65056 )
Policy contract numberUL2662
Policy instance 4
Insurance contract or identification numberUL2662
Number of Individuals Covered0
Insurance policy start date2015-01-01
Insurance policy end date2015-12-31
Are there contracts with allocated funds for individual policies?No
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?Yes
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
NORTHWESTERN MUTUAL (National Association of Insurance Commissioners NAIC id number: 67091 )
Policy contract number15723
Policy instance 3
Insurance contract or identification number15723
Insurance policy start date2015-01-01
Insurance policy end date2015-12-31
Total amount of commissions paid to insurance brokerUSD $3
Total amount of fees paid to insurance companyUSD $71
Are there contracts with allocated funds for individual policies?No
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?Yes
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitYes
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Commission paid to Insurance BrokerUSD $3
Amount paid for insurance broker fees1
Additional information about fees paid to insurance brokerPERSISTENCY FEES OTHER COMPENSATION
Insurance broker organization code?3
Insurance broker nameRYAN JAMES GOLDMAN
C.M. LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 93432 )
Policy contract number70065930
Policy instance 2
Insurance contract or identification number70065930
Number of Individuals Covered4
Insurance policy start date2015-01-01
Insurance policy end date2015-12-31
Are there contracts with allocated funds for individual policies?No
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?Yes
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitYes
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Insurance broker organization code?3
Insurance broker nameMARK KEATING
JACKSON NATIONAL (National Association of Insurance Commissioners NAIC id number: 65056 )
Policy contract numberUL2662
Policy instance 4
Insurance contract or identification numberUL2662
Number of Individuals Covered1
Insurance policy start date2014-01-01
Insurance policy end date2014-12-31
Total amount of commissions paid to insurance brokerUSD $0
Total amount of fees paid to insurance companyUSD $0
Are there contracts with allocated funds for individual policies?No
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?Yes
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
NORTHWESTERN MUTUAL (National Association of Insurance Commissioners NAIC id number: 67091 )
Policy contract number157236
Policy instance 3
Insurance contract or identification number157236
Number of Individuals Covered6
Insurance policy start date2014-01-01
Insurance policy end date2014-12-31
Total amount of commissions paid to insurance brokerUSD $4
Total amount of fees paid to insurance companyUSD $131
Are there contracts with allocated funds for individual policies?No
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?Yes
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitYes
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Amount paid for insurance broker fees45
Additional information about fees paid to insurance brokerPERSISTENCY FEES OTHER COMPENSATION
Insurance broker organization code?3
Commission paid to Insurance BrokerUSD $3
Insurance broker nameWESTERN MI GROUP LLC
C.M. LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 93432 )
Policy contract number70065930
Policy instance 2
Insurance contract or identification number70065930
Number of Individuals Covered4
Insurance policy start date2014-01-01
Insurance policy end date2014-12-31
Total amount of commissions paid to insurance brokerUSD $0
Total amount of fees paid to insurance companyUSD $0
Are there contracts with allocated funds for individual policies?No
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?Yes
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitYes
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Insurance broker organization code?3
Insurance broker nameEMERY MICHAEL JOHN
REASSURE AMERICA LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 70211 )
Policy contract numberUL2662
Policy instance 4
Insurance contract or identification numberUL2662
Number of Individuals Covered1
Insurance policy start date2013-01-01
Insurance policy end date2013-12-31
Total amount of commissions paid to insurance brokerUSD $0
Total amount of fees paid to insurance companyUSD $0
Are there contracts with allocated funds for individual policies?No
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?Yes
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
NORTHWESTERN MUTUAL (National Association of Insurance Commissioners NAIC id number: 67091 )
Policy contract number157236
Policy instance 3
Insurance contract or identification number157236
Number of Individuals Covered6
Insurance policy start date2013-01-01
Insurance policy end date2013-12-31
Total amount of commissions paid to insurance brokerUSD $3
Total amount of fees paid to insurance companyUSD $359
Are there contracts with allocated funds for individual policies?No
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?Yes
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitYes
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Amount paid for insurance broker fees270
Additional information about fees paid to insurance brokerPERSISTENCY FEES OTHER COMPENSATION
Insurance broker organization code?3
Commission paid to Insurance BrokerUSD $3
Insurance broker nameCHUCK SAMFILIPPO
C.M. LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 93432 )
Policy contract number70065930
Policy instance 2
Insurance contract or identification number70065930
Number of Individuals Covered4
Insurance policy start date2013-01-01
Insurance policy end date2013-12-31
Total amount of commissions paid to insurance brokerUSD $0
Total amount of fees paid to insurance companyUSD $0
Are there contracts with allocated funds for individual policies?No
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?Yes
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitYes
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Insurance broker organization code?3
Insurance broker nameEMERY MICHAEL JOHN
MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 65935 )
Policy contract number7427630
Policy instance 2
Insurance contract or identification number7427630
Number of Individuals Covered4
Insurance policy start date2012-01-01
Insurance policy end date2012-12-31
Total amount of commissions paid to insurance brokerUSD $95
Total amount of fees paid to insurance companyUSD $0
Are there contracts with allocated funds for individual policies?No
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?Yes
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitYes
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Commission paid to Insurance BrokerUSD $71
Insurance broker organization code?3
Insurance broker nameWG MCPHERSON
NORTHWESTERN MUTUAL (National Association of Insurance Commissioners NAIC id number: 67091 )
Policy contract number157236
Policy instance 3
Insurance contract or identification number157236
Number of Individuals Covered6
Insurance policy start date2012-01-01
Insurance policy end date2012-12-31
Total amount of commissions paid to insurance brokerUSD $3
Total amount of fees paid to insurance companyUSD $359
Are there contracts with allocated funds for individual policies?No
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?Yes
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitYes
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Amount paid for insurance broker fees270
Additional information about fees paid to insurance brokerPERSISTENCY FEES OTHER COMPENSATION
Insurance broker organization code?3
Commission paid to Insurance BrokerUSD $3
Insurance broker nameCHUCK SAMFILIPPO
REASSURE AMERICA LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 70211 )
Policy contract numberUL2662
Policy instance 4
Insurance contract or identification numberUL2662
Number of Individuals Covered1
Insurance policy start date2012-01-01
Insurance policy end date2012-12-31
Total amount of commissions paid to insurance brokerUSD $0
Total amount of fees paid to insurance companyUSD $0
Are there contracts with allocated funds for individual policies?No
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?Yes
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
VALLEY FORGE LIFE INSURANCE (National Association of Insurance Commissioners NAIC id number: 02112 )
Policy contract numberUL2662
Policy instance 4
Insurance contract or identification numberUL2662
Number of Individuals Covered1
Insurance policy start date2011-01-01
Insurance policy end date2011-12-31
Total amount of commissions paid to insurance brokerUSD $0
Total amount of fees paid to insurance companyUSD $0
Are there contracts with allocated funds for individual policies?No
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?Yes
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitYes
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
NORTHWESTERN MUTUAL (National Association of Insurance Commissioners NAIC id number: 67091 )
Policy contract number15723
Policy instance 3
Insurance contract or identification number15723
Number of Individuals Covered6
Insurance policy start date2011-01-01
Insurance policy end date2011-12-31
Total amount of commissions paid to insurance brokerUSD $248
Total amount of fees paid to insurance companyUSD $0
Are there contracts with allocated funds for individual policies?No
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?Yes
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitYes
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 65935 )
Policy contract number7427630
Policy instance 2
Insurance contract or identification number7427630
Number of Individuals Covered4
Insurance policy start date2011-01-01
Insurance policy end date2011-12-31
Total amount of commissions paid to insurance brokerUSD $89
Total amount of fees paid to insurance companyUSD $0
Are there contracts with allocated funds for individual policies?No
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?Yes
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitYes
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
C.M. LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 93432 )
Policy contract number70065930
Policy instance 1
Insurance contract or identification number70065930
Number of Individuals Covered0
Insurance policy start date2010-01-01
Insurance policy end date2010-12-31
Total amount of commissions paid to insurance brokerUSD $0
Total amount of fees paid to insurance companyUSD $0
Are there contracts with allocated funds for individual policies?No
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?Yes
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitYes
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
NORTHWESTERN MUTUAL (National Association of Insurance Commissioners NAIC id number: 67091 )
Policy contract number15723
Policy instance 2
Insurance contract or identification number15723
Number of Individuals Covered6
Insurance policy start date2010-01-01
Insurance policy end date2010-12-31
Total amount of commissions paid to insurance brokerUSD $251
Total amount of fees paid to insurance companyUSD $0
Are there contracts with allocated funds for individual policies?No
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?Yes
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitYes
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Commission paid to Insurance BrokerUSD $35
Insurance broker organization code?3
Insurance broker nameTIMOTHY M DILLON
VALLEY FORGE LIFE INSURANCE (National Association of Insurance Commissioners NAIC id number: 02112 )
Policy contract numberUL2662
Policy instance 3
Insurance contract or identification numberUL2662
Number of Individuals Covered1
Insurance policy start date2010-01-01
Insurance policy end date2010-12-31
Total amount of commissions paid to insurance brokerUSD $0
Total amount of fees paid to insurance companyUSD $0
Are there contracts with allocated funds for individual policies?No
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?Yes
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitYes
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 65935 )
Policy contract number7427630
Policy instance 5
Insurance contract or identification number7427630
Number of Individuals Covered4
Insurance policy start date2010-01-01
Insurance policy end date2010-12-31
Total amount of commissions paid to insurance brokerUSD $99
Total amount of fees paid to insurance companyUSD $0
Are there contracts with allocated funds for individual policies?No
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?Yes
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitYes
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Commission paid to Insurance BrokerUSD $74
Insurance broker organization code?3
Insurance broker nameW G MCPHERSON

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