401k Plan data: IVIE & ASSOCIATES, INC. 401(K) PROFIT SHARING PLAN plan

IVIE & ASSOCIATES, INC. 401(K) PROFIT SHARING PLAN 401k Plan overview

Plan Name	IVIE & ASSOCIATES, INC. 401(K) PROFIT SHARING PLAN
Plan identification number	001

IVIE & ASSOCIATES, INC. 401(K) PROFIT SHARING PLAN Benefits

401k Plan Type

Defined Contribution Pension

Plan Features/Benefits

Age/Service Weighted or new comparability or similar plan - Age/Service Weighted Plan: Allocations are based on age, service, or age and service. New comparability or similar plan: Allocations are based on participant classifications and a classification(s) consists entirely or predominantly of highly compensated employees; or the plan provides an additional allocation rate on compensation above a specified threshold, and the theshold or additional rate exceeds the maximum threshold or rate allowed under the permitted disparity rules of section 401(l).
Profit-sharing
ERISA section 404(c) Plan - This plan, or any part of it is intended to meet the conditions of 29 CFR 2550.404c-1.
Total participant-directed account plan - Participants have the opportunity to direct the investment of all the assets allocated to their individual accounts, regardless of whether 29 CFR 2550.404c-1 is intended to be met.
Code section 401(k) feature - A cash or deferred arrangement described in Code section 401(k) that is part of a qualified defined contribution plan that provides for an election by employees to defer part of their compensation or receive these amounts in cash.
Code section 401(m) arrangement - Employee contributions are allocated to separate accounts under the plan or employer contributions are based, in whole or in part, on employee deferrals or contribtions to the plan. Not applicable if plan is 401(k) plan with only QNECs and/or QMACs. Also not applicable if Code section 403(b)(1), 403(b)(7) or 408 arrangements/accounts/annuities.
Total or partial participant-directed account plan - plan uses default investment account for participants who fail to direct assets in their account.
Master plan - A pension plan that is made available by a sponsor for adoption by employers; that is the subject of a favorable opinion letter; and for which a single funding medium (for example, a trust or custodial account) is established for the joint use of all adopting employers.
Plan sponsor(s) is (are) a member(s) of a controlled group (Code sections 414(b), (c), or (m)).

401k Sponsoring company profile

IVIE & ASSOCIATES, INC. has sponsored the creation of one or more 401k plans.

Company Name: IVIE & ASSOCIATES, INC.

Employer identification number (EIN): 421412863

NAIC Classification: 541800

Additional information about IVIE & ASSOCIATES, INC.

Jurisdiction of Incorporation: Iowa Secretary of State Business Entities

Incorporation Date: 1993-12-08

Company Identification Number: 171274

Legal Registered Office Address: 505 5TH AVENUE
SUITE 729
DES MOINES
United States of America (USA)
50309

More information about IVIE & ASSOCIATES, INC.

Form 5500 Filing Information

Submission information for form 5500 for 401k plan IVIE & ASSOCIATES, INC. 401(K) PROFIT SHARING PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2018-01-01
001 2017-01-01 KAY IVIE
001 2016-01-01 KAY IVIE
001 2015-01-01 KAY IVIE
001 2014-01-01 KAY IVIE
001 2013-01-01 KAY IVIE
001 2012-01-01 KAY IVIE KAY IVIE 2013-07-17
001 2011-01-01 KAY IVIE
001 2009-01-01 KAY IVIE

Plan id#	Filing Submission Date	Name of Administrator	Name of Company Sponsor	Date Sponsor Signed
001	2018-01-01
001	2017-01-01	KAY IVIE
001	2016-01-01	KAY IVIE
001	2015-01-01	KAY IVIE
001	2014-01-01	KAY IVIE
001	2013-01-01	KAY IVIE
001	2012-01-01	KAY IVIE	KAY IVIE	2013-07-17
001	2011-01-01	KAY IVIE
001	2009-01-01	KAY IVIE

Plan Statistics for IVIE & ASSOCIATES, INC. 401(K) PROFIT SHARING PLAN

401k plan membership statisitcs for IVIE & ASSOCIATES, INC. 401(K) PROFIT SHARING PLAN

Measure Date Value
2018: IVIE & ASSOCIATES, INC. 401(K) PROFIT SHARING PLAN 2018 401k membership
Total participants, beginning-of-year 2018-01-01 716
Total number of active participants reported on line 7a of the Form 5500 2018-01-01 0
Number of retired or separated participants receiving benefits 2018-01-01 0
Number of other retired or separated participants entitled to future benefits 2018-01-01 0
Total of all active and inactive participants 2018-01-01 0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2018-01-01 0
Total participants 2018-01-01 0
Number of participants with account balances 2018-01-01 0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2018-01-01 44
2017: IVIE & ASSOCIATES, INC. 401(K) PROFIT SHARING PLAN 2017 401k membership
Total participants, beginning-of-year 2017-01-01 751
Total number of active participants reported on line 7a of the Form 5500 2017-01-01 570
Number of retired or separated participants receiving benefits 2017-01-01 1
Number of other retired or separated participants entitled to future benefits 2017-01-01 145
Total of all active and inactive participants 2017-01-01 716
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2017-01-01 0
Total participants 2017-01-01 716
Number of participants with account balances 2017-01-01 512
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2017-01-01 117
2016: IVIE & ASSOCIATES, INC. 401(K) PROFIT SHARING PLAN 2016 401k membership
Total participants, beginning-of-year 2016-01-01 723
Total number of active participants reported on line 7a of the Form 5500 2016-01-01 597
Number of other retired or separated participants entitled to future benefits 2016-01-01 122
Total of all active and inactive participants 2016-01-01 719
Total participants 2016-01-01 719
Number of participants with account balances 2016-01-01 520
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2016-01-01 35
2015: IVIE & ASSOCIATES, INC. 401(K) PROFIT SHARING PLAN 2015 401k membership
Total participants, beginning-of-year 2015-01-01 568
Total number of active participants reported on line 7a of the Form 5500 2015-01-01 517
Number of retired or separated participants receiving benefits 2015-01-01 0
Number of other retired or separated participants entitled to future benefits 2015-01-01 188
Total of all active and inactive participants 2015-01-01 705
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2015-01-01 0
Total participants 2015-01-01 705
Number of participants with account balances 2015-01-01 516
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2015-01-01 43
2014: IVIE & ASSOCIATES, INC. 401(K) PROFIT SHARING PLAN 2014 401k membership
Total participants, beginning-of-year 2014-01-01 566
Total number of active participants reported on line 7a of the Form 5500 2014-01-01 385
Number of retired or separated participants receiving benefits 2014-01-01 0
Number of other retired or separated participants entitled to future benefits 2014-01-01 155
Total of all active and inactive participants 2014-01-01 540
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2014-01-01 0
Total participants 2014-01-01 540
Number of participants with account balances 2014-01-01 429
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2014-01-01 36
2013: IVIE & ASSOCIATES, INC. 401(K) PROFIT SHARING PLAN 2013 401k membership
Total participants, beginning-of-year 2013-01-01 457
Total number of active participants reported on line 7a of the Form 5500 2013-01-01 323
Number of retired or separated participants receiving benefits 2013-01-01 2
Number of other retired or separated participants entitled to future benefits 2013-01-01 159
Total of all active and inactive participants 2013-01-01 484
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2013-01-01 0
Total participants 2013-01-01 484
Number of participants with account balances 2013-01-01 376
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2013-01-01 56
2012: IVIE & ASSOCIATES, INC. 401(K) PROFIT SHARING PLAN 2012 401k membership
Total participants, beginning-of-year 2012-01-01 392
Total number of active participants reported on line 7a of the Form 5500 2012-01-01 300
Number of retired or separated participants receiving benefits 2012-01-01 2
Number of other retired or separated participants entitled to future benefits 2012-01-01 119
Total of all active and inactive participants 2012-01-01 421
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2012-01-01 1
Total participants 2012-01-01 422
Number of participants with account balances 2012-01-01 339
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2012-01-01 63
2011: IVIE & ASSOCIATES, INC. 401(K) PROFIT SHARING PLAN 2011 401k membership
Total participants, beginning-of-year 2011-01-01 306
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 269
Number of retired or separated participants receiving benefits 2011-01-01 0
Number of other retired or separated participants entitled to future benefits 2011-01-01 84
Total of all active and inactive participants 2011-01-01 353
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-01-01 0
Total participants 2011-01-01 353
Number of participants with account balances 2011-01-01 289
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-01-01 31
2009: IVIE & ASSOCIATES, INC. 401(K) PROFIT SHARING PLAN 2009 401k membership
Total participants, beginning-of-year 2009-01-01 252
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 204
Number of retired or separated participants receiving benefits 2009-01-01 0
Number of other retired or separated participants entitled to future benefits 2009-01-01 60
Total of all active and inactive participants 2009-01-01 264
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-01-01 0
Total participants 2009-01-01 264
Number of participants with account balances 2009-01-01 192
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-01-01 17

Measure	Date	Value
2018: IVIE & ASSOCIATES, INC. 401(K) PROFIT SHARING PLAN 2018 401k membership
Total participants, beginning-of-year	2018-01-01	716
Total number of active participants reported on line 7a of the Form 5500	2018-01-01	0
Number of retired or separated participants receiving benefits	2018-01-01	0
Number of other retired or separated participants entitled to future benefits	2018-01-01	0
Total of all active and inactive participants	2018-01-01	0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2018-01-01	0
Total participants	2018-01-01	0
Number of participants with account balances	2018-01-01	0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2018-01-01	44
2017: IVIE & ASSOCIATES, INC. 401(K) PROFIT SHARING PLAN 2017 401k membership
Total participants, beginning-of-year	2017-01-01	751
Total number of active participants reported on line 7a of the Form 5500	2017-01-01	570
Number of retired or separated participants receiving benefits	2017-01-01	1
Number of other retired or separated participants entitled to future benefits	2017-01-01	145
Total of all active and inactive participants	2017-01-01	716
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2017-01-01	0
Total participants	2017-01-01	716
Number of participants with account balances	2017-01-01	512
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2017-01-01	117
2016: IVIE & ASSOCIATES, INC. 401(K) PROFIT SHARING PLAN 2016 401k membership
Total participants, beginning-of-year	2016-01-01	723
Total number of active participants reported on line 7a of the Form 5500	2016-01-01	597
Number of other retired or separated participants entitled to future benefits	2016-01-01	122
Total of all active and inactive participants	2016-01-01	719
Total participants	2016-01-01	719
Number of participants with account balances	2016-01-01	520
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2016-01-01	35
2015: IVIE & ASSOCIATES, INC. 401(K) PROFIT SHARING PLAN 2015 401k membership
Total participants, beginning-of-year	2015-01-01	568
Total number of active participants reported on line 7a of the Form 5500	2015-01-01	517
Number of retired or separated participants receiving benefits	2015-01-01	0
Number of other retired or separated participants entitled to future benefits	2015-01-01	188
Total of all active and inactive participants	2015-01-01	705
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2015-01-01	0
Total participants	2015-01-01	705
Number of participants with account balances	2015-01-01	516
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2015-01-01	43
2014: IVIE & ASSOCIATES, INC. 401(K) PROFIT SHARING PLAN 2014 401k membership
Total participants, beginning-of-year	2014-01-01	566
Total number of active participants reported on line 7a of the Form 5500	2014-01-01	385
Number of retired or separated participants receiving benefits	2014-01-01	0
Number of other retired or separated participants entitled to future benefits	2014-01-01	155
Total of all active and inactive participants	2014-01-01	540
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2014-01-01	0
Total participants	2014-01-01	540
Number of participants with account balances	2014-01-01	429
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2014-01-01	36
2013: IVIE & ASSOCIATES, INC. 401(K) PROFIT SHARING PLAN 2013 401k membership
Total participants, beginning-of-year	2013-01-01	457
Total number of active participants reported on line 7a of the Form 5500	2013-01-01	323
Number of retired or separated participants receiving benefits	2013-01-01	2
Number of other retired or separated participants entitled to future benefits	2013-01-01	159
Total of all active and inactive participants	2013-01-01	484
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2013-01-01	0
Total participants	2013-01-01	484
Number of participants with account balances	2013-01-01	376
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2013-01-01	56
2012: IVIE & ASSOCIATES, INC. 401(K) PROFIT SHARING PLAN 2012 401k membership
Total participants, beginning-of-year	2012-01-01	392
Total number of active participants reported on line 7a of the Form 5500	2012-01-01	300
Number of retired or separated participants receiving benefits	2012-01-01	2
Number of other retired or separated participants entitled to future benefits	2012-01-01	119
Total of all active and inactive participants	2012-01-01	421
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2012-01-01	1
Total participants	2012-01-01	422
Number of participants with account balances	2012-01-01	339
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2012-01-01	63
2011: IVIE & ASSOCIATES, INC. 401(K) PROFIT SHARING PLAN 2011 401k membership
Total participants, beginning-of-year	2011-01-01	306
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	269
Number of retired or separated participants receiving benefits	2011-01-01	0
Number of other retired or separated participants entitled to future benefits	2011-01-01	84
Total of all active and inactive participants	2011-01-01	353
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-01-01	0
Total participants	2011-01-01	353
Number of participants with account balances	2011-01-01	289
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-01-01	31
2009: IVIE & ASSOCIATES, INC. 401(K) PROFIT SHARING PLAN 2009 401k membership
Total participants, beginning-of-year	2009-01-01	252
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	204
Number of retired or separated participants receiving benefits	2009-01-01	0
Number of other retired or separated participants entitled to future benefits	2009-01-01	60
Total of all active and inactive participants	2009-01-01	264
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-01-01	0
Total participants	2009-01-01	264
Number of participants with account balances	2009-01-01	192
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-01-01	17

Financial Data on IVIE & ASSOCIATES, INC. 401(K) PROFIT SHARING PLAN

Measure	Date	Value
2018 : IVIE & ASSOCIATES, INC. 401(K) PROFIT SHARING PLAN 2018 401k financial data
Total transfer of assets from this plan	2018-12-31	$19,950,294
Total income from all sources (including contributions)	2018-12-31	$1,164,321
Total of all expenses incurred	2018-12-31	$3,879,268
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2018-12-31	$3,787,704
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2018-12-31	$2,395,663
Value of total assets at end of year	2018-12-31	$0
Value of total assets at beginning of year	2018-12-31	$22,665,241
Total of administrative expenses incurred including professional, contract, advisory and management fees	2018-12-31	$91,564
Total interest from all sources	2018-12-31	$15,474
Total dividends received (eg from common stock, registered investment company shares)	2018-12-31	$473,147
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2018-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2018-12-31	$473,147
Was this plan covered by a fidelity bond	2018-12-31	Yes
Value of fidelity bond cover	2018-12-31	$1,000,000
If this is an individual account plan, was there a blackout period	2018-12-31	Yes
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2018-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2018-12-31	No
Contributions received from participants	2018-12-31	$1,782,262
Participant contributions at end of year	2018-12-31	$0
Participant contributions at beginning of year	2018-12-31	$193,038
Income. Received or receivable in cash from other sources (including rollovers)	2018-12-31	$136,363
Administrative expenses (other) incurred	2018-12-31	$91,564
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2018-12-31	No
Value of net income/loss	2018-12-31	$-2,714,947
Value of net assets at end of year (total assets less liabilities)	2018-12-31	$0
Value of net assets at beginning of year (total assets less liabilities)	2018-12-31	$22,665,241
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2018-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2018-12-31	No
Were any leases to which the plan was party in default or uncollectible	2018-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2018-12-31	$0
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2018-12-31	$21,876,346
Interest on participant loans	2018-12-31	$8,807
Interest earned on other investments	2018-12-31	$6,667
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2018-12-31	$0
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2018-12-31	$595,857
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2018-12-31	$-1,719,963
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2018-12-31	No
Was there a failure to transmit to the plan any participant contributions	2018-12-31	No
Has the plan failed to provide any benefit when due under the plan	2018-12-31	No
Contributions received in cash from employer	2018-12-31	$477,038
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2018-12-31	$3,787,704
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-3	2018-12-31	Yes
Did the plan have assets held for investment	2018-12-31	No
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2018-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2018-12-31	Yes
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2018-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2018-12-31	Disclaimer
Accountancy firm name	2018-12-31	WHITLEY PENN LLP
Accountancy firm EIN	2018-12-31	752393478
2017 : IVIE & ASSOCIATES, INC. 401(K) PROFIT SHARING PLAN 2017 401k financial data
Total income from all sources (including contributions)	2017-12-31	$6,754,003
Total of all expenses incurred	2017-12-31	$1,708,199
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2017-12-31	$1,632,999
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2017-12-31	$3,499,026
Value of total assets at end of year	2017-12-31	$22,665,241
Value of total assets at beginning of year	2017-12-31	$17,619,437
Total of administrative expenses incurred including professional, contract, advisory and management fees	2017-12-31	$75,200
Total interest from all sources	2017-12-31	$17,591
Total dividends received (eg from common stock, registered investment company shares)	2017-12-31	$387,313
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2017-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2017-12-31	$387,313
Was this plan covered by a fidelity bond	2017-12-31	Yes
Value of fidelity bond cover	2017-12-31	$1,000,000
If this is an individual account plan, was there a blackout period	2017-12-31	Yes
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2017-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2017-12-31	No
Contributions received from participants	2017-12-31	$1,871,771
Participant contributions at end of year	2017-12-31	$193,038
Participant contributions at beginning of year	2017-12-31	$252,282
Income. Received or receivable in cash from other sources (including rollovers)	2017-12-31	$1,047,123
Administrative expenses (other) incurred	2017-12-31	$75,200
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2017-12-31	No
Value of net income/loss	2017-12-31	$5,045,804
Value of net assets at end of year (total assets less liabilities)	2017-12-31	$22,665,241
Value of net assets at beginning of year (total assets less liabilities)	2017-12-31	$17,619,437
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2017-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2017-12-31	No
Were any leases to which the plan was party in default or uncollectible	2017-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2017-12-31	$21,876,346
Value of interest in pooled separate accounts at beginning of year	2017-12-31	$16,436,439
Interest on participant loans	2017-12-31	$9,324
Interest earned on other investments	2017-12-31	$8,267
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2017-12-31	$595,857
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2017-12-31	$930,716
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2017-12-31	$2,623,077
Net investment gain/loss from pooled separate accounts	2017-12-31	$226,996
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2017-12-31	No
Was there a failure to transmit to the plan any participant contributions	2017-12-31	No
Has the plan failed to provide any benefit when due under the plan	2017-12-31	No
Contributions received in cash from employer	2017-12-31	$580,132
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2017-12-31	$1,632,999
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-3	2017-12-31	Yes
Did the plan have assets held for investment	2017-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2017-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2017-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2017-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2017-12-31	Disclaimer
Accountancy firm name	2017-12-31	WHITLEY PENN LLP
Accountancy firm EIN	2017-12-31	752393478
2016 : IVIE & ASSOCIATES, INC. 401(K) PROFIT SHARING PLAN 2016 401k financial data
Total income from all sources (including contributions)	2016-12-31	$3,920,215
Total of all expenses incurred	2016-12-31	$782,395
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2016-12-31	$745,391
Value of total corrective distributions	2016-12-31	$30,174
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2016-12-31	$2,792,861
Value of total assets at end of year	2016-12-31	$17,619,437
Value of total assets at beginning of year	2016-12-31	$14,481,617
Total of administrative expenses incurred including professional, contract, advisory and management fees	2016-12-31	$6,830
Total interest from all sources	2016-12-31	$9,831
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2016-12-31	No
Was this plan covered by a fidelity bond	2016-12-31	Yes
Value of fidelity bond cover	2016-12-31	$1,000,000
If this is an individual account plan, was there a blackout period	2016-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2016-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2016-12-31	No
Contributions received from participants	2016-12-31	$1,749,346
Participant contributions at end of year	2016-12-31	$252,282
Participant contributions at beginning of year	2016-12-31	$226,225
Income. Received or receivable in cash from other sources (including rollovers)	2016-12-31	$508,262
Other income not declared elsewhere	2016-12-31	$12,060
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2016-12-31	No
Value of net income/loss	2016-12-31	$3,137,820
Value of net assets at end of year (total assets less liabilities)	2016-12-31	$17,619,437
Value of net assets at beginning of year (total assets less liabilities)	2016-12-31	$14,481,617
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2016-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2016-12-31	No
Were any leases to which the plan was party in default or uncollectible	2016-12-31	No
Value of interest in pooled separate accounts at end of year	2016-12-31	$16,436,439
Value of interest in pooled separate accounts at beginning of year	2016-12-31	$13,321,519
Interest on participant loans	2016-12-31	$9,831
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2016-12-31	$930,716
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2016-12-31	$933,873
Net investment gain/loss from pooled separate accounts	2016-12-31	$1,105,463
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2016-12-31	No
Was there a failure to transmit to the plan any participant contributions	2016-12-31	No
Has the plan failed to provide any benefit when due under the plan	2016-12-31	No
Contributions received in cash from employer	2016-12-31	$535,253
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2016-12-31	$745,391
Contract administrator fees	2016-12-31	$6,830
Did the plan have assets held for investment	2016-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2016-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2016-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2016-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2016-12-31	Disclaimer
Accountancy firm name	2016-12-31	WHITLEY PENN LLP
Accountancy firm EIN	2016-12-31	752393478
2015 : IVIE & ASSOCIATES, INC. 401(K) PROFIT SHARING PLAN 2015 401k financial data
Total income from all sources (including contributions)	2015-12-31	$2,584,123
Total of all expenses incurred	2015-12-31	$938,106
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2015-12-31	$930,948
Value of total corrective distributions	2015-12-31	$2,248
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2015-12-31	$2,667,376
Value of total assets at end of year	2015-12-31	$14,481,617
Value of total assets at beginning of year	2015-12-31	$12,835,600
Total of administrative expenses incurred including professional, contract, advisory and management fees	2015-12-31	$4,910
Total interest from all sources	2015-12-31	$8,528
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2015-12-31	No
Was this plan covered by a fidelity bond	2015-12-31	Yes
Value of fidelity bond cover	2015-12-31	$1,000,000
If this is an individual account plan, was there a blackout period	2015-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2015-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2015-12-31	No
Contributions received from participants	2015-12-31	$1,505,883
Participant contributions at end of year	2015-12-31	$226,225
Participant contributions at beginning of year	2015-12-31	$132,898
Income. Received or receivable in cash from other sources (including rollovers)	2015-12-31	$650,883
Other income not declared elsewhere	2015-12-31	$11,475
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2015-12-31	No
Value of net income/loss	2015-12-31	$1,646,017
Value of net assets at end of year (total assets less liabilities)	2015-12-31	$14,481,617
Value of net assets at beginning of year (total assets less liabilities)	2015-12-31	$12,835,600
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2015-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2015-12-31	No
Were any leases to which the plan was party in default or uncollectible	2015-12-31	No
Value of interest in pooled separate accounts at end of year	2015-12-31	$13,321,519
Value of interest in pooled separate accounts at beginning of year	2015-12-31	$12,025,808
Interest on participant loans	2015-12-31	$8,528
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2015-12-31	$933,873
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2015-12-31	$676,894
Net investment gain/loss from pooled separate accounts	2015-12-31	$-103,256
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2015-12-31	No
Was there a failure to transmit to the plan any participant contributions	2015-12-31	No
Has the plan failed to provide any benefit when due under the plan	2015-12-31	No
Contributions received in cash from employer	2015-12-31	$510,610
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2015-12-31	$930,948
Contract administrator fees	2015-12-31	$4,910
Did the plan have assets held for investment	2015-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2015-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2015-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2015-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2015-12-31	Disclaimer
Accountancy firm name	2015-12-31	WHITLEY PENN LLP
Accountancy firm EIN	2015-12-31	752393478
2014 : IVIE & ASSOCIATES, INC. 401(K) PROFIT SHARING PLAN 2014 401k financial data
Total income from all sources (including contributions)	2014-12-31	$3,259,136
Total of all expenses incurred	2014-12-31	$1,027,479
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2014-12-31	$967,209
Value of total corrective distributions	2014-12-31	$52,020
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2014-12-31	$2,449,344
Value of total assets at end of year	2014-12-31	$12,835,600
Value of total assets at beginning of year	2014-12-31	$10,603,943
Total of administrative expenses incurred including professional, contract, advisory and management fees	2014-12-31	$8,250
Total interest from all sources	2014-12-31	$13,823
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2014-12-31	No
Was this plan covered by a fidelity bond	2014-12-31	Yes
Value of fidelity bond cover	2014-12-31	$1,000,000
If this is an individual account plan, was there a blackout period	2014-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2014-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2014-12-31	No
Contributions received from participants	2014-12-31	$1,258,443
Participant contributions at end of year	2014-12-31	$132,898
Participant contributions at beginning of year	2014-12-31	$119,571
Income. Received or receivable in cash from other sources (including rollovers)	2014-12-31	$707,750
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2014-12-31	No
Value of net income/loss	2014-12-31	$2,231,657
Value of net assets at end of year (total assets less liabilities)	2014-12-31	$12,835,600
Value of net assets at beginning of year (total assets less liabilities)	2014-12-31	$10,603,943
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2014-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2014-12-31	No
Were any leases to which the plan was party in default or uncollectible	2014-12-31	No
Value of interest in pooled separate accounts at end of year	2014-12-31	$12,025,808
Value of interest in pooled separate accounts at beginning of year	2014-12-31	$9,862,260
Interest on participant loans	2014-12-31	$5,195
Interest earned on other investments	2014-12-31	$8,628
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2014-12-31	$676,894
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2014-12-31	$622,112
Net investment gain/loss from pooled separate accounts	2014-12-31	$795,969
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2014-12-31	No
Was there a failure to transmit to the plan any participant contributions	2014-12-31	No
Has the plan failed to provide any benefit when due under the plan	2014-12-31	No
Contributions received in cash from employer	2014-12-31	$483,151
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2014-12-31	$967,209
Contract administrator fees	2014-12-31	$8,250
Did the plan have assets held for investment	2014-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2014-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2014-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2014-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2014-12-31	Disclaimer
Accountancy firm name	2014-12-31	WHITLEY PENN LLP
Accountancy firm EIN	2014-12-31	752393478
2013 : IVIE & ASSOCIATES, INC. 401(K) PROFIT SHARING PLAN 2013 401k financial data
Total income from all sources (including contributions)	2013-12-31	$3,156,169
Total of all expenses incurred	2013-12-31	$585,066
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2013-12-31	$538,372
Value of total corrective distributions	2013-12-31	$35,357
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2013-12-31	$1,384,729
Value of total assets at end of year	2013-12-31	$10,603,943
Value of total assets at beginning of year	2013-12-31	$8,032,840
Total of administrative expenses incurred including professional, contract, advisory and management fees	2013-12-31	$11,337
Total interest from all sources	2013-12-31	$14,607
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2013-12-31	No
Was this plan covered by a fidelity bond	2013-12-31	Yes
Value of fidelity bond cover	2013-12-31	$1,000,000
If this is an individual account plan, was there a blackout period	2013-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2013-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2013-12-31	No
Contributions received from participants	2013-12-31	$982,202
Participant contributions at end of year	2013-12-31	$119,571
Participant contributions at beginning of year	2013-12-31	$124,539
Income. Received or receivable in cash from other sources (including rollovers)	2013-12-31	$66,440
Other income not declared elsewhere	2013-12-31	$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2013-12-31	No
Value of net income/loss	2013-12-31	$2,571,103
Value of net assets at end of year (total assets less liabilities)	2013-12-31	$10,603,943
Value of net assets at beginning of year (total assets less liabilities)	2013-12-31	$8,032,840
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2013-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2013-12-31	No
Were any leases to which the plan was party in default or uncollectible	2013-12-31	No
Value of interest in pooled separate accounts at end of year	2013-12-31	$9,862,260
Value of interest in pooled separate accounts at beginning of year	2013-12-31	$6,964,079
Interest on participant loans	2013-12-31	$4,871
Interest earned on other investments	2013-12-31	$9,736
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2013-12-31	$622,112
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2013-12-31	$944,222
Net investment gain/loss from pooled separate accounts	2013-12-31	$1,756,833
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2013-12-31	No
Was there a failure to transmit to the plan any participant contributions	2013-12-31	No
Has the plan failed to provide any benefit when due under the plan	2013-12-31	No
Contributions received in cash from employer	2013-12-31	$336,087
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2013-12-31	$538,372
Contract administrator fees	2013-12-31	$11,337
Did the plan have assets held for investment	2013-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2013-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2013-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2013-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2013-12-31	Disclaimer
Accountancy firm name	2013-12-31	WHITLEY PENN LLP
Accountancy firm EIN	2013-12-31	752393478
2012 : IVIE & ASSOCIATES, INC. 401(K) PROFIT SHARING PLAN 2012 401k financial data
Total unrealized appreciation/depreciation of assets	2012-12-31	$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	$2,072,363
Total loss/gain on sale of assets	2012-12-31	$0
Total of all expenses incurred	2012-12-31	$469,470
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2012-12-31	$451,470
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2012-12-31	$1,280,830
Value of total assets at end of year	2012-12-31	$8,032,840
Value of total assets at beginning of year	2012-12-31	$6,429,947
Total of administrative expenses incurred including professional, contract, advisory and management fees	2012-12-31	$18,000
Total interest from all sources	2012-12-31	$20,952
Total dividends received (eg from common stock, registered investment company shares)	2012-12-31	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2012-12-31	No
Was this plan covered by a fidelity bond	2012-12-31	Yes
Value of fidelity bond cover	2012-12-31	$1,000,000
If this is an individual account plan, was there a blackout period	2012-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2012-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2012-12-31	No
Contributions received from participants	2012-12-31	$943,242
Participant contributions at end of year	2012-12-31	$124,539
Participant contributions at beginning of year	2012-12-31	$81,352
Income. Received or receivable in cash from other sources (including rollovers)	2012-12-31	$2,636
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2012-12-31	No
Value of net income/loss	2012-12-31	$1,602,893
Value of net assets at end of year (total assets less liabilities)	2012-12-31	$8,032,840
Value of net assets at beginning of year (total assets less liabilities)	2012-12-31	$6,429,947
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2012-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2012-12-31	No
Were any leases to which the plan was party in default or uncollectible	2012-12-31	No
Value of interest in pooled separate accounts at end of year	2012-12-31	$6,964,079
Value of interest in pooled separate accounts at beginning of year	2012-12-31	$5,347,690
Interest on participant loans	2012-12-31	$3,459
Interest earned on other investments	2012-12-31	$17,493
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2012-12-31	$944,222
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2012-12-31	$1,000,905
Net investment gain/loss from pooled separate accounts	2012-12-31	$770,581
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2012-12-31	No
Was there a failure to transmit to the plan any participant contributions	2012-12-31	No
Has the plan failed to provide any benefit when due under the plan	2012-12-31	No
Contributions received in cash from employer	2012-12-31	$334,952
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2012-12-31	$451,470
Contract administrator fees	2012-12-31	$18,000
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-3	2012-12-31	No
Did the plan have assets held for investment	2012-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2012-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2012-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2012-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2012-12-31	Disclaimer
Accountancy firm name	2012-12-31	WHITLEY PENN LLP
Accountancy firm EIN	2012-12-31	752393478
2011 : IVIE & ASSOCIATES, INC. 401(K) PROFIT SHARING PLAN 2011 401k financial data
Total unrealized appreciation/depreciation of assets	2011-12-31	$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
Total income from all sources (including contributions)	2011-12-31	$1,054,118
Total loss/gain on sale of assets	2011-12-31	$0
Total of all expenses incurred	2011-12-31	$185,442
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2011-12-31	$167,557
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2011-12-31	$1,159,820
Value of total assets at end of year	2011-12-31	$6,429,947
Value of total assets at beginning of year	2011-12-31	$5,561,271
Total of administrative expenses incurred including professional, contract, advisory and management fees	2011-12-31	$17,885
Total interest from all sources	2011-12-31	$24,293
Total dividends received (eg from common stock, registered investment company shares)	2011-12-31	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2011-12-31	No
Was this plan covered by a fidelity bond	2011-12-31	Yes
Value of fidelity bond cover	2011-12-31	$1,000,000
If this is an individual account plan, was there a blackout period	2011-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2011-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2011-12-31	No
Contributions received from participants	2011-12-31	$837,579
Participant contributions at end of year	2011-12-31	$81,352
Participant contributions at beginning of year	2011-12-31	$66,573
Income. Received or receivable in cash from other sources (including rollovers)	2011-12-31	$22,745
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2011-12-31	No
Value of net income/loss	2011-12-31	$868,676
Value of net assets at end of year (total assets less liabilities)	2011-12-31	$6,429,947
Value of net assets at beginning of year (total assets less liabilities)	2011-12-31	$5,561,271
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2011-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2011-12-31	No
Were any leases to which the plan was party in default or uncollectible	2011-12-31	No
Value of interest in pooled separate accounts at end of year	2011-12-31	$5,347,690
Value of interest in pooled separate accounts at beginning of year	2011-12-31	$4,682,187
Interest on participant loans	2011-12-31	$3,001
Interest earned on other investments	2011-12-31	$21,292
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2011-12-31	$1,000,905
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2011-12-31	$812,511
Net investment gain/loss from pooled separate accounts	2011-12-31	$-129,995
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2011-12-31	No
Was there a failure to transmit to the plan any participant contributions	2011-12-31	No
Has the plan failed to provide any benefit when due under the plan	2011-12-31	No
Contributions received in cash from employer	2011-12-31	$299,496
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2011-12-31	$167,557
Contract administrator fees	2011-12-31	$17,885
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-3	2011-12-31	No
Did the plan have assets held for investment	2011-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2011-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2011-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2011-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2011-12-31	Disclaimer
Accountancy firm name	2011-12-31	WHITLEY PENN LLP
Accountancy firm EIN	2011-12-31	752393478
2010 : IVIE & ASSOCIATES, INC. 401(K) PROFIT SHARING PLAN 2010 401k financial data
Total unrealized appreciation/depreciation of assets	2010-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2010-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2010-12-31	$0
Total income from all sources (including contributions)	2010-12-31	$1,556,865
Total loss/gain on sale of assets	2010-12-31	$0
Total of all expenses incurred	2010-12-31	$148,554
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2010-12-31	$133,747
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2010-12-31	$980,460
Value of total assets at end of year	2010-12-31	$5,561,271
Value of total assets at beginning of year	2010-12-31	$4,152,960
Total of administrative expenses incurred including professional, contract, advisory and management fees	2010-12-31	$14,807
Total interest from all sources	2010-12-31	$2,652
Total dividends received (eg from common stock, registered investment company shares)	2010-12-31	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2010-12-31	No
Was this plan covered by a fidelity bond	2010-12-31	Yes
Value of fidelity bond cover	2010-12-31	$1,000,000
If this is an individual account plan, was there a blackout period	2010-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2010-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2010-12-31	No
Contributions received from participants	2010-12-31	$672,974
Participant contributions at end of year	2010-12-31	$66,573
Participant contributions at beginning of year	2010-12-31	$44,179
Income. Received or receivable in cash from other sources (including rollovers)	2010-12-31	$64,890
Other income not declared elsewhere	2010-12-31	$19,866
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2010-12-31	No
Value of net income/loss	2010-12-31	$1,408,311
Value of net assets at end of year (total assets less liabilities)	2010-12-31	$5,561,271
Value of net assets at beginning of year (total assets less liabilities)	2010-12-31	$4,152,960
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2010-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2010-12-31	No
Were any leases to which the plan was party in default or uncollectible	2010-12-31	No
Value of interest in pooled separate accounts at end of year	2010-12-31	$4,682,187
Value of interest in pooled separate accounts at beginning of year	2010-12-31	$3,568,813
Interest on participant loans	2010-12-31	$2,652
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2010-12-31	$812,511
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2010-12-31	$539,968
Net investment gain/loss from pooled separate accounts	2010-12-31	$553,887
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2010-12-31	No
Was there a failure to transmit to the plan any participant contributions	2010-12-31	No
Has the plan failed to provide any benefit when due under the plan	2010-12-31	No
Contributions received in cash from employer	2010-12-31	$242,596
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2010-12-31	$133,747
Contract administrator fees	2010-12-31	$14,807
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-3	2010-12-31	No
Did the plan have assets held for investment	2010-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2010-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2010-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2010-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2010-12-31	Disclaimer
Accountancy firm name	2010-12-31	WHITLEY PENN LLP
Accountancy firm EIN	2010-12-31	752393478
2009 : IVIE & ASSOCIATES, INC. 401(K) PROFIT SHARING PLAN 2009 401k financial data
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2009-12-31	$0

Form 5500 Responses for IVIE & ASSOCIATES, INC. 401(K) PROFIT SHARING PLAN

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

Insurance Providers Used on plan

TRANSAMERICA LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 86231 )

Policy contract number

512777

Policy instance

Insurance contract or identification number	512777
Number of Individuals Covered	493
Insurance policy start date	2018-01-01
Insurance policy end date	2018-12-31
Total amount of commissions paid to insurance broker	USD $759
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No
Commission paid to Insurance Broker	USD $759
Insurance broker organization code?	3

TRANSAMERICA LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 86231 )

Policy contract number

997979

Policy instance

Insurance contract or identification number	997979
Number of Individuals Covered	0
Insurance policy start date	2017-01-01
Insurance policy end date	2017-01-10
Total amount of commissions paid to insurance broker	USD $2,200
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No
Commission paid to Insurance Broker	USD $2,200
Insurance broker organization code?	3
Insurance broker name	NFP INSURANCE SERVICES, INC

TRANSAMERICA LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 86231 )

Policy contract number

512777

Policy instance

Insurance contract or identification number	512777
Number of Individuals Covered	512
Insurance policy start date	2017-01-10
Insurance policy end date	2017-12-31
Total amount of commissions paid to insurance broker	USD $867
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No
Commission paid to Insurance Broker	USD $867
Insurance broker organization code?	3
Insurance broker name	KESTRA INVESTMENT SERVICES LLC

TRANSAMERICA LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 86231 )

Policy contract number

997979

Policy instance

Insurance contract or identification number	997979
Number of Individuals Covered	516
Insurance policy start date	2015-01-01
Insurance policy end date	2015-12-31
Total amount of commissions paid to insurance broker	USD $20,340
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No
Commission paid to Insurance Broker	USD $20,340
Insurance broker organization code?	3
Insurance broker name	NFP INSURANCE AGENCY SERVICES

TRANSAMERICA LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 86231 )

Policy contract number

997979

Policy instance

Insurance contract or identification number	997979
Number of Individuals Covered	429
Insurance policy start date	2014-01-01
Insurance policy end date	2014-12-31
Total amount of commissions paid to insurance broker	USD $23,147
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No
Commission paid to Insurance Broker	USD $18,971
Insurance broker organization code?	3
Insurance broker name	NFP INSURANCE AGENCY SERVICES

TRANSAMERICA LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 86231 )

Policy contract number

997979

Policy instance

Insurance contract or identification number	997979
Number of Individuals Covered	484
Insurance policy start date	2013-01-01
Insurance policy end date	2013-12-31
Total amount of commissions paid to insurance broker	USD $19,877
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	Yes
Commission paid to Insurance Broker	USD $19,877
Insurance broker organization code?	3
Insurance broker name	JHW FINANCIAL SERVICES INC

TRANSAMERICA LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 86231 )

Policy contract number

997979

Policy instance

Insurance contract or identification number	997979
Insurance policy start date	2012-01-01
Insurance policy end date	2012-12-31
Total amount of commissions paid to insurance broker	USD $19,991
Total amount of fees paid to insurance company	USD $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 plan	No
Contracts With Unallocated Funds Deposit Administration	0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?	No
Are there contracts with unallocated funds for contracts of type guaranteed investment?	No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	Yes
Health Insurance Welfare Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
Were dividends or retroactive rate refunds paid in cash?	No
Were dividends or retroactive rate refunds paid as a credit?	No
Commission paid to Insurance Broker	USD $18,375
Insurance broker organization code?	3
Insurance broker name	SAMUEL KING HULSE

TRANSAMERICA LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 86231 )

Policy contract number

997979

Policy instance

Insurance contract or identification number	997979
Insurance policy start date	2011-01-01
Insurance policy end date	2011-12-31
Total amount of commissions paid to insurance broker	USD $17,913
Total amount of fees paid to insurance company	USD $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 plan	No
Contracts With Unallocated Funds Deposit Administration	0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?	No
Are there contracts with unallocated funds for contracts of type guaranteed investment?	No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	Yes
Health Insurance Welfare Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
Were dividends or retroactive rate refunds paid in cash?	No
Were dividends or retroactive rate refunds paid as a credit?	No

TRANSAMERICA LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 86231 )

Policy contract number

997979

Policy instance

Insurance contract or identification number	997979
Insurance policy start date	2010-01-01
Insurance policy end date	2010-12-31
Total amount of commissions paid to insurance broker	USD $13,803
Total amount of fees paid to insurance company	USD $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 plan	No
Contracts With Unallocated Funds Deposit Administration	0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?	No
Are there contracts with unallocated funds for contracts of type guaranteed investment?	No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	Yes
Health Insurance Welfare Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
Were dividends or retroactive rate refunds paid in cash?	No
Were dividends or retroactive rate refunds paid as a credit?	No
Commission paid to Insurance Broker	USD $13,803
Insurance broker organization code?	3
Insurance broker name	SAMUEL KING HULSE

Potentially related plans

IVIE & IVIE, INC. 401(K) PLAN [EIN = 752900896]

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Company Name:	IVIE & ASSOCIATES, INC.
Employer identification number (EIN):	421412863
NAIC Classification:	541800

Jurisdiction of Incorporation:	Iowa Secretary of State Business Entities
Incorporation Date:	1993-12-08
Company Identification Number:	171274
Legal Registered Office Address:	505 5TH AVENUE SUITE 729 DES MOINES United States of America (USA) 50309