401k Plan data: BROWN SMITH WALLACE LLC WELFARE BENEFITS PLAN plan

BROWN SMITH WALLACE LLC WELFARE BENEFITS PLAN 401k Plan overview

Plan Name	BROWN SMITH WALLACE LLC WELFARE BENEFITS PLAN
Plan identification number	505

BROWN SMITH WALLACE LLC WELFARE BENEFITS PLAN Benefits

401k Plan Type	Welfare Benefit
Plan Features/Benefits	Health (other than dental or vision) Dental Temporary disability (accident and sickness) Long-term disability cover

401k Sponsoring company profile

BROWN SMITH WALLACE LLP has sponsored the creation of one or more 401k plans.

Company Name: BROWN SMITH WALLACE LLP

Employer identification number (EIN): 431001367

NAIC Classification: 541211
NAIC Description: Offices of Certified Public Accountants

Additional information about BROWN SMITH WALLACE LLP

Jurisdiction of Incorporation: Georgia Department of States Corporations Division

Incorporation Date:

Company Identification Number: 1525218

More information about BROWN SMITH WALLACE LLP

Form 5500 Filing Information

Submission information for form 5500 for 401k plan BROWN SMITH WALLACE LLC WELFARE BENEFITS PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
505 2013-01-01 CRAIG BOELTE
505 2012-01-01 CRAIG BOELTE
505 2011-01-01 CRAIG BOELTE
505 2010-01-01 CRAIG BOELTE
505 2009-01-01 LES BLOCK 2010-10-08
505 2009-01-01 LES BLOCK

Plan id#	Filing Submission Date	Name of Administrator	Name of Company Sponsor	Date Sponsor Signed
505	2013-01-01	CRAIG BOELTE
505	2012-01-01	CRAIG BOELTE
505	2011-01-01	CRAIG BOELTE
505	2010-01-01	CRAIG BOELTE
505	2009-01-01		LES BLOCK	2010-10-08
505	2009-01-01	LES BLOCK

Plan Statistics for BROWN SMITH WALLACE LLC WELFARE BENEFITS PLAN

401k plan membership statisitcs for BROWN SMITH WALLACE LLC WELFARE BENEFITS PLAN

Measure Date Value
2013: BROWN SMITH WALLACE LLC WELFARE BENEFITS PLAN 2013 401k membership
Total participants, beginning-of-year 2013-01-01 105
Total number of active participants reported on line 7a of the Form 5500 2013-01-01 149
Total of all active and inactive participants 2013-01-01 149
Total participants 2013-01-01 149
2012: BROWN SMITH WALLACE LLC WELFARE BENEFITS PLAN 2012 401k membership
Total participants, beginning-of-year 2012-01-01 131
Total number of active participants reported on line 7a of the Form 5500 2012-01-01 105
Total of all active and inactive participants 2012-01-01 105
Total participants 2012-01-01 105
2011: BROWN SMITH WALLACE LLC WELFARE BENEFITS PLAN 2011 401k membership
Total participants, beginning-of-year 2011-01-01 150
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 131
Total of all active and inactive participants 2011-01-01 131
Total participants 2011-01-01 131
2010: BROWN SMITH WALLACE LLC WELFARE BENEFITS PLAN 2010 401k membership
Total participants, beginning-of-year 2010-01-01 131
Total number of active participants reported on line 7a of the Form 5500 2010-01-01 150
Total of all active and inactive participants 2010-01-01 150
Total participants 2010-01-01 150
2009: BROWN SMITH WALLACE LLC WELFARE BENEFITS PLAN 2009 401k membership
Total participants, beginning-of-year 2009-01-01 118
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 131
Total of all active and inactive participants 2009-01-01 131
Total participants 2009-01-01 131

Measure	Date	Value
2013: BROWN SMITH WALLACE LLC WELFARE BENEFITS PLAN 2013 401k membership
Total participants, beginning-of-year	2013-01-01	105
Total number of active participants reported on line 7a of the Form 5500	2013-01-01	149
Total of all active and inactive participants	2013-01-01	149
Total participants	2013-01-01	149
2012: BROWN SMITH WALLACE LLC WELFARE BENEFITS PLAN 2012 401k membership
Total participants, beginning-of-year	2012-01-01	131
Total number of active participants reported on line 7a of the Form 5500	2012-01-01	105
Total of all active and inactive participants	2012-01-01	105
Total participants	2012-01-01	105
2011: BROWN SMITH WALLACE LLC WELFARE BENEFITS PLAN 2011 401k membership
Total participants, beginning-of-year	2011-01-01	150
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	131
Total of all active and inactive participants	2011-01-01	131
Total participants	2011-01-01	131
2010: BROWN SMITH WALLACE LLC WELFARE BENEFITS PLAN 2010 401k membership
Total participants, beginning-of-year	2010-01-01	131
Total number of active participants reported on line 7a of the Form 5500	2010-01-01	150
Total of all active and inactive participants	2010-01-01	150
Total participants	2010-01-01	150
2009: BROWN SMITH WALLACE LLC WELFARE BENEFITS PLAN 2009 401k membership
Total participants, beginning-of-year	2009-01-01	118
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	131
Total of all active and inactive participants	2009-01-01	131
Total participants	2009-01-01	131

Form 5500 Responses for BROWN SMITH WALLACE LLC WELFARE BENEFITS PLAN

2013: BROWN SMITH WALLACE LLC WELFARE BENEFITS PLAN 2013 form 5500 responses
2013-01-01	Type of plan entity	Single employer plan
2013-01-01	Submission has been amended	No
2013-01-01	This submission is the final filing	No
2013-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2013-01-01	Plan is a collectively bargained plan	No
2013-01-01	Plan funding arrangement – Insurance	Yes
2013-01-01	Plan benefit arrangement – Insurance	Yes
2012: BROWN SMITH WALLACE LLC WELFARE BENEFITS 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 benefit arrangement – Insurance	Yes
2011: BROWN SMITH WALLACE LLC WELFARE BENEFITS 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 benefit arrangement – Insurance	Yes
2010: BROWN SMITH WALLACE LLC WELFARE BENEFITS PLAN 2010 form 5500 responses
2010-01-01	Type of plan entity	Single employer plan
2010-01-01	Submission has been amended	No
2010-01-01	This submission is the final filing	No
2010-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2010-01-01	Plan is a collectively bargained plan	No
2010-01-01	Plan funding arrangement – Insurance	Yes
2010-01-01	Plan benefit arrangement – Insurance	Yes
2009: BROWN SMITH WALLACE LLC WELFARE BENEFITS 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 benefit arrangement – Insurance	Yes

Insurance Providers Used on plan

MUTUAL OF OMAHA (National Association of Insurance Commissioners NAIC id number: 69868 )

Policy contract number

GLUG0ANJK

Policy instance

Insurance contract or identification number	GLUG0ANJK
Number of Individuals Covered	191
Insurance policy start date	2013-01-01
Insurance policy end date	2013-12-31
Total amount of commissions paid to insurance broker	USD $14,132
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?	No
Health Insurance Welfare Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	Yes
Temporary Disability Insurance Welfare Benefit	Yes
Long Term Disability Insurance Welfare Benefit	Yes
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
Welfare Benefit Premiums Paid to Carrier	USD $133,688
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No
Commission paid to Insurance Broker	USD $14,132
Insurance broker organization code?	3
Insurance broker name	AHM FINANCIAL GROUP LLC

HEALTHY ALLIANCE LIFE INSURANCE COMPANY (G0262) (National Association of Insurance Commissioners NAIC id number: 78972 )

Policy contract number

001007296

Policy instance

Insurance contract or identification number	001007296
Number of Individuals Covered	117
Insurance policy start date	2013-01-01
Insurance policy end date	2013-12-31
Total amount of commissions paid to insurance broker	USD $1,682
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?	No
Health Insurance Welfare Benefit	No
Dental Insurance Welfare Benefit	Yes
Vision Insurance Welfare Benefit	Yes
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
Welfare Benefit Premiums Paid to Carrier	USD $67,475
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No
Commission paid to Insurance Broker	USD $1,682
Insurance broker organization code?	3
Insurance broker name	SPETNER ASSOCIATES

CONVENTRY HEALTH AND LIFE (National Association of Insurance Commissioners NAIC id number: 81973 )

Policy contract number

6392590000

Policy instance

Insurance contract or identification number	6392590000
Number of Individuals Covered	330
Insurance policy start date	2013-01-01
Insurance policy end date	2013-12-31
Total amount of commissions paid to insurance broker	USD $16,089
Total amount of fees paid to insurance company	USD $11,250
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?	No
Health Insurance Welfare Benefit	Yes
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
Welfare Benefit Premiums Paid to Carrier	USD $804,462
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No
Commission paid to Insurance Broker	USD $16,089
Amount paid for insurance broker fees	11250
Insurance broker organization code?	3
Insurance broker name	AHM FINANCIAL GROUP, LLC

HEALTHY ALLIANCE LIFE INSURANCE COMPANY (G0262) (National Association of Insurance Commissioners NAIC id number: 78972 )

Policy contract number

001007296

Policy instance

Insurance contract or identification number	001007296
Number of Individuals Covered	133
Insurance policy start date	2012-01-01
Insurance policy end date	2012-12-31
Total amount of commissions paid to insurance broker	USD $19,052
Health Insurance Welfare Benefit	Yes
Dental Insurance Welfare Benefit	Yes
Vision Insurance Welfare Benefit	Yes
Welfare Benefit Premiums Paid to Carrier	USD $745,725
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No
Commission paid to Insurance Broker	USD $19,052
Insurance broker organization code?	3
Insurance broker name	SPETNER ASSOCIATES

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 65676 )

Policy contract number

000010078075

Policy instance

Insurance contract or identification number	000010078075
Number of Individuals Covered	171
Insurance policy start date	2012-03-01
Insurance policy end date	2012-12-31
Total amount of commissions paid to insurance broker	USD $5,463
Long Term Disability Insurance Welfare Benefit	Yes
Welfare Benefit Premiums Paid to Carrier	USD $36,421
Commission paid to Insurance Broker	USD $5,463
Insurance broker organization code?	3
Insurance broker name	SPETNER ASSOCIATES INC

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 65676 )

Policy contract number

000010078074

Policy instance

Insurance contract or identification number	000010078074
Number of Individuals Covered	175
Insurance policy start date	2012-03-01
Insurance policy end date	2012-12-31
Total amount of commissions paid to insurance broker	USD $522
Life Insurance Welfare Benefit	Yes
Temporary Disability Insurance Welfare Benefit	Yes
Welfare Benefit Premiums Paid to Carrier	USD $52,171
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No
Commission paid to Insurance Broker	USD $522
Insurance broker organization code?	3
Insurance broker name	SPETNER ASSOCIATES INC

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 65676 )

Policy contract number

1007807400000

Policy instance

Insurance contract or identification number	1007807400000
Number of Individuals Covered	172
Insurance policy start date	2011-01-01
Insurance policy end date	2011-12-31
Total amount of commissions paid to insurance broker	USD $614
Life Insurance Welfare Benefit	Yes
Temporary Disability Insurance Welfare Benefit	Yes
Welfare Benefit Premiums Paid to Carrier	USD $61,424
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 65676 )

Policy contract number

100780750000

Policy instance

Insurance contract or identification number	100780750000
Number of Individuals Covered	169
Insurance policy start date	2011-01-01
Insurance policy end date	2011-12-31
Total amount of commissions paid to insurance broker	USD $6,266
Long Term Disability Insurance Welfare Benefit	Yes
Welfare Benefit Premiums Paid to Carrier	USD $41,773
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 65676 )

Policy contract number

40000200001586

Policy instance

Insurance contract or identification number	40000200001586
Number of Individuals Covered	46
Insurance policy start date	2011-01-01
Insurance policy end date	2011-12-31
Total amount of commissions paid to insurance broker	USD $2,908
Other welfare benefits provided	VOLUNTARY WI
Welfare Benefit Premiums Paid to Carrier	USD $19,388
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No

HEALTHY ALLIANCE LIFE INSURANCE COMPANY (G0262) (National Association of Insurance Commissioners NAIC id number: 78972 )

Policy contract number

00166942

Policy instance

Insurance contract or identification number	00166942
Number of Individuals Covered	297
Insurance policy start date	2011-01-01
Insurance policy end date	2011-12-31
Total amount of commissions paid to insurance broker	USD $6,802
Health Insurance Welfare Benefit	Yes
Welfare Benefit Premiums Paid to Carrier	USD $511,240
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No

UNITEDHEALTHCARE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 79413 )

Policy contract number

0710360

Policy instance

Insurance contract or identification number	0710360
Number of Individuals Covered	147
Insurance policy start date	2011-01-01
Insurance policy end date	2011-12-31
Total amount of commissions paid to insurance broker	USD $3,241
Health Insurance Welfare Benefit	Yes
Welfare Benefit Premiums Paid to Carrier	USD $52,799
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 65676 )

Policy contract number

40000100005717

Policy instance

Insurance contract or identification number	40000100005717
Number of Individuals Covered	44
Insurance policy start date	2011-01-01
Insurance policy end date	2011-12-31
Total amount of commissions paid to insurance broker	USD $1,825
Life Insurance Welfare Benefit	Yes
Temporary Disability Insurance Welfare Benefit	Yes
Welfare Benefit Premiums Paid to Carrier	USD $12,166
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No

HEALTHY ALLIANCE LIFE INSURANCE COMPANY (G0262) (National Association of Insurance Commissioners NAIC id number: 78972 )

Policy contract number

166942

Policy instance

Insurance contract or identification number	166942
Number of Individuals Covered	284
Insurance policy start date	2010-01-01
Insurance policy end date	2010-12-31
Total amount of commissions paid to insurance broker	USD $11,158
Health Insurance Welfare Benefit	Yes
Welfare Benefit Premiums Paid to Carrier	USD $554,662
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No
Commission paid to Insurance Broker	USD $11,158
Insurance broker organization code?	3
Insurance broker name	SPETNER ASSOCIATES

UNITEDHEALTHCARE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 79413 )

Policy contract number

710360

Policy instance

Insurance contract or identification number	710360
Number of Individuals Covered	233
Insurance policy start date	2010-01-01
Insurance policy end date	2010-12-31
Total amount of commissions paid to insurance broker	USD $4,499
Total amount of fees paid to insurance company	USD $0
Health Insurance Welfare Benefit	Yes
Welfare Benefit Premiums Paid to Carrier	USD $50,019
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No
Commission paid to Insurance Broker	USD $4,499
Insurance broker organization code?	3
Insurance broker name	SPETNER ASSOCIATES INC

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 65676 )

Policy contract number

10078074

Policy instance

Insurance contract or identification number	10078074
Number of Individuals Covered	166
Insurance policy start date	2010-03-01
Insurance policy end date	2011-02-28
Total amount of commissions paid to insurance broker	USD $616
Total amount of fees paid to insurance company	USD $0
Life Insurance Welfare Benefit	Yes
Temporary Disability Insurance Welfare Benefit	Yes
Welfare Benefit Premiums Paid to Carrier	USD $61,636
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No
Commission paid to Insurance Broker	USD $616
Amount paid for insurance broker fees	0
Insurance broker organization code?	3
Insurance broker name	SPETNER ASSOCIATES INC

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 65676 )

Policy contract number

40000100005717

Policy instance

Insurance contract or identification number	40000100005717
Number of Individuals Covered	47
Insurance policy start date	2010-03-01
Insurance policy end date	2011-02-28
Total amount of commissions paid to insurance broker	USD $1,905
Total amount of fees paid to insurance company	USD $0
Life Insurance Welfare Benefit	Yes
Temporary Disability Insurance Welfare Benefit	Yes
Welfare Benefit Premiums Paid to Carrier	USD $12,702
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No
Commission paid to Insurance Broker	USD $1,905
Insurance broker organization code?	3
Insurance broker name	SPETNER ASSOCIATES INC

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 65676 )

Policy contract number

10078075

Policy instance

Insurance contract or identification number	10078075
Number of Individuals Covered	163
Insurance policy start date	2010-03-01
Insurance policy end date	2011-02-28
Total amount of commissions paid to insurance broker	USD $5,801
Total amount of fees paid to insurance company	USD $0
Long Term Disability Insurance Welfare Benefit	Yes
Welfare Benefit Premiums Paid to Carrier	USD $38,675
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No
Commission paid to Insurance Broker	USD $5,801
Insurance broker organization code?	3
Insurance broker name	SPETNER ASSOCIATES INC

Potentially related plans

BROWN SMITH, INC. 401K PROFIT SHARING PLAN [EIN = 611612926]

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Company Name:	BROWN SMITH WALLACE LLP
Employer identification number (EIN):	431001367
NAIC Classification:	541211
NAIC Description:	Offices of Certified Public Accountants

Jurisdiction of Incorporation:	Georgia Department of States Corporations Division
Incorporation Date:
Company Identification Number:	1525218