401k Plan data: UMS ADVISORY INC. 401K AND PROFIT SHARING PLAN plan

UMS ADVISORY INC. 401K AND PROFIT SHARING PLAN 401k Plan overview

Plan Name	UMS ADVISORY INC. 401K AND PROFIT SHARING PLAN
Plan identification number	001

UMS ADVISORY INC. 401K AND PROFIT SHARING PLAN Benefits

401k Plan Type

Defined Contribution Pension

Plan Features/Benefits

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

401k Sponsoring company profile

UMS ADVISORY INC. has sponsored the creation of one or more 401k plans.

Company Name: UMS ADVISORY INC.

Employer identification number (EIN): 450468520

NAIC Classification: 541600

Form 5500 Filing Information

Submission information for form 5500 for 401k plan UMS ADVISORY INC. 401K AND PROFIT SHARING PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2013-01-01 NEHA KISHAN
001 2012-01-01 NEHA KISHAN
001 2011-01-01 NEHA KISHAN
001 2010-01-01 NEHA KISHAN
001 2009-01-01 NEHA KISHAN

Plan id#	Filing Submission Date	Name of Administrator
001	2013-01-01	NEHA KISHAN
001	2012-01-01	NEHA KISHAN
001	2011-01-01	NEHA KISHAN
001	2010-01-01	NEHA KISHAN
001	2009-01-01	NEHA KISHAN

Plan Statistics for UMS ADVISORY INC. 401K AND PROFIT SHARING PLAN

401k plan membership statisitcs for UMS ADVISORY INC. 401K AND PROFIT SHARING PLAN

Measure Date Value
2013: UMS ADVISORY INC. 401K AND PROFIT SHARING PLAN 2013 401k membership
Total participants, beginning-of-year 2013-01-01 17
Total number of active participants reported on line 7a of the Form 5500 2013-01-01 13
Number of retired or separated participants receiving benefits 2013-01-01 0
Number of other retired or separated participants entitled to future benefits 2013-01-01 4
Total of all active and inactive participants 2013-01-01 17
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2013-01-01 0
Total participants 2013-01-01 17
Number of participants with account balances 2013-01-01 16
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2013-01-01 0
2012: UMS ADVISORY INC. 401K AND PROFIT SHARING PLAN 2012 401k membership
Total participants, beginning-of-year 2012-01-01 17
Total number of active participants reported on line 7a of the Form 5500 2012-01-01 12
Number of retired or separated participants receiving benefits 2012-01-01 0
Number of other retired or separated participants entitled to future benefits 2012-01-01 5
Total of all active and inactive participants 2012-01-01 17
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2012-01-01 0
Total participants 2012-01-01 17
Number of participants with account balances 2012-01-01 14
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2012-01-01 0
2011: UMS ADVISORY INC. 401K AND PROFIT SHARING PLAN 2011 401k membership
Total participants, beginning-of-year 2011-01-01 14
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 11
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 6
Total of all active and inactive participants 2011-01-01 17
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-01-01 0
Total participants 2011-01-01 17
Number of participants with account balances 2011-01-01 14
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-01-01 1
2010: UMS ADVISORY INC. 401K AND PROFIT SHARING PLAN 2010 401k membership
Total participants, beginning-of-year 2010-01-01 16
Total number of active participants reported on line 7a of the Form 5500 2010-01-01 6
Number of retired or separated participants receiving benefits 2010-01-01 0
Number of other retired or separated participants entitled to future benefits 2010-01-01 8
Total of all active and inactive participants 2010-01-01 14
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2010-01-01 0
Total participants 2010-01-01 14
Number of participants with account balances 2010-01-01 13
2009: UMS ADVISORY INC. 401K AND PROFIT SHARING PLAN 2009 401k membership
Total participants, beginning-of-year 2009-01-01 19
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 13
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 3
Total of all active and inactive participants 2009-01-01 16
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-01-01 0
Total participants 2009-01-01 16
Number of participants with account balances 2009-01-01 13

Measure	Date	Value
2013: UMS ADVISORY INC. 401K AND PROFIT SHARING PLAN 2013 401k membership
Total participants, beginning-of-year	2013-01-01	17
Total number of active participants reported on line 7a of the Form 5500	2013-01-01	13
Number of retired or separated participants receiving benefits	2013-01-01	0
Number of other retired or separated participants entitled to future benefits	2013-01-01	4
Total of all active and inactive participants	2013-01-01	17
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2013-01-01	0
Total participants	2013-01-01	17
Number of participants with account balances	2013-01-01	16
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2013-01-01	0
2012: UMS ADVISORY INC. 401K AND PROFIT SHARING PLAN 2012 401k membership
Total participants, beginning-of-year	2012-01-01	17
Total number of active participants reported on line 7a of the Form 5500	2012-01-01	12
Number of retired or separated participants receiving benefits	2012-01-01	0
Number of other retired or separated participants entitled to future benefits	2012-01-01	5
Total of all active and inactive participants	2012-01-01	17
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2012-01-01	0
Total participants	2012-01-01	17
Number of participants with account balances	2012-01-01	14
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2012-01-01	0
2011: UMS ADVISORY INC. 401K AND PROFIT SHARING PLAN 2011 401k membership
Total participants, beginning-of-year	2011-01-01	14
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	11
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	6
Total of all active and inactive participants	2011-01-01	17
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-01-01	0
Total participants	2011-01-01	17
Number of participants with account balances	2011-01-01	14
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-01-01	1
2010: UMS ADVISORY INC. 401K AND PROFIT SHARING PLAN 2010 401k membership
Total participants, beginning-of-year	2010-01-01	16
Total number of active participants reported on line 7a of the Form 5500	2010-01-01	6
Number of retired or separated participants receiving benefits	2010-01-01	0
Number of other retired or separated participants entitled to future benefits	2010-01-01	8
Total of all active and inactive participants	2010-01-01	14
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2010-01-01	0
Total participants	2010-01-01	14
Number of participants with account balances	2010-01-01	13
2009: UMS ADVISORY INC. 401K AND PROFIT SHARING PLAN 2009 401k membership
Total participants, beginning-of-year	2009-01-01	19
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	13
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	3
Total of all active and inactive participants	2009-01-01	16
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-01-01	0
Total participants	2009-01-01	16
Number of participants with account balances	2009-01-01	13

Financial Data on UMS ADVISORY INC. 401K AND PROFIT SHARING PLAN

Measure	Date	Value
2013 : UMS ADVISORY INC. 401K AND PROFIT SHARING PLAN 2013 401k financial data
Total income from all sources	2013-12-31	$269,703
Expenses. Total of all expenses incurred	2013-12-31	$199,408
Benefits paid (including direct rollovers)	2013-12-31	$192,136
Total plan assets at end of year	2013-12-31	$748,962
Total plan assets at beginning of year	2013-12-31	$678,667
Value of fidelity bond covering the plan	2013-12-31	$265,000
Total contributions received or receivable from participants	2013-12-31	$121,693
Other income received	2013-12-31	$115,270
Net income (gross income less expenses)	2013-12-31	$70,295
Net plan assets at end of year (total assets less liabilities)	2013-12-31	$748,962
Net plan assets at beginning of year (total assets less liabilities)	2013-12-31	$678,667
Assets. Value of participant loans	2013-12-31	$0
Total contributions received or receivable from employer(s)	2013-12-31	$32,740
Expenses. Administrative service providers (salaries,fees and commissions)	2013-12-31	$7,272
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2013-12-31	$0
2012 : UMS ADVISORY INC. 401K AND PROFIT SHARING PLAN 2012 401k financial data
Total income from all sources	2012-12-31	$211,171
Expenses. Total of all expenses incurred	2012-12-31	$48,191
Benefits paid (including direct rollovers)	2012-12-31	$41,397
Total plan assets at end of year	2012-12-31	$678,667
Total plan assets at beginning of year	2012-12-31	$515,687
Total contributions received or receivable from participants	2012-12-31	$105,372
Contributions received from other sources (not participants or employers)	2012-12-31	$5,679
Other income received	2012-12-31	$70,451
Net income (gross income less expenses)	2012-12-31	$162,980
Net plan assets at end of year (total assets less liabilities)	2012-12-31	$678,667
Net plan assets at beginning of year (total assets less liabilities)	2012-12-31	$515,687
Assets. Value of participant loans	2012-12-31	$23,513
Total contributions received or receivable from employer(s)	2012-12-31	$29,669
Expenses. Administrative service providers (salaries,fees and commissions)	2012-12-31	$6,794
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2012-12-31	$0
2011 : UMS ADVISORY INC. 401K AND PROFIT SHARING PLAN 2011 401k financial data
Total income from all sources	2011-12-31	$97,629
Expenses. Total of all expenses incurred	2011-12-31	$75,373
Benefits paid (including direct rollovers)	2011-12-31	$69,157
Total plan assets at end of year	2011-12-31	$515,687
Total plan assets at beginning of year	2011-12-31	$493,431
Value of fidelity bond covering the plan	2011-12-31	$265,000
Total contributions received or receivable from participants	2011-12-31	$91,455
Other income received	2011-12-31	$-19,768
Net income (gross income less expenses)	2011-12-31	$22,256
Net plan assets at end of year (total assets less liabilities)	2011-12-31	$515,687
Net plan assets at beginning of year (total assets less liabilities)	2011-12-31	$493,431
Total contributions received or receivable from employer(s)	2011-12-31	$25,942
Expenses. Administrative service providers (salaries,fees and commissions)	2011-12-31	$6,216
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2011-12-31	$0
2010 : UMS ADVISORY INC. 401K AND PROFIT SHARING PLAN 2010 401k financial data
Total income from all sources	2010-12-31	$155,789
Expenses. Total of all expenses incurred	2010-12-31	$4,626
Total plan assets at end of year	2010-12-31	$493,431
Total plan assets at beginning of year	2010-12-31	$342,268
Value of fidelity bond covering the plan	2010-12-31	$100,000
Total contributions received or receivable from participants	2010-12-31	$65,239
Other income received	2010-12-31	$70,166
Net income (gross income less expenses)	2010-12-31	$151,163
Net plan assets at end of year (total assets less liabilities)	2010-12-31	$493,431
Net plan assets at beginning of year (total assets less liabilities)	2010-12-31	$342,268
Assets. Value of participant loans	2010-12-31	$20,000
Total contributions received or receivable from employer(s)	2010-12-31	$20,384
Expenses. Administrative service providers (salaries,fees and commissions)	2010-12-31	$4,626
2009 : UMS ADVISORY INC. 401K AND 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 UMS ADVISORY INC. 401K AND PROFIT SHARING PLAN

2013: UMS ADVISORY INC. 401K AND PROFIT SHARING PLAN 2013 form 5500 responses
2013-01-01	Type of plan entity	Single employer plan
2013-01-01	Submission has been amended	No
2013-01-01	This submission is the final filing	No
2013-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2013-01-01	Plan is a collectively bargained plan	No
2013-01-01	Plan funding arrangement – Trust	Yes
2013-01-01	Plan benefit arrangement - Trust	Yes
2012: UMS ADVISORY INC. 401K AND 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 – Trust	Yes
2012-01-01	Plan benefit arrangement - Trust	Yes
2011: UMS ADVISORY INC. 401K AND PROFIT SHARING PLAN 2011 form 5500 responses
2011-01-01	Type of plan entity	Single employer plan
2011-01-01	Submission has been amended	No
2011-01-01	This submission is the final filing	No
2011-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2011-01-01	Plan is a collectively bargained plan	No
2011-01-01	Plan funding arrangement – Trust	Yes
2011-01-01	Plan benefit arrangement - Trust	Yes
2010: UMS ADVISORY INC. 401K AND PROFIT SHARING PLAN 2010 form 5500 responses
2010-01-01	Type of plan entity	Single employer plan
2010-01-01	Submission has been amended	No
2010-01-01	This submission is the final filing	No
2010-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2010-01-01	Plan is a collectively bargained plan	No
2010-01-01	Plan funding arrangement – Trust	Yes
2010-01-01	Plan benefit arrangement - Trust	Yes
2009: UMS ADVISORY INC. 401K AND PROFIT SHARING PLAN 2009 form 5500 responses
2009-01-01	Type of plan entity	Single employer plan
2009-01-01	Submission has been amended	No
2009-01-01	This submission is the final filing	No
2009-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2009-01-01	Plan is a collectively bargained plan	No
2009-01-01	Plan funding arrangement – Trust	Yes
2009-01-01	Plan benefit arrangement - Trust	Yes

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Company Name:	UMS ADVISORY INC.
Employer identification number (EIN):	450468520
NAIC Classification:	541600