401k Plan data: TRI-STATE GASTROENTEROLOGY ASSOCIATES, P.S.C.401(K) PLAN plan

TRI-STATE GASTROENTEROLOGY ASSOCIATES, P.S.C.401(K) PLAN 401k Plan overview

Plan Name	TRI-STATE GASTROENTEROLOGY ASSOCIATES, P.S.C.401(K) PLAN
Plan identification number	003

TRI-STATE GASTROENTEROLOGY ASSOCIATES, P.S.C.401(K) 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
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.
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

TRI-STATE GASTROENTEROLOGY ASSOCIATES, PSC has sponsored the creation of one or more 401k plans.

Company Name: TRI-STATE GASTROENTEROLOGY ASSOCIATES, PSC

Employer identification number (EIN): 611192347

NAIC Classification: 621111
NAIC Description: Offices of Physicians (except Mental Health Specialists)

Form 5500 Filing Information

Submission information for form 5500 for 401k plan TRI-STATE GASTROENTEROLOGY ASSOCIATES, P.S.C.401(K) PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
003 2023-01-01
003 2022-01-01
003 2021-01-01 DANIEL FAGEL, MD 2022-09-20
003 2020-01-01 ROSS MCHENRY 2021-10-04 ROSS MCHENRY 2021-10-04
003 2019-01-01 ROSS MCHENRY 2020-09-16 ROSS MCHENRY 2020-09-16
003 2018-01-01
003 2017-01-01
003 2016-01-01
003 2015-01-01
003 2014-01-01
003 2013-01-01
003 2012-01-01 DANIEL FAGEL 2013-10-09 DANIEL FAGEL 2013-10-09
003 2011-01-01 DANIEL FAGEL 2012-06-17 DANIEL FAGEL 2012-06-17
003 2010-01-01 DANIEL FAGEL 2011-03-16 DANIEL FAGEL 2011-03-16

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed	Name of Company Sponsor	Date Sponsor Signed
003	2023-01-01
003	2022-01-01
003	2021-01-01	DANIEL FAGEL, MD	2022-09-20
003	2020-01-01	ROSS MCHENRY	2021-10-04	ROSS MCHENRY	2021-10-04
003	2019-01-01	ROSS MCHENRY	2020-09-16	ROSS MCHENRY	2020-09-16
003	2018-01-01
003	2017-01-01
003	2016-01-01
003	2015-01-01
003	2014-01-01
003	2013-01-01
003	2012-01-01	DANIEL FAGEL	2013-10-09	DANIEL FAGEL	2013-10-09
003	2011-01-01	DANIEL FAGEL	2012-06-17	DANIEL FAGEL	2012-06-17
003	2010-01-01	DANIEL FAGEL	2011-03-16	DANIEL FAGEL	2011-03-16

Plan Statistics for TRI-STATE GASTROENTEROLOGY ASSOCIATES, P.S.C.401(K) PLAN

401k plan membership statisitcs for TRI-STATE GASTROENTEROLOGY ASSOCIATES, P.S.C.401(K) PLAN

Measure Date Value
2023: TRI-STATE GASTROENTEROLOGY ASSOCIATES, P.S.C.401(K) PLAN 2023 401k membership
Total participants, beginning-of-year 2023-01-01 153
Total number of active participants reported on line 7a of the Form 5500 2023-01-01 97
Number of retired or separated participants receiving benefits 2023-01-01 0
Number of other retired or separated participants entitled to future benefits 2023-01-01 89
Total of all active and inactive participants 2023-01-01 186
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2023-01-01 0
Total participants 2023-01-01 186
Number of participants with account balances 2023-01-01 183
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2023-01-01 14
2022: TRI-STATE GASTROENTEROLOGY ASSOCIATES, P.S.C.401(K) PLAN 2022 401k membership
Total participants, beginning-of-year 2022-01-01 157
Total number of active participants reported on line 7a of the Form 5500 2022-01-01 98
Number of retired or separated participants receiving benefits 2022-01-01 0
Number of other retired or separated participants entitled to future benefits 2022-01-01 55
Total of all active and inactive participants 2022-01-01 153
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2022-01-01 0
Total participants 2022-01-01 153
Number of participants with account balances 2022-01-01 151
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2022-01-01 15
2021: TRI-STATE GASTROENTEROLOGY ASSOCIATES, P.S.C.401(K) PLAN 2021 401k membership
Total participants, beginning-of-year 2021-01-01 145
Total number of active participants reported on line 7a of the Form 5500 2021-01-01 97
Number of retired or separated participants receiving benefits 2021-01-01 0
Number of other retired or separated participants entitled to future benefits 2021-01-01 60
Total of all active and inactive participants 2021-01-01 157
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2021-01-01 0
Total participants 2021-01-01 157
Number of participants with account balances 2021-01-01 147
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2021-01-01 15
2020: TRI-STATE GASTROENTEROLOGY ASSOCIATES, P.S.C.401(K) PLAN 2020 401k membership
Total participants, beginning-of-year 2020-01-01 137
Total number of active participants reported on line 7a of the Form 5500 2020-01-01 102
Number of retired or separated participants receiving benefits 2020-01-01 0
Number of other retired or separated participants entitled to future benefits 2020-01-01 43
Total of all active and inactive participants 2020-01-01 145
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2020-01-01 0
Total participants 2020-01-01 145
Number of participants with account balances 2020-01-01 133
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2020-01-01 10
2019: TRI-STATE GASTROENTEROLOGY ASSOCIATES, P.S.C.401(K) PLAN 2019 401k membership
Total participants, beginning-of-year 2019-01-01 129
Total number of active participants reported on line 7a of the Form 5500 2019-01-01 101
Number of retired or separated participants receiving benefits 2019-01-01 0
Number of other retired or separated participants entitled to future benefits 2019-01-01 1
Total of all active and inactive participants 2019-01-01 102
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2019-01-01 0
Total participants 2019-01-01 102
Number of participants with account balances 2019-01-01 84
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2019-01-01 7

Measure	Date	Value
2023: TRI-STATE GASTROENTEROLOGY ASSOCIATES, P.S.C.401(K) PLAN 2023 401k membership
Total participants, beginning-of-year	2023-01-01	153
Total number of active participants reported on line 7a of the Form 5500	2023-01-01	97
Number of retired or separated participants receiving benefits	2023-01-01	0
Number of other retired or separated participants entitled to future benefits	2023-01-01	89
Total of all active and inactive participants	2023-01-01	186
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2023-01-01	0
Total participants	2023-01-01	186
Number of participants with account balances	2023-01-01	183
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2023-01-01	14
2022: TRI-STATE GASTROENTEROLOGY ASSOCIATES, P.S.C.401(K) PLAN 2022 401k membership
Total participants, beginning-of-year	2022-01-01	157
Total number of active participants reported on line 7a of the Form 5500	2022-01-01	98
Number of retired or separated participants receiving benefits	2022-01-01	0
Number of other retired or separated participants entitled to future benefits	2022-01-01	55
Total of all active and inactive participants	2022-01-01	153
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2022-01-01	0
Total participants	2022-01-01	153
Number of participants with account balances	2022-01-01	151
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2022-01-01	15
2021: TRI-STATE GASTROENTEROLOGY ASSOCIATES, P.S.C.401(K) PLAN 2021 401k membership
Total participants, beginning-of-year	2021-01-01	145
Total number of active participants reported on line 7a of the Form 5500	2021-01-01	97
Number of retired or separated participants receiving benefits	2021-01-01	0
Number of other retired or separated participants entitled to future benefits	2021-01-01	60
Total of all active and inactive participants	2021-01-01	157
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2021-01-01	0
Total participants	2021-01-01	157
Number of participants with account balances	2021-01-01	147
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2021-01-01	15
2020: TRI-STATE GASTROENTEROLOGY ASSOCIATES, P.S.C.401(K) PLAN 2020 401k membership
Total participants, beginning-of-year	2020-01-01	137
Total number of active participants reported on line 7a of the Form 5500	2020-01-01	102
Number of retired or separated participants receiving benefits	2020-01-01	0
Number of other retired or separated participants entitled to future benefits	2020-01-01	43
Total of all active and inactive participants	2020-01-01	145
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2020-01-01	0
Total participants	2020-01-01	145
Number of participants with account balances	2020-01-01	133
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2020-01-01	10
2019: TRI-STATE GASTROENTEROLOGY ASSOCIATES, P.S.C.401(K) PLAN 2019 401k membership
Total participants, beginning-of-year	2019-01-01	129
Total number of active participants reported on line 7a of the Form 5500	2019-01-01	101
Number of retired or separated participants receiving benefits	2019-01-01	0
Number of other retired or separated participants entitled to future benefits	2019-01-01	1
Total of all active and inactive participants	2019-01-01	102
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2019-01-01	0
Total participants	2019-01-01	102
Number of participants with account balances	2019-01-01	84
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2019-01-01	7

Financial Data on TRI-STATE GASTROENTEROLOGY ASSOCIATES, P.S.C.401(K) PLAN

Measure	Date	Value
2023 : TRI-STATE GASTROENTEROLOGY ASSOCIATES, P.S.C.401(K) PLAN 2023 401k financial data
Total income from all sources (including contributions)	2023-12-31	$2,394,837
Total of all expenses incurred	2023-12-31	$347,839
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2023-12-31	$344,239
Expenses. Certain deemed distributions of participant loans	2023-12-31	$0
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2023-12-31	$913,753
Value of total assets at end of year	2023-12-31	$14,140,751
Value of total assets at beginning of year	2023-12-31	$12,093,753
Total of administrative expenses incurred including professional, contract, advisory and management fees	2023-12-31	$3,600
Total interest from all sources	2023-12-31	$0
Total dividends received (eg from common stock, registered investment company shares)	2023-12-31	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2023-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2023-12-31	$0
Was this plan covered by a fidelity bond	2023-12-31	Yes
Value of fidelity bond cover	2023-12-31	$500,000
If this is an individual account plan, was there a blackout period	2023-12-31	No
Were there any nonexempt tranactions with any party-in-interest	2023-12-31	No
Contributions received from participants	2023-12-31	$477,426
Participant contributions at end of year	2023-12-31	$0
Participant contributions at beginning of year	2023-12-31	$0
Income. Received or receivable in cash from other sources (including rollovers)	2023-12-31	$13,696
Value of other receiveables (less allowance for doubtful accounts) at end of year	2023-12-31	$0
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2023-12-31	$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	2023-12-31	No
Value of net income/loss	2023-12-31	$2,046,998
Value of net assets at end of year (total assets less liabilities)	2023-12-31	$14,140,751
Value of net assets at beginning of year (total assets less liabilities)	2023-12-31	$12,093,753
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2023-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2023-12-31	No
Were any leases to which the plan was party in default or uncollectible	2023-12-31	No
Investment advisory and management fees	2023-12-31	$3,600
Value of interest in registered invesment companies (eg mutual funds) at end of year	2023-12-31	$13,277,128
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2023-12-31	$11,230,255
Interest on participant loans	2023-12-31	$0
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2023-12-31	$0
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2023-12-31	$440,992
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2023-12-31	$438,498
Expenses. Payments to insurance carriers foe the provision of benefits	2023-12-31	$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2023-12-31	$1,481,084
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2023-12-31	No
Was there a failure to transmit to the plan any participant contributions	2023-12-31	No
Has the plan failed to provide any benefit when due under the plan	2023-12-31	No
Contributions received in cash from employer	2023-12-31	$422,631
Employer contributions (assets) at end of year	2023-12-31	$422,631
Employer contributions (assets) at beginning of year	2023-12-31	$425,000
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2023-12-31	$344,239
Did the plan have assets held for investment	2023-12-31	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	2023-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2023-12-31	No
Opinion of an independent qualified public accountant for this plan	2023-12-31	Unqualified
Accountancy firm name	2023-12-31	RUDLER, PSC
Accountancy firm EIN	2023-12-31	311048275
2022 : TRI-STATE GASTROENTEROLOGY ASSOCIATES, P.S.C.401(K) PLAN 2022 401k financial data
Total income from all sources (including contributions)	2022-12-31	$-1,949,112
Total of all expenses incurred	2022-12-31	$8,048,686
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2022-12-31	$8,040,762
Expenses. Certain deemed distributions of participant loans	2022-12-31	$0
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2022-12-31	$882,673
Value of total assets at end of year	2022-12-31	$12,093,753
Value of total assets at beginning of year	2022-12-31	$22,091,551
Total of administrative expenses incurred including professional, contract, advisory and management fees	2022-12-31	$7,924
Total interest from all sources	2022-12-31	$13
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2022-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2022-12-31	$0
Was this plan covered by a fidelity bond	2022-12-31	Yes
Value of fidelity bond cover	2022-12-31	$500,000
If this is an individual account plan, was there a blackout period	2022-12-31	No
Were there any nonexempt tranactions with any party-in-interest	2022-12-31	No
Contributions received from participants	2022-12-31	$457,673
Participant contributions at end of year	2022-12-31	$0
Participant contributions at beginning of year	2022-12-31	$1,172
Participant contributions at end of year	2022-12-31	$0
Income. Received or receivable in cash from other sources (including rollovers)	2022-12-31	$0
Value of other receiveables (less allowance for doubtful accounts) at end of year	2022-12-31	$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	2022-12-31	No
Value of net income/loss	2022-12-31	$-9,997,798
Value of net assets at end of year (total assets less liabilities)	2022-12-31	$12,093,753
Value of net assets at beginning of year (total assets less liabilities)	2022-12-31	$22,091,551
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2022-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2022-12-31	No
Were any leases to which the plan was party in default or uncollectible	2022-12-31	No
Investment advisory and management fees	2022-12-31	$7,924
Value of interest in registered invesment companies (eg mutual funds) at end of year	2022-12-31	$11,230,255
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2022-12-31	$21,470,667
Interest on participant loans	2022-12-31	$13
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2022-12-31	$0
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2022-12-31	$438,498
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2022-12-31	$194,712
Expenses. Payments to insurance carriers foe the provision of benefits	2022-12-31	$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2022-12-31	$-2,831,798
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2022-12-31	No
Was there a failure to transmit to the plan any participant contributions	2022-12-31	No
Has the plan failed to provide any benefit when due under the plan	2022-12-31	No
Contributions received in cash from employer	2022-12-31	$425,000
Employer contributions (assets) at end of year	2022-12-31	$425,000
Employer contributions (assets) at beginning of year	2022-12-31	$425,000
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2022-12-31	$8,040,762
Did the plan have assets held for investment	2022-12-31	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	2022-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2022-12-31	No
Opinion of an independent qualified public accountant for this plan	2022-12-31	Unqualified
Accountancy firm name	2022-12-31	RUDLER, PSC
Accountancy firm EIN	2022-12-31	311048275
2021 : TRI-STATE GASTROENTEROLOGY ASSOCIATES, P.S.C.401(K) PLAN 2021 401k financial data
Total income from all sources (including contributions)	2021-12-31	$2,723,771
Total of all expenses incurred	2021-12-31	$1,080,438
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2021-12-31	$1,073,147
Expenses. Certain deemed distributions of participant loans	2021-12-31	$2,641
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2021-12-31	$877,143
Value of total assets at end of year	2021-12-31	$22,091,551
Value of total assets at beginning of year	2021-12-31	$20,448,218
Total of administrative expenses incurred including professional, contract, advisory and management fees	2021-12-31	$4,650
Total interest from all sources	2021-12-31	$219
Total dividends received (eg from common stock, registered investment company shares)	2021-12-31	$834
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2021-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2021-12-31	$834
Administrative expenses professional fees incurred	2021-12-31	$4,650
Was this plan covered by a fidelity bond	2021-12-31	Yes
Value of fidelity bond cover	2021-12-31	$500,000
If this is an individual account plan, was there a blackout period	2021-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2021-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2021-12-31	No
Contributions received from participants	2021-12-31	$449,368
Participant contributions at end of year	2021-12-31	$1,172
Participant contributions at beginning of year	2021-12-31	$4,351
Income. Received or receivable in cash from other sources (including rollovers)	2021-12-31	$2,775
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2021-12-31	No
Value of net income/loss	2021-12-31	$1,643,333
Value of net assets at end of year (total assets less liabilities)	2021-12-31	$22,091,551
Value of net assets at beginning of year (total assets less liabilities)	2021-12-31	$20,448,218
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2021-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2021-12-31	No
Were any leases to which the plan was party in default or uncollectible	2021-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2021-12-31	$21,470,667
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2021-12-31	$19,746,169
Interest on participant loans	2021-12-31	$219
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2021-12-31	$194,712
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2021-12-31	$267,647
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2021-12-31	$1,845,575
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2021-12-31	No
Was there a failure to transmit to the plan any participant contributions	2021-12-31	No
Has the plan failed to provide any benefit when due under the plan	2021-12-31	No
Contributions received in cash from employer	2021-12-31	$425,000
Employer contributions (assets) at end of year	2021-12-31	$425,000
Employer contributions (assets) at beginning of year	2021-12-31	$430,051
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2021-12-31	$1,073,147
Did the plan have assets held for investment	2021-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2021-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2021-12-31	No
Opinion of an independent qualified public accountant for this plan	2021-12-31	Unqualified
Accountancy firm name	2021-12-31	RUDLER, PSC
Accountancy firm EIN	2021-12-31	311048275
2020 : TRI-STATE GASTROENTEROLOGY ASSOCIATES, P.S.C.401(K) PLAN 2020 401k financial data
Total income from all sources (including contributions)	2020-12-31	$3,090,440
Total of all expenses incurred	2020-12-31	$582,032
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2020-12-31	$577,632
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2020-12-31	$872,483
Value of total assets at end of year	2020-12-31	$20,448,218
Value of total assets at beginning of year	2020-12-31	$17,939,810
Total of administrative expenses incurred including professional, contract, advisory and management fees	2020-12-31	$4,400
Total interest from all sources	2020-12-31	$159
Total dividends received (eg from common stock, registered investment company shares)	2020-12-31	$12,197
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2020-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2020-12-31	$12,197
Administrative expenses professional fees incurred	2020-12-31	$4,400
Was this plan covered by a fidelity bond	2020-12-31	Yes
Value of fidelity bond cover	2020-12-31	$500,000
If this is an individual account plan, was there a blackout period	2020-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2020-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2020-12-31	No
Contributions received from participants	2020-12-31	$442,432
Participant contributions at end of year	2020-12-31	$4,351
Participant contributions at beginning of year	2020-12-31	$3,952
Participant contributions at end of year	2020-12-31	$0
Participant contributions at beginning of year	2020-12-31	$120
Assets. Other investments not covered elsewhere at beginning of year	2020-12-31	$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	2020-12-31	No
Value of net income/loss	2020-12-31	$2,508,408
Value of net assets at end of year (total assets less liabilities)	2020-12-31	$20,448,218
Value of net assets at beginning of year (total assets less liabilities)	2020-12-31	$17,939,810
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2020-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2020-12-31	No
Were any leases to which the plan was party in default or uncollectible	2020-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2020-12-31	$19,746,169
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2020-12-31	$17,241,454
Interest on participant loans	2020-12-31	$159
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2020-12-31	$267,647
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2020-12-31	$294,284
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2020-12-31	$2,205,601
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2020-12-31	No
Was there a failure to transmit to the plan any participant contributions	2020-12-31	No
Has the plan failed to provide any benefit when due under the plan	2020-12-31	No
Contributions received in cash from employer	2020-12-31	$430,051
Employer contributions (assets) at end of year	2020-12-31	$430,051
Employer contributions (assets) at beginning of year	2020-12-31	$400,000
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2020-12-31	$577,632
Did the plan have assets held for investment	2020-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2020-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2020-12-31	No
Opinion of an independent qualified public accountant for this plan	2020-12-31	Unqualified
Accountancy firm name	2020-12-31	RUDLER, PSC
Accountancy firm EIN	2020-12-31	311048275
2019 : TRI-STATE GASTROENTEROLOGY ASSOCIATES, P.S.C.401(K) PLAN 2019 401k financial data
Total transfer of assets to this plan	2019-12-31	$8,990,675
Total income from all sources (including contributions)	2019-12-31	$2,264,941
Total of all expenses incurred	2019-12-31	$241,934
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2019-12-31	$241,534
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2019-12-31	$832,243
Value of total assets at end of year	2019-12-31	$17,939,810
Value of total assets at beginning of year	2019-12-31	$6,926,128
Total of administrative expenses incurred including professional, contract, advisory and management fees	2019-12-31	$400
Total interest from all sources	2019-12-31	$32
Total dividends received (eg from common stock, registered investment company shares)	2019-12-31	$6,238
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2019-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2019-12-31	$6,238
Administrative expenses professional fees incurred	2019-12-31	$400
Was this plan covered by a fidelity bond	2019-12-31	Yes
Value of fidelity bond cover	2019-12-31	$100,000
If this is an individual account plan, was there a blackout period	2019-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2019-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2019-12-31	No
Contributions received from participants	2019-12-31	$432,243
Participant contributions at end of year	2019-12-31	$3,952
Participant contributions at beginning of year	2019-12-31	$0
Participant contributions at end of year	2019-12-31	$120
Participant contributions at beginning of year	2019-12-31	$0
Assets. Other investments not covered elsewhere at end of year	2019-12-31	$0
Assets. Other investments not covered elsewhere at beginning of year	2019-12-31	$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2019-12-31	No
Value of net income/loss	2019-12-31	$2,023,007
Value of net assets at end of year (total assets less liabilities)	2019-12-31	$17,939,810
Value of net assets at beginning of year (total assets less liabilities)	2019-12-31	$6,926,128
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2019-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2019-12-31	No
Were any leases to which the plan was party in default or uncollectible	2019-12-31	No
Investment advisory and management fees	2019-12-31	$0
Value of interest in registered invesment companies (eg mutual funds) at end of year	2019-12-31	$17,241,454
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2019-12-31	$6,600,645
Interest on participant loans	2019-12-31	$32
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2019-12-31	$294,284
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2019-12-31	$131,181
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2019-12-31	$1,426,428
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2019-12-31	No
Was there a failure to transmit to the plan any participant contributions	2019-12-31	No
Has the plan failed to provide any benefit when due under the plan	2019-12-31	No
Contributions received in cash from employer	2019-12-31	$400,000
Employer contributions (assets) at end of year	2019-12-31	$400,000
Employer contributions (assets) at beginning of year	2019-12-31	$194,302
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2019-12-31	$241,534
Did the plan have assets held for investment	2019-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2019-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2019-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2019-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2019-12-31	Disclaimer
Accountancy firm name	2019-12-31	RUDLER, PSC
Accountancy firm EIN	2019-12-31	311048275

Form 5500 Responses for TRI-STATE GASTROENTEROLOGY ASSOCIATES, P.S.C.401(K) PLAN

2023: TRI-STATE GASTROENTEROLOGY ASSOCIATES, P.S.C.401(K) PLAN 2023 form 5500 responses
2023-01-01	Type of plan entity	Single employer plan
2023-01-01	Plan funding arrangement – Insurance	Yes
2023-01-01	Plan funding arrangement – Trust	Yes
2023-01-01	Plan benefit arrangement – Insurance	Yes
2023-01-01	Plan benefit arrangement - Trust	Yes
2022: TRI-STATE GASTROENTEROLOGY ASSOCIATES, P.S.C.401(K) PLAN 2022 form 5500 responses
2022-01-01	Type of plan entity	Single employer plan
2022-01-01	Plan funding arrangement – Insurance	Yes
2022-01-01	Plan funding arrangement – Trust	Yes
2022-01-01	Plan benefit arrangement – Insurance	Yes
2022-01-01	Plan benefit arrangement - Trust	Yes
2021: TRI-STATE GASTROENTEROLOGY ASSOCIATES, P.S.C.401(K) PLAN 2021 form 5500 responses
2021-01-01	Type of plan entity	Single employer plan
2021-01-01	Plan funding arrangement – Insurance	Yes
2021-01-01	Plan funding arrangement – Trust	Yes
2021-01-01	Plan benefit arrangement – Insurance	Yes
2021-01-01	Plan benefit arrangement - Trust	Yes
2020: TRI-STATE GASTROENTEROLOGY ASSOCIATES, P.S.C.401(K) PLAN 2020 form 5500 responses
2020-01-01	Type of plan entity	Single employer plan
2020-01-01	Submission has been amended	No
2020-01-01	This submission is the final filing	No
2020-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2020-01-01	Plan is a collectively bargained plan	No
2020-01-01	Plan funding arrangement – Insurance	Yes
2020-01-01	Plan funding arrangement – Trust	Yes
2020-01-01	Plan benefit arrangement – Insurance	Yes
2020-01-01	Plan benefit arrangement - Trust	Yes
2019: TRI-STATE GASTROENTEROLOGY ASSOCIATES, P.S.C.401(K) PLAN 2019 form 5500 responses
2019-01-01	Type of plan entity	Single employer plan
2019-01-01	Submission has been amended	No
2019-01-01	This submission is the final filing	No
2019-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2019-01-01	Plan is a collectively bargained plan	No
2019-01-01	Plan funding arrangement – Insurance	Yes
2019-01-01	Plan funding arrangement – Trust	Yes
2019-01-01	Plan benefit arrangement – Insurance	Yes
2019-01-01	Plan benefit arrangement - Trust	Yes

Insurance Providers Used on plan

VOYA RETIRIEMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 86509 )

Policy contract number

813311

Policy instance

Insurance contract or identification number	813311
Number of Individuals Covered	177
Insurance policy start date	2023-01-01
Insurance policy end date	2023-12-31
Total amount of commissions paid to insurance broker	USD $30,821
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

VOYA RETIRIEMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 86509 )

Policy contract number

813311

Policy instance

Insurance contract or identification number	813311
Number of Individuals Covered	148
Insurance policy start date	2022-01-01
Insurance policy end date	2022-12-31
Total amount of commissions paid to insurance broker	USD $45,115
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 $45,115
Insurance broker organization code?	3

VOYA RETIRIEMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 86509 )

Policy contract number

813311

Policy instance

Insurance contract or identification number	813311
Number of Individuals Covered	145
Insurance policy start date	2021-01-01
Insurance policy end date	2021-12-31
Total amount of commissions paid to insurance broker	USD $51,919
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 $51,919
Insurance broker organization code?	3

VOYA RETIRIEMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 86509 )

Policy contract number

813311

Policy instance

Insurance contract or identification number	813311
Number of Individuals Covered	130
Insurance policy start date	2020-01-01
Insurance policy end date	2020-12-31
Total amount of commissions paid to insurance broker	USD $43,681
Total amount of fees paid to insurance company	USD $0
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 $43,681
Additional information about fees paid to insurance broker	COMMISSIONS
Insurance broker organization code?	3

VOYA RETIRIEMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 86509 )

Policy contract number

813311

Policy instance

Insurance contract or identification number	813311
Number of Individuals Covered	117
Insurance policy start date	2019-01-01
Insurance policy end date	2019-12-31
Total amount of commissions paid to insurance broker	USD $20,683
Total amount of fees paid to insurance company	USD $0
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 $20,683
Amount paid for insurance broker fees	0
Insurance broker organization code?	3

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Company Name:	TRI-STATE GASTROENTEROLOGY ASSOCIATES, PSC
Employer identification number (EIN):	611192347
NAIC Classification:	621111
NAIC Description:	Offices of Physicians (except Mental Health Specialists)