401k Plan data: H.D. VEST 401(K) PLAN plan

H.D. VEST 401(K) PLAN 401k Plan overview

Plan Name	H.D. VEST 401(K) PLAN
Plan identification number	001

H.D. VEST 401(K) 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.
Plan provides for automatic enrollment in plan that has employee contributions deducted from payroll.
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) received services of leased employees, as defined in Code section 414(n), during the plan year.

401k Sponsoring company profile

H.D. VEST has sponsored the creation of one or more 401k plans.

Company Name: H.D. VEST

Employer identification number (EIN): 752154244

NAIC Classification: 523900

Form 5500 Filing Information

Submission information for form 5500 for 401k plan H.D. VEST 401(K) PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2017-01-01
001 2016-01-01 JOHN D PALMER JOHN D PALMER 2017-10-13
001 2015-01-01 MONIQUE REDMON
001 2014-01-01 MONIQUE REDMON
001 2013-01-01 TIM O'BRIEN TIM O'BRIEN 2014-10-07
001 2012-01-01 TIM OBRIEN
001 2011-10-04 TIM OBRIEN

Plan id#	Filing Submission Date	Name of Administrator	Name of Company Sponsor	Date Sponsor Signed
001	2017-01-01
001	2016-01-01	JOHN D PALMER	JOHN D PALMER	2017-10-13
001	2015-01-01	MONIQUE REDMON
001	2014-01-01	MONIQUE REDMON
001	2013-01-01	TIM O'BRIEN	TIM O'BRIEN	2014-10-07
001	2012-01-01	TIM OBRIEN
001	2011-10-04	TIM OBRIEN

Plan Statistics for H.D. VEST 401(K) PLAN

401k plan membership statisitcs for H.D. VEST 401(K) PLAN

Measure Date Value
2017: H.D. VEST 401(K) PLAN 2017 401k membership
Total participants, beginning-of-year 2017-01-01 335
Total number of active participants reported on line 7a of the Form 5500 2017-01-01 0
Number of retired or separated participants receiving benefits 2017-01-01 0
Number of other retired or separated participants entitled to future benefits 2017-01-01 0
Total of all active and inactive participants 2017-01-01 0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2017-01-01 0
Total participants 2017-01-01 0
Number of participants with account balances 2017-01-01 0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2017-01-01 0
2016: H.D. VEST 401(K) PLAN 2016 401k membership
Total participants, beginning-of-year 2016-01-01 341
Total number of active participants reported on line 7a of the Form 5500 2016-01-01 289
Number of retired or separated participants receiving benefits 2016-01-01 0
Number of other retired or separated participants entitled to future benefits 2016-01-01 46
Total of all active and inactive participants 2016-01-01 335
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2016-01-01 0
Total participants 2016-01-01 335
Number of participants with account balances 2016-01-01 330
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2016-01-01 0
2015: H.D. VEST 401(K) PLAN 2015 401k membership
Total participants, beginning-of-year 2015-01-01 357
Total number of active participants reported on line 7a of the Form 5500 2015-01-01 293
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 46
Total of all active and inactive participants 2015-01-01 339
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2015-01-01 0
Total participants 2015-01-01 339
Number of participants with account balances 2015-01-01 334
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2015-01-01 0
2014: H.D. VEST 401(K) PLAN 2014 401k membership
Total participants, beginning-of-year 2014-01-01 340
Total number of active participants reported on line 7a of the Form 5500 2014-01-01 313
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 37
Total of all active and inactive participants 2014-01-01 350
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2014-01-01 0
Total participants 2014-01-01 350
Number of participants with account balances 2014-01-01 343
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2014-01-01 0
2013: H.D. VEST 401(K) PLAN 2013 401k membership
Total participants, beginning-of-year 2013-01-01 332
Total number of active participants reported on line 7a of the Form 5500 2013-01-01 309
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 29
Total of all active and inactive participants 2013-01-01 338
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2013-01-01 0
Total participants 2013-01-01 338
Number of participants with account balances 2013-01-01 330
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2013-01-01 0
2012: H.D. VEST 401(K) PLAN 2012 401k membership
Total participants, beginning-of-year 2012-01-01 288
Total number of active participants reported on line 7a of the Form 5500 2012-01-01 299
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 29
Total of all active and inactive participants 2012-01-01 328
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2012-01-01 0
Total participants 2012-01-01 328
Number of participants with account balances 2012-01-01 318
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2012-01-01 0
2011: H.D. VEST 401(K) PLAN 2011 401k membership
Total participants, beginning-of-year 2011-10-04 280
Total number of active participants reported on line 7a of the Form 5500 2011-10-04 277
Number of retired or separated participants receiving benefits 2011-10-04 0
Number of other retired or separated participants entitled to future benefits 2011-10-04 3
Total of all active and inactive participants 2011-10-04 280
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-10-04 0
Total participants 2011-10-04 280
Number of participants with account balances 2011-10-04 265
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-10-04 0

Measure	Date	Value
2017: H.D. VEST 401(K) PLAN 2017 401k membership
Total participants, beginning-of-year	2017-01-01	335
Total number of active participants reported on line 7a of the Form 5500	2017-01-01	0
Number of retired or separated participants receiving benefits	2017-01-01	0
Number of other retired or separated participants entitled to future benefits	2017-01-01	0
Total of all active and inactive participants	2017-01-01	0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2017-01-01	0
Total participants	2017-01-01	0
Number of participants with account balances	2017-01-01	0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2017-01-01	0
2016: H.D. VEST 401(K) PLAN 2016 401k membership
Total participants, beginning-of-year	2016-01-01	341
Total number of active participants reported on line 7a of the Form 5500	2016-01-01	289
Number of retired or separated participants receiving benefits	2016-01-01	0
Number of other retired or separated participants entitled to future benefits	2016-01-01	46
Total of all active and inactive participants	2016-01-01	335
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2016-01-01	0
Total participants	2016-01-01	335
Number of participants with account balances	2016-01-01	330
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2016-01-01	0
2015: H.D. VEST 401(K) PLAN 2015 401k membership
Total participants, beginning-of-year	2015-01-01	357
Total number of active participants reported on line 7a of the Form 5500	2015-01-01	293
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	46
Total of all active and inactive participants	2015-01-01	339
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2015-01-01	0
Total participants	2015-01-01	339
Number of participants with account balances	2015-01-01	334
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2015-01-01	0
2014: H.D. VEST 401(K) PLAN 2014 401k membership
Total participants, beginning-of-year	2014-01-01	340
Total number of active participants reported on line 7a of the Form 5500	2014-01-01	313
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	37
Total of all active and inactive participants	2014-01-01	350
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2014-01-01	0
Total participants	2014-01-01	350
Number of participants with account balances	2014-01-01	343
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2014-01-01	0
2013: H.D. VEST 401(K) PLAN 2013 401k membership
Total participants, beginning-of-year	2013-01-01	332
Total number of active participants reported on line 7a of the Form 5500	2013-01-01	309
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	29
Total of all active and inactive participants	2013-01-01	338
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2013-01-01	0
Total participants	2013-01-01	338
Number of participants with account balances	2013-01-01	330
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2013-01-01	0
2012: H.D. VEST 401(K) PLAN 2012 401k membership
Total participants, beginning-of-year	2012-01-01	288
Total number of active participants reported on line 7a of the Form 5500	2012-01-01	299
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	29
Total of all active and inactive participants	2012-01-01	328
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2012-01-01	0
Total participants	2012-01-01	328
Number of participants with account balances	2012-01-01	318
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2012-01-01	0
2011: H.D. VEST 401(K) PLAN 2011 401k membership
Total participants, beginning-of-year	2011-10-04	280
Total number of active participants reported on line 7a of the Form 5500	2011-10-04	277
Number of retired or separated participants receiving benefits	2011-10-04	0
Number of other retired or separated participants entitled to future benefits	2011-10-04	3
Total of all active and inactive participants	2011-10-04	280
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-10-04	0
Total participants	2011-10-04	280
Number of participants with account balances	2011-10-04	265
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-10-04	0

Financial Data on H.D. VEST 401(K) PLAN

Measure	Date	Value
2017 : H.D. VEST 401(K) PLAN 2017 401k financial data
Total transfer of assets from this plan	2017-03-24	$22,709,815
Total income from all sources (including contributions)	2017-03-24	$1,269,204
Total of all expenses incurred	2017-03-24	$138,261
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2017-03-24	$138,051
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2017-03-24	$281,481
Value of total assets at end of year	2017-03-24	$0
Value of total assets at beginning of year	2017-03-24	$21,578,872
Total of administrative expenses incurred including professional, contract, advisory and management fees	2017-03-24	$210
Total interest from all sources	2017-03-24	$4,806
Total dividends received (eg from common stock, registered investment company shares)	2017-03-24	$4,103
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2017-03-24	Yes
Value of any plan assets that reverted to the employer resulting from resoluton to terminate the plan	2017-03-24	$0
Total dividends received from registered investment company shares (eg mutual funds)	2017-03-24	$4,103
Administrative expenses professional fees incurred	2017-03-24	$210
Was this plan covered by a fidelity bond	2017-03-24	Yes
Value of fidelity bond cover	2017-03-24	$500,000
If this is an individual account plan, was there a blackout period	2017-03-24	No
Aggregate amount of withdrawal liability assessed or estimated to be assessed against such withdrawn employers	2017-03-24	0
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2017-03-24	$0
Minimum employer required contribution for this plan year	2017-03-24	$0
Amount contributed by the employer to the plan for this plan year	2017-03-24	$0
Were there any nonexempt tranactions with any party-in-interest	2017-03-24	No
Contributions received from participants	2017-03-24	$181,980
Participant contributions at end of year	2017-03-24	$0
Participant contributions at beginning of year	2017-03-24	$1,088,244
Other income not declared elsewhere	2017-03-24	$-19
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2017-03-24	No
Value of net income/loss	2017-03-24	$1,130,943
Value of net assets at end of year (total assets less liabilities)	2017-03-24	$0
Value of net assets at beginning of year (total assets less liabilities)	2017-03-24	$21,578,872
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2017-03-24	No
Were any loans by the plan or fixed income obligations due to the plan in default	2017-03-24	No
Were any leases to which the plan was party in default or uncollectible	2017-03-24	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2017-03-24	$0
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2017-03-24	$19,835,696
Interest on participant loans	2017-03-24	$4,806
Value of interest in common/collective trusts at end of year	2017-03-24	$0
Value of interest in common/collective trusts at beginning of year	2017-03-24	$654,932
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2017-03-24	$977,104
Net investment gain or loss from common/collective trusts	2017-03-24	$1,729
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2017-03-24	No
Was there a failure to transmit to the plan any participant contributions	2017-03-24	No
Has the plan failed to provide any benefit when due under the plan	2017-03-24	No
Contributions received in cash from employer	2017-03-24	$99,501
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2017-03-24	$138,051
Did the plan have assets held for investment	2017-03-24	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	2017-03-24	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2017-03-24	Yes
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2017-03-24	Yes
Opinion of an independent qualified public accountant for this plan	2017-03-24	Disclaimer
Accountancy firm name	2017-03-24	MONTGOMERY COSCIA GREILICH LLP
Accountancy firm EIN	2017-03-24	752919818
2016 : H.D. VEST 401(K) PLAN 2016 401k financial data
Total unrealized appreciation/depreciation of assets	2016-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2016-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2016-12-31	$0
Total income from all sources (including contributions)	2016-12-31	$4,013,472
Total loss/gain on sale of assets	2016-12-31	$0
Total of all expenses incurred	2016-12-31	$1,516,099
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2016-12-31	$1,514,157
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2016-12-31	$2,410,028
Value of total assets at end of year	2016-12-31	$21,578,872
Value of total assets at beginning of year	2016-12-31	$19,081,499
Total of administrative expenses incurred including professional, contract, advisory and management fees	2016-12-31	$1,942
Total interest from all sources	2016-12-31	$36,822
Total dividends received (eg from common stock, registered investment company shares)	2016-12-31	$326,366
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2016-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2016-12-31	$326,366
Was this plan covered by a fidelity bond	2016-12-31	Yes
Value of fidelity bond cover	2016-12-31	$500,000
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	$1,463,782
Participant contributions at end of year	2016-12-31	$1,088,244
Participant contributions at beginning of year	2016-12-31	$988,567
Income. Received or receivable in cash from other sources (including rollovers)	2016-12-31	$185,440
Other income not declared elsewhere	2016-12-31	$167
Administrative expenses (other) incurred	2016-12-31	$1,942
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	$2,497,373
Value of net assets at end of year (total assets less liabilities)	2016-12-31	$21,578,872
Value of net assets at beginning of year (total assets less liabilities)	2016-12-31	$19,081,499
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 registered invesment companies (eg mutual funds) at end of year	2016-12-31	$19,835,696
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2016-12-31	$17,446,188
Interest on participant loans	2016-12-31	$36,822
Value of interest in common/collective trusts at end of year	2016-12-31	$654,932
Value of interest in common/collective trusts at beginning of year	2016-12-31	$646,744
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2016-12-31	$1,229,233
Net investment gain or loss from common/collective trusts	2016-12-31	$10,856
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	$760,806
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2016-12-31	$1,514,157
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	MONTGOMERY COSCIA GREILICH LLP
Accountancy firm EIN	2016-12-31	752919818
2015 : H.D. VEST 401(K) PLAN 2015 401k financial data
Total unrealized appreciation/depreciation of assets	2015-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2015-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2015-12-31	$0
Total income from all sources (including contributions)	2015-12-31	$2,078,079
Total loss/gain on sale of assets	2015-12-31	$0
Total of all expenses incurred	2015-12-31	$1,965,713
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2015-12-31	$1,962,753
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2015-12-31	$2,293,982
Value of total assets at end of year	2015-12-31	$19,081,499
Value of total assets at beginning of year	2015-12-31	$18,969,133
Total of administrative expenses incurred including professional, contract, advisory and management fees	2015-12-31	$2,960
Total interest from all sources	2015-12-31	$34,986
Total dividends received (eg from common stock, registered investment company shares)	2015-12-31	$335,090
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2015-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2015-12-31	$335,090
Was this plan covered by a fidelity bond	2015-12-31	Yes
Value of fidelity bond cover	2015-12-31	$500,000
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	$1,467,751
Participant contributions at end of year	2015-12-31	$988,567
Participant contributions at beginning of year	2015-12-31	$995,170
Income. Received or receivable in cash from other sources (including rollovers)	2015-12-31	$42,434
Other income not declared elsewhere	2015-12-31	$373
Administrative expenses (other) incurred	2015-12-31	$2,960
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	$112,366
Value of net assets at end of year (total assets less liabilities)	2015-12-31	$19,081,499
Value of net assets at beginning of year (total assets less liabilities)	2015-12-31	$18,969,133
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 registered invesment companies (eg mutual funds) at end of year	2015-12-31	$17,446,188
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2015-12-31	$17,039,404
Interest on participant loans	2015-12-31	$34,986
Value of interest in common/collective trusts at end of year	2015-12-31	$646,744
Value of interest in common/collective trusts at beginning of year	2015-12-31	$934,559
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2015-12-31	$-596,179
Net investment gain or loss from common/collective trusts	2015-12-31	$9,827
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	$783,797
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2015-12-31	$1,962,753
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	GRANT THORNTON
Accountancy firm EIN	2015-12-31	366055558
2014 : H.D. VEST 401(K) PLAN 2014 401k financial data
Total unrealized appreciation/depreciation of assets	2014-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2014-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2014-12-31	$0
Total income from all sources (including contributions)	2014-12-31	$3,378,422
Total loss/gain on sale of assets	2014-12-31	$0
Total of all expenses incurred	2014-12-31	$1,385,950
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2014-12-31	$1,383,672
Expenses. Certain deemed distributions of participant loans	2014-12-31	$-64
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2014-12-31	$2,274,786
Value of total assets at end of year	2014-12-31	$18,969,133
Value of total assets at beginning of year	2014-12-31	$16,976,661
Total of administrative expenses incurred including professional, contract, advisory and management fees	2014-12-31	$2,342
Total interest from all sources	2014-12-31	$35,931
Total dividends received (eg from common stock, registered investment company shares)	2014-12-31	$496,685
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2014-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2014-12-31	$496,685
Was this plan covered by a fidelity bond	2014-12-31	Yes
Value of fidelity bond cover	2014-12-31	$500,000
If this is an individual account plan, was there a blackout period	2014-12-31	Yes
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	$1,385,060
Participant contributions at end of year	2014-12-31	$995,170
Participant contributions at beginning of year	2014-12-31	$878,962
Income. Received or receivable in cash from other sources (including rollovers)	2014-12-31	$156,715
Other income not declared elsewhere	2014-12-31	$901
Administrative expenses (other) incurred	2014-12-31	$2,342
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	$1,992,472
Value of net assets at end of year (total assets less liabilities)	2014-12-31	$18,969,133
Value of net assets at beginning of year (total assets less liabilities)	2014-12-31	$16,976,661
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 registered invesment companies (eg mutual funds) at end of year	2014-12-31	$17,039,404
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2014-12-31	$15,813,634
Interest on participant loans	2014-12-31	$35,931
Value of interest in common/collective trusts at end of year	2014-12-31	$934,559
Value of interest in common/collective trusts at beginning of year	2014-12-31	$284,065
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2014-12-31	$563,467
Net investment gain or loss from common/collective trusts	2014-12-31	$6,652
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	$733,011
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2014-12-31	$1,383,672
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	2014-12-31	Yes
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	GRANT THORNTON
Accountancy firm EIN	2014-12-31	366055558
2013 : H.D. VEST 401(K) PLAN 2013 401k financial data
Total unrealized appreciation/depreciation of assets	2013-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2013-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2013-12-31	$0
Total income from all sources (including contributions)	2013-12-31	$4,842,278
Total loss/gain on sale of assets	2013-12-31	$0
Total of all expenses incurred	2013-12-31	$744,446
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2013-12-31	$742,618
Expenses. Certain deemed distributions of participant loans	2013-12-31	$64
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2013-12-31	$2,225,173
Value of total assets at end of year	2013-12-31	$16,976,661
Value of total assets at beginning of year	2013-12-31	$12,878,829
Total of administrative expenses incurred including professional, contract, advisory and management fees	2013-12-31	$1,764
Total interest from all sources	2013-12-31	$37,962
Total dividends received (eg from common stock, registered investment company shares)	2013-12-31	$398,385
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2013-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2013-12-31	$398,385
Was this plan covered by a fidelity bond	2013-12-31	Yes
Value of fidelity bond cover	2013-12-31	$500,000
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	$1,340,905
Participant contributions at end of year	2013-12-31	$878,962
Participant contributions at beginning of year	2013-12-31	$924,860
Income. Received or receivable in cash from other sources (including rollovers)	2013-12-31	$157,058
Other income not declared elsewhere	2013-12-31	$43
Administrative expenses (other) incurred	2013-12-31	$1,764
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	$4,097,832
Value of net assets at end of year (total assets less liabilities)	2013-12-31	$16,976,661
Value of net assets at beginning of year (total assets less liabilities)	2013-12-31	$12,878,829
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 registered invesment companies (eg mutual funds) at end of year	2013-12-31	$15,813,634
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2013-12-31	$11,694,351
Interest on participant loans	2013-12-31	$37,962
Value of interest in common/collective trusts at end of year	2013-12-31	$284,065
Value of interest in common/collective trusts at beginning of year	2013-12-31	$259,618
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2013-12-31	$2,175,927
Net investment gain or loss from common/collective trusts	2013-12-31	$4,788
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	$727,210
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2013-12-31	$742,618
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	2013-12-31	No
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	GRANT THORNTON
Accountancy firm EIN	2013-12-31	366055558
2012 : H.D. VEST 401(K) 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	$4,124,766
Total loss/gain on sale of assets	2012-12-31	$0
Total of all expenses incurred	2012-12-31	$380,452
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2012-12-31	$376,951
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2012-12-31	$2,809,709
Value of total assets at end of year	2012-12-31	$12,878,829
Value of total assets at beginning of year	2012-12-31	$9,134,515
Total of administrative expenses incurred including professional, contract, advisory and management fees	2012-12-31	$3,501
Total interest from all sources	2012-12-31	$51,201
Total dividends received (eg from common stock, registered investment company shares)	2012-12-31	$263,463
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2012-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2012-12-31	$263,463
Was this plan covered by a fidelity bond	2012-12-31	Yes
Value of fidelity bond cover	2012-12-31	$500,000
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	$1,318,612
Participant contributions at end of year	2012-12-31	$924,860
Participant contributions at beginning of year	2012-12-31	$997,274
Income. Received or receivable in cash from other sources (including rollovers)	2012-12-31	$755,093
Other income not declared elsewhere	2012-12-31	$68
Administrative expenses (other) incurred	2012-12-31	$3,501
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	$3,744,314
Value of net assets at end of year (total assets less liabilities)	2012-12-31	$12,878,829
Value of net assets at beginning of year (total assets less liabilities)	2012-12-31	$9,134,515
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 registered invesment companies (eg mutual funds) at end of year	2012-12-31	$11,694,351
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2012-12-31	$7,988,559
Interest on participant loans	2012-12-31	$51,201
Value of interest in common/collective trusts at end of year	2012-12-31	$259,618
Value of interest in common/collective trusts at beginning of year	2012-12-31	$148,682
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2012-12-31	$996,340
Net investment gain or loss from common/collective trusts	2012-12-31	$3,985
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	$736,004
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2012-12-31	$376,951
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	KPMG
Accountancy firm EIN	2012-12-31	135565207
2011 : H.D. VEST 401(K) PLAN 2011 401k financial data
Total unrealized appreciation/depreciation of assets	2011-12-31	$0
Total transfer of assets to this plan	2011-12-31	$8,800,053
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	$381,026
Total loss/gain on sale of assets	2011-12-31	$0
Total of all expenses incurred	2011-12-31	$46,564
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2011-12-31	$46,459
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2011-12-31	$314,366
Value of total assets at end of year	2011-12-31	$9,134,515
Value of total assets at beginning of year	2011-12-31	$0
Total of administrative expenses incurred including professional, contract, advisory and management fees	2011-12-31	$105
Total interest from all sources	2011-12-31	$11,147
Total dividends received (eg from common stock, registered investment company shares)	2011-12-31	$144,621
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2011-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2011-12-31	$144,621
Was this plan covered by a fidelity bond	2011-12-31	Yes
Value of fidelity bond cover	2011-12-31	$500,000
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	$197,610
Participant contributions at end of year	2011-12-31	$997,274
Administrative expenses (other) incurred	2011-12-31	$105
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	$334,462
Value of net assets at end of year (total assets less liabilities)	2011-12-31	$9,134,515
Value of net assets at beginning of year (total assets less liabilities)	2011-12-31	$0
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 registered invesment companies (eg mutual funds) at end of year	2011-12-31	$7,988,559
Interest on participant loans	2011-12-31	$11,147
Value of interest in common/collective trusts at end of year	2011-12-31	$148,682
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2011-12-31	$-89,711
Net investment gain or loss from common/collective trusts	2011-12-31	$603
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	$116,756
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2011-12-31	$46,459
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

Form 5500 Responses for H.D. VEST 401(K) PLAN

2017: H.D. VEST 401(K) PLAN 2017 form 5500 responses
2017-01-01	Type of plan entity	Single employer plan
2017-01-01	This submission is the final filing	Yes
2017-01-01	This return/report is a short plan year return/report (less than 12 months)	Yes
2017-01-01	Plan funding arrangement – Trust	Yes
2017-01-01	Plan benefit arrangement - Trust	Yes
2016: H.D. VEST 401(K) PLAN 2016 form 5500 responses
2016-01-01	Type of plan entity	Single employer plan
2016-01-01	Submission has been amended	No
2016-01-01	This submission is the final filing	No
2016-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2016-01-01	Plan is a collectively bargained plan	No
2016-01-01	Plan funding arrangement – Trust	Yes
2016-01-01	Plan benefit arrangement - Trust	Yes
2015: H.D. VEST 401(K) PLAN 2015 form 5500 responses
2015-01-01	Type of plan entity	Single employer plan
2015-01-01	Submission has been amended	No
2015-01-01	This submission is the final filing	No
2015-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2015-01-01	Plan is a collectively bargained plan	No
2015-01-01	Plan funding arrangement – Trust	Yes
2015-01-01	Plan benefit arrangement - Trust	Yes
2014: H.D. VEST 401(K) PLAN 2014 form 5500 responses
2014-01-01	Type of plan entity	Single employer plan
2014-01-01	Submission has been amended	No
2014-01-01	This submission is the final filing	No
2014-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2014-01-01	Plan is a collectively bargained plan	No
2014-01-01	Plan funding arrangement – Trust	Yes
2014-01-01	Plan benefit arrangement - Trust	Yes
2013: H.D. VEST 401(K) 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: H.D. VEST 401(K) 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: H.D. VEST 401(K) PLAN 2011 form 5500 responses
2011-10-04	Type of plan entity	Single employer plan
2011-10-04	First time form 5500 has been submitted	Yes
2011-10-04	Submission has been amended	No
2011-10-04	This submission is the final filing	No
2011-10-04	This return/report is a short plan year return/report (less than 12 months)	Yes
2011-10-04	Plan is a collectively bargained plan	No
2011-10-04	Plan funding arrangement – Trust	Yes
2011-10-04	Plan benefit arrangement - Trust	Yes

Potentially related plans

Was this data useful?

If you found the data here useful, PLEASE HELP US. We are a start-up and believe in making information freely available. By linking to us, posting on twitter, facebook and linkedin about us and generally spreading the word, you'll help us to grow. Our vision is to provide high quality data about the activities of all the companies in the world and where possible make it free to use and view. Finding and integrating data from thousands of data sources is time consuming and needs lots of effort. By simply spreading the word about us, you will help us. Please use the share buttons. It will only take a few seconds of your time. Thanks for helping

Information Disclaimer

The information provided on this website is not advice, endorsement or recommendation
The information published is supplied by third parties so we make no warranty on the accuracy, completeness etc. This information is provided "as-is". The information is subject to change as we obtain updates and corrections from the primary information sources.
You are free to use the information for your own personal research on the understanding to do so is at your own risk.

See full terms and conditions

Company Name:	H.D. VEST
Employer identification number (EIN):	752154244
NAIC Classification:	523900