401k Plan data: THE EDELMAN FINANCIAL GROUP INC., 401(K) PLAN plan

THE EDELMAN FINANCIAL GROUP INC., 401(K) PLAN 401k Plan overview

Plan Name	THE EDELMAN FINANCIAL GROUP INC., 401(K) PLAN
Plan identification number	001

THE EDELMAN FINANCIAL GROUP INC., 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.
Participant-directed brokerage accounts provided as an investment option under the plan.
Master plan - A pension plan that is made available by a sponsor for adoption by employers; that is the subject of a favorable opinion letter; and for which a single funding medium (for example, a trust or custodial account) is established for the joint use of all adopting employers.
Plan sponsor(s) is (are) a member(s) of a controlled group (Code sections 414(b), (c), or (m)).

401k Sponsoring company profile

THE EDELMAN FINANCIAL GROUP INC. has sponsored the creation of one or more 401k plans.

Company Name: THE EDELMAN FINANCIAL GROUP INC.

Employer identification number (EIN): 760583569

NAIC Classification: 523900

Form 5500 Filing Information

Submission information for form 5500 for 401k plan THE EDELMAN FINANCIAL GROUP INC., 401(K) PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2015-01-01 PAM BECKER
001 2015-01-01 PAM BECKER
001 2014-01-01 LESLEY ROBERTS
001 2013-01-01
001 2012-01-01 LESLEY ROBERTS
001 2011-01-01 HETAL PATEL
001 2010-01-01 KATHY GARCIA RICK BERRY 2011-07-12
001 2009-01-01 KATHY GARCIA
001 2009-01-01 KATHY GARCIA RICK BERRY 2010-07-13

Plan id#	Filing Submission Date	Name of Administrator	Name of Company Sponsor	Date Sponsor Signed
001	2015-01-01	PAM BECKER
001	2015-01-01	PAM BECKER
001	2014-01-01	LESLEY ROBERTS
001	2013-01-01
001	2012-01-01	LESLEY ROBERTS
001	2011-01-01	HETAL PATEL
001	2010-01-01	KATHY GARCIA	RICK BERRY	2011-07-12
001	2009-01-01	KATHY GARCIA
001	2009-01-01	KATHY GARCIA	RICK BERRY	2010-07-13

Plan Statistics for THE EDELMAN FINANCIAL GROUP INC., 401(K) PLAN

401k plan membership statisitcs for THE EDELMAN FINANCIAL GROUP INC., 401(K) PLAN

Measure Date Value
2015: THE EDELMAN FINANCIAL GROUP INC., 401(K) PLAN 2015 401k membership
Total participants, beginning-of-year 2015-01-01 647
Total number of active participants reported on line 7a of the Form 5500 2015-01-01 492
Number of retired or separated participants receiving benefits 2015-01-01 18
Number of other retired or separated participants entitled to future benefits 2015-01-01 176
Total of all active and inactive participants 2015-01-01 686
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2015-01-01 0
Total participants 2015-01-01 686
Number of participants with account balances 2015-01-01 678
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2015-01-01 48
2014: THE EDELMAN FINANCIAL GROUP INC., 401(K) PLAN 2014 401k membership
Total participants, beginning-of-year 2014-01-01 583
Total number of active participants reported on line 7a of the Form 5500 2014-01-01 532
Number of retired or separated participants receiving benefits 2014-01-01 9
Number of other retired or separated participants entitled to future benefits 2014-01-01 87
Total of all active and inactive participants 2014-01-01 628
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2014-01-01 0
Total participants 2014-01-01 628
Number of participants with account balances 2014-01-01 605
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2014-01-01 26
2013: THE EDELMAN FINANCIAL GROUP INC., 401(K) PLAN 2013 401k membership
Total participants, beginning-of-year 2013-01-01 546
Total number of active participants reported on line 7a of the Form 5500 2013-01-01 488
Number of retired or separated participants receiving benefits 2013-01-01 17
Number of other retired or separated participants entitled to future benefits 2013-01-01 64
Total of all active and inactive participants 2013-01-01 569
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2013-01-01 0
Total participants 2013-01-01 569
Number of participants with account balances 2013-01-01 546
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2013-01-01 22
2012: THE EDELMAN FINANCIAL GROUP INC., 401(K) PLAN 2012 401k membership
Total participants, beginning-of-year 2012-01-01 554
Total number of active participants reported on line 7a of the Form 5500 2012-01-01 440
Number of retired or separated participants receiving benefits 2012-01-01 4
Number of other retired or separated participants entitled to future benefits 2012-01-01 77
Total of all active and inactive participants 2012-01-01 521
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2012-01-01 0
Total participants 2012-01-01 521
Number of participants with account balances 2012-01-01 481
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2012-01-01 19
2011: THE EDELMAN FINANCIAL GROUP INC., 401(K) PLAN 2011 401k membership
Total participants, beginning-of-year 2011-01-01 455
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 501
Number of retired or separated participants receiving benefits 2011-01-01 5
Number of other retired or separated participants entitled to future benefits 2011-01-01 46
Total of all active and inactive participants 2011-01-01 552
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-01-01 0
Total participants 2011-01-01 552
Number of participants with account balances 2011-01-01 480
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-01-01 12
2010: THE EDELMAN FINANCIAL GROUP INC., 401(K) PLAN 2010 401k membership
Total participants, beginning-of-year 2010-01-01 475
Total number of active participants reported on line 7a of the Form 5500 2010-01-01 376
Number of retired or separated participants receiving benefits 2010-01-01 0
Number of other retired or separated participants entitled to future benefits 2010-01-01 79
Total of all active and inactive participants 2010-01-01 455
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2010-01-01 0
Total participants 2010-01-01 455
Number of participants with account balances 2010-01-01 245
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2010-01-01 24
2009: THE EDELMAN FINANCIAL GROUP INC., 401(K) PLAN 2009 401k membership
Total participants, beginning-of-year 2009-01-01 484
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 447
Number of retired or separated participants receiving benefits 2009-01-01 0
Number of other retired or separated participants entitled to future benefits 2009-01-01 48
Total of all active and inactive participants 2009-01-01 495
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-01-01 0
Total participants 2009-01-01 495
Number of participants with account balances 2009-01-01 281
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-01-01 6

Measure	Date	Value
2015: THE EDELMAN FINANCIAL GROUP INC., 401(K) PLAN 2015 401k membership
Total participants, beginning-of-year	2015-01-01	647
Total number of active participants reported on line 7a of the Form 5500	2015-01-01	492
Number of retired or separated participants receiving benefits	2015-01-01	18
Number of other retired or separated participants entitled to future benefits	2015-01-01	176
Total of all active and inactive participants	2015-01-01	686
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2015-01-01	0
Total participants	2015-01-01	686
Number of participants with account balances	2015-01-01	678
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2015-01-01	48
2014: THE EDELMAN FINANCIAL GROUP INC., 401(K) PLAN 2014 401k membership
Total participants, beginning-of-year	2014-01-01	583
Total number of active participants reported on line 7a of the Form 5500	2014-01-01	532
Number of retired or separated participants receiving benefits	2014-01-01	9
Number of other retired or separated participants entitled to future benefits	2014-01-01	87
Total of all active and inactive participants	2014-01-01	628
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2014-01-01	0
Total participants	2014-01-01	628
Number of participants with account balances	2014-01-01	605
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2014-01-01	26
2013: THE EDELMAN FINANCIAL GROUP INC., 401(K) PLAN 2013 401k membership
Total participants, beginning-of-year	2013-01-01	546
Total number of active participants reported on line 7a of the Form 5500	2013-01-01	488
Number of retired or separated participants receiving benefits	2013-01-01	17
Number of other retired or separated participants entitled to future benefits	2013-01-01	64
Total of all active and inactive participants	2013-01-01	569
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2013-01-01	0
Total participants	2013-01-01	569
Number of participants with account balances	2013-01-01	546
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2013-01-01	22
2012: THE EDELMAN FINANCIAL GROUP INC., 401(K) PLAN 2012 401k membership
Total participants, beginning-of-year	2012-01-01	554
Total number of active participants reported on line 7a of the Form 5500	2012-01-01	440
Number of retired or separated participants receiving benefits	2012-01-01	4
Number of other retired or separated participants entitled to future benefits	2012-01-01	77
Total of all active and inactive participants	2012-01-01	521
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2012-01-01	0
Total participants	2012-01-01	521
Number of participants with account balances	2012-01-01	481
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2012-01-01	19
2011: THE EDELMAN FINANCIAL GROUP INC., 401(K) PLAN 2011 401k membership
Total participants, beginning-of-year	2011-01-01	455
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	501
Number of retired or separated participants receiving benefits	2011-01-01	5
Number of other retired or separated participants entitled to future benefits	2011-01-01	46
Total of all active and inactive participants	2011-01-01	552
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-01-01	0
Total participants	2011-01-01	552
Number of participants with account balances	2011-01-01	480
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-01-01	12
2010: THE EDELMAN FINANCIAL GROUP INC., 401(K) PLAN 2010 401k membership
Total participants, beginning-of-year	2010-01-01	475
Total number of active participants reported on line 7a of the Form 5500	2010-01-01	376
Number of retired or separated participants receiving benefits	2010-01-01	0
Number of other retired or separated participants entitled to future benefits	2010-01-01	79
Total of all active and inactive participants	2010-01-01	455
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2010-01-01	0
Total participants	2010-01-01	455
Number of participants with account balances	2010-01-01	245
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2010-01-01	24
2009: THE EDELMAN FINANCIAL GROUP INC., 401(K) PLAN 2009 401k membership
Total participants, beginning-of-year	2009-01-01	484
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	447
Number of retired or separated participants receiving benefits	2009-01-01	0
Number of other retired or separated participants entitled to future benefits	2009-01-01	48
Total of all active and inactive participants	2009-01-01	495
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-01-01	0
Total participants	2009-01-01	495
Number of participants with account balances	2009-01-01	281
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-01-01	6

Financial Data on THE EDELMAN FINANCIAL GROUP INC., 401(K) PLAN

Measure	Date	Value
2015 : THE EDELMAN FINANCIAL GROUP INC., 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	$251,587
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2015-12-31	$7,524
Total income from all sources (including contributions)	2015-12-31	$8,285,330
Total loss/gain on sale of assets	2015-12-31	$0
Total of all expenses incurred	2015-12-31	$2,278,435
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2015-12-31	$2,121,901
Expenses. Certain deemed distributions of participant loans	2015-12-31	$23,944
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2015-12-31	$10,356,271
Value of total assets at end of year	2015-12-31	$75,781,738
Value of total assets at beginning of year	2015-12-31	$69,530,780
Total of administrative expenses incurred including professional, contract, advisory and management fees	2015-12-31	$132,590
Total interest from all sources	2015-12-31	$11,061
Total dividends received (eg from common stock, registered investment company shares)	2015-12-31	$1,391,777
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	$1,391,777
Was this plan covered by a fidelity bond	2015-12-31	Yes
Value of fidelity bond cover	2015-12-31	$3,000,000
If this is an individual account plan, was there a blackout period	2015-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2015-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2015-12-31	No
Contributions received from participants	2015-12-31	$5,988,254
Participant contributions at end of year	2015-12-31	$452,523
Participant contributions at beginning of year	2015-12-31	$204,542
Assets. Other investments not covered elsewhere at end of year	2015-12-31	$256,335
Assets. Other investments not covered elsewhere at beginning of year	2015-12-31	$484,925
Income. Received or receivable in cash from other sources (including rollovers)	2015-12-31	$2,529,432
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2015-12-31	$251,587
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2015-12-31	$7,524
Other income not declared elsewhere	2015-12-31	$-44,323
Administrative expenses (other) incurred	2015-12-31	$35,373
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	$6,006,895
Value of net assets at end of year (total assets less liabilities)	2015-12-31	$75,530,151
Value of net assets at beginning of year (total assets less liabilities)	2015-12-31	$69,523,256
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	$71,529,114
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2015-12-31	$65,781,058
Interest on participant loans	2015-12-31	$10,776
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2015-12-31	$3,414,028
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2015-12-31	$2,949,617
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2015-12-31	$2,949,617
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2015-12-31	$285
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2015-12-31	$-3,429,456
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	$1,838,585
Employer contributions (assets) at end of year	2015-12-31	$129,738
Employer contributions (assets) at beginning of year	2015-12-31	$110,638
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2015-12-31	$2,121,901
Contract administrator fees	2015-12-31	$97,217
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	CARON & BLETZER, PLLC
Accountancy firm EIN	2015-12-31	043499945
2014 : THE EDELMAN FINANCIAL GROUP INC., 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	$7,524
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	$11,993,405
Total loss/gain on sale of assets	2014-12-31	$0
Total of all expenses incurred	2014-12-31	$2,041,693
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2014-12-31	$1,917,369
Expenses. Certain deemed distributions of participant loans	2014-12-31	$19,169
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2014-12-31	$8,055,807
Value of total assets at end of year	2014-12-31	$69,530,779
Value of total assets at beginning of year	2014-12-31	$59,571,543
Total of administrative expenses incurred including professional, contract, advisory and management fees	2014-12-31	$105,155
Total interest from all sources	2014-12-31	$9,275
Total dividends received (eg from common stock, registered investment company shares)	2014-12-31	$1,194,086
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	$1,194,086
Was this plan covered by a fidelity bond	2014-12-31	Yes
Value of fidelity bond cover	2014-12-31	$3,000,000
If this is an individual account plan, was there a blackout period	2014-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2014-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2014-12-31	No
Contributions received from participants	2014-12-31	$5,149,036
Participant contributions at end of year	2014-12-31	$204,542
Participant contributions at beginning of year	2014-12-31	$210,036
Assets. Other investments not covered elsewhere at end of year	2014-12-31	$484,924
Assets. Other investments not covered elsewhere at beginning of year	2014-12-31	$725,522
Income. Received or receivable in cash from other sources (including rollovers)	2014-12-31	$1,304,646
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2014-12-31	$7,524
Other income not declared elsewhere	2014-12-31	$-213,531
Administrative expenses (other) incurred	2014-12-31	$23,825
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	$9,951,712
Value of net assets at end of year (total assets less liabilities)	2014-12-31	$69,523,255
Value of net assets at beginning of year (total assets less liabilities)	2014-12-31	$59,571,543
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	$65,781,058
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2014-12-31	$56,122,441
Interest on participant loans	2014-12-31	$9,032
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2014-12-31	$2,949,617
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2014-12-31	$2,317,774
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2014-12-31	$2,317,774
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2014-12-31	$243
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2014-12-31	$2,947,768
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	$1,602,125
Employer contributions (assets) at end of year	2014-12-31	$110,638
Employer contributions (assets) at beginning of year	2014-12-31	$195,770
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2014-12-31	$1,917,369
Contract administrator fees	2014-12-31	$81,330
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	CARON & BLETZER, PLLC
Accountancy firm EIN	2014-12-31	043499945
2013 : THE EDELMAN FINANCIAL GROUP INC., 401(K) PLAN 2013 401k financial data
Total unrealized appreciation/depreciation of assets	2013-12-31	$0
Total transfer of assets to this plan	2013-12-31	$4,156,360
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	$17,812,955
Total loss/gain on sale of assets	2013-12-31	$0
Total of all expenses incurred	2013-12-31	$6,512,723
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2013-12-31	$6,340,341
Expenses. Certain deemed distributions of participant loans	2013-12-31	$77,217
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2013-12-31	$7,434,521
Value of total assets at end of year	2013-12-31	$59,571,543
Value of total assets at beginning of year	2013-12-31	$44,114,951
Total of administrative expenses incurred including professional, contract, advisory and management fees	2013-12-31	$95,165
Total interest from all sources	2013-12-31	$8,366
Total dividends received (eg from common stock, registered investment company shares)	2013-12-31	$885,297
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	$885,297
Was this plan covered by a fidelity bond	2013-12-31	Yes
Value of fidelity bond cover	2013-12-31	$3,000,000
If this is an individual account plan, was there a blackout period	2013-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2013-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2013-12-31	No
Contributions received from participants	2013-12-31	$4,634,523
Participant contributions at end of year	2013-12-31	$210,036
Participant contributions at beginning of year	2013-12-31	$294,152
Assets. Other investments not covered elsewhere at end of year	2013-12-31	$725,522
Assets. Other investments not covered elsewhere at beginning of year	2013-12-31	$3,128,466
Income. Received or receivable in cash from other sources (including rollovers)	2013-12-31	$1,393,251
Other income not declared elsewhere	2013-12-31	$138,653
Administrative expenses (other) incurred	2013-12-31	$20,998
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	$11,300,232
Value of net assets at end of year (total assets less liabilities)	2013-12-31	$59,571,543
Value of net assets at beginning of year (total assets less liabilities)	2013-12-31	$44,114,951
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	$56,122,441
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2013-12-31	$38,778,153
Interest on participant loans	2013-12-31	$8,090
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2013-12-31	$2,317,774
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2013-12-31	$1,856,698
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2013-12-31	$1,856,698
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2013-12-31	$276
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2013-12-31	$9,346,118
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	$1,406,747
Employer contributions (assets) at end of year	2013-12-31	$195,770
Employer contributions (assets) at beginning of year	2013-12-31	$57,482
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2013-12-31	$6,340,341
Contract administrator fees	2013-12-31	$74,167
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	CARON & BLETZER, PLLC
Accountancy firm EIN	2013-12-31	043499945
2012 : THE EDELMAN FINANCIAL GROUP INC., 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	$10,732,918
Total loss/gain on sale of assets	2012-12-31	$0
Total of all expenses incurred	2012-12-31	$3,487,098
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2012-12-31	$3,385,646
Expenses. Certain deemed distributions of participant loans	2012-12-31	$13,186
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2012-12-31	$5,511,965
Value of total assets at end of year	2012-12-31	$44,114,951
Value of total assets at beginning of year	2012-12-31	$36,869,131
Total of administrative expenses incurred including professional, contract, advisory and management fees	2012-12-31	$88,266
Total interest from all sources	2012-12-31	$10,160
Total dividends received (eg from common stock, registered investment company shares)	2012-12-31	$746,768
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	$746,768
Administrative expenses professional fees incurred	2012-12-31	$56,859
Was this plan covered by a fidelity bond	2012-12-31	Yes
Value of fidelity bond cover	2012-12-31	$3,000,000
If this is an individual account plan, was there a blackout period	2012-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2012-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2012-12-31	No
Contributions received from participants	2012-12-31	$4,280,379
Participant contributions at end of year	2012-12-31	$294,152
Participant contributions at beginning of year	2012-12-31	$234,446
Assets. Other investments not covered elsewhere at end of year	2012-12-31	$3,128,466
Assets. Other investments not covered elsewhere at beginning of year	2012-12-31	$3,271,097
Income. Received or receivable in cash from other sources (including rollovers)	2012-12-31	$226,187
Administrative expenses (other) incurred	2012-12-31	$15,512
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	$7,245,820
Value of net assets at end of year (total assets less liabilities)	2012-12-31	$44,114,951
Value of net assets at beginning of year (total assets less liabilities)	2012-12-31	$36,869,131
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
Investment advisory and management fees	2012-12-31	$0
Value of interest in registered invesment companies (eg mutual funds) at end of year	2012-12-31	$38,778,153
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2012-12-31	$33,231,193
Interest on participant loans	2012-12-31	$9,881
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2012-12-31	$1,856,698
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2012-12-31	$0
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2012-12-31	$0
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2012-12-31	$279
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2012-12-31	$4,464,025
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
Assets. Invements in employer securities at beginning of year	2012-12-31	$0
Contributions received in cash from employer	2012-12-31	$1,005,399
Employer contributions (assets) at end of year	2012-12-31	$57,482
Employer contributions (assets) at beginning of year	2012-12-31	$132,395
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2012-12-31	$3,385,646
Contract administrator fees	2012-12-31	$15,895
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	CARON & BLETZER, PLLC
Accountancy firm EIN	2012-12-31	043499945
2011 : THE EDELMAN FINANCIAL GROUP INC., 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	$18,842,102
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	$5,164,592
Total loss/gain on sale of assets	2011-12-31	$0
Total of all expenses incurred	2011-12-31	$4,974,306
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2011-12-31	$4,718,763
Expenses. Certain deemed distributions of participant loans	2011-12-31	$217,125
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2011-12-31	$2,857,185
Value of total assets at end of year	2011-12-31	$36,869,131
Value of total assets at beginning of year	2011-12-31	$17,836,743
Total of administrative expenses incurred including professional, contract, advisory and management fees	2011-12-31	$38,418
Total interest from all sources	2011-12-31	$16,274
Total dividends received (eg from common stock, registered investment company shares)	2011-12-31	$297,015
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	$297,015
Administrative expenses professional fees incurred	2011-12-31	$15,000
Was this plan covered by a fidelity bond	2011-12-31	Yes
Value of fidelity bond cover	2011-12-31	$3,000,000
If this is an individual account plan, was there a blackout period	2011-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2011-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2011-12-31	No
Contributions received from participants	2011-12-31	$2,178,345
Participant contributions at end of year	2011-12-31	$234,446
Participant contributions at beginning of year	2011-12-31	$575,459
Assets. Other investments not covered elsewhere at end of year	2011-12-31	$3,271,097
Assets. Other investments not covered elsewhere at beginning of year	2011-12-31	$4,188,485
Income. Received or receivable in cash from other sources (including rollovers)	2011-12-31	$97,036
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)	2011-12-31	$240
Administrative expenses (other) incurred	2011-12-31	$1,426
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	$190,286
Value of net assets at end of year (total assets less liabilities)	2011-12-31	$36,869,131
Value of net assets at beginning of year (total assets less liabilities)	2011-12-31	$17,836,743
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	$33,231,193
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2011-12-31	$12,999,315
Interest on participant loans	2011-12-31	$16,274
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2011-12-31	$1,994,118
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
Assets. Invements in employer securities at end of year	2011-12-31	$0
Assets. Invements in employer securities at beginning of year	2011-12-31	$73,484
Contributions received in cash from employer	2011-12-31	$581,804
Employer contributions (assets) at end of year	2011-12-31	$132,395
Employer contributions (assets) at beginning of year	2011-12-31	$0
Income. Dividends from common stock	2011-12-31	$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2011-12-31	$4,718,523
Contract administrator fees	2011-12-31	$21,992
Did the plan have assets held for investment	2011-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2011-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2011-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2011-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2011-12-31	Disclaimer
Accountancy firm name	2011-12-31	CARON & BLETZER, PLLC
Accountancy firm EIN	2011-12-31	043499945
2010 : THE EDELMAN FINANCIAL GROUP INC., 401(K) PLAN 2010 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets	2010-12-31	$17,674
Total unrealized appreciation/depreciation of assets	2010-12-31	$17,674
Total transfer of assets from this plan	2010-12-31	$3,058,733
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2010-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2010-12-31	$21,630
Total income from all sources (including contributions)	2010-12-31	$4,416,458
Total loss/gain on sale of assets	2010-12-31	$952
Total of all expenses incurred	2010-12-31	$2,572,439
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2010-12-31	$2,526,001
Value of total corrective distributions	2010-12-31	$19,389
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2010-12-31	$1,958,117
Value of total assets at end of year	2010-12-31	$17,836,743
Value of total assets at beginning of year	2010-12-31	$19,073,087
Total of administrative expenses incurred including professional, contract, advisory and management fees	2010-12-31	$27,049
Total interest from all sources	2010-12-31	$28,652
Total dividends received (eg from common stock, registered investment company shares)	2010-12-31	$226,799
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2010-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2010-12-31	$224,798
Was this plan covered by a fidelity bond	2010-12-31	Yes
Value of fidelity bond cover	2010-12-31	$3,000,000
If this is an individual account plan, was there a blackout period	2010-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2010-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2010-12-31	No
Contributions received from participants	2010-12-31	$1,882,397
Participant contributions at end of year	2010-12-31	$575,459
Participant contributions at beginning of year	2010-12-31	$588,085
Assets. Other investments not covered elsewhere at end of year	2010-12-31	$4,188,485
Assets. Other investments not covered elsewhere at beginning of year	2010-12-31	$3,986,584
Income. Received or receivable in cash from other sources (including rollovers)	2010-12-31	$75,720
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2010-12-31	$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2010-12-31	$21,630
Other income not declared elsewhere	2010-12-31	$790,960
Administrative expenses (other) incurred	2010-12-31	$27,049
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2010-12-31	No
Value of net income/loss	2010-12-31	$1,844,019
Value of net assets at end of year (total assets less liabilities)	2010-12-31	$17,836,743
Value of net assets at beginning of year (total assets less liabilities)	2010-12-31	$19,051,457
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2010-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2010-12-31	No
Were any leases to which the plan was party in default or uncollectible	2010-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2010-12-31	$12,999,315
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2010-12-31	$14,432,256
Interest on participant loans	2010-12-31	$28,652
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2010-12-31	$1,393,304
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2010-12-31	No
Was there a failure to transmit to the plan any participant contributions	2010-12-31	No
Has the plan failed to provide any benefit when due under the plan	2010-12-31	No
Assets. Invements in employer securities at end of year	2010-12-31	$73,484
Assets. Invements in employer securities at beginning of year	2010-12-31	$66,162
Income. Dividends from common stock	2010-12-31	$2,001
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2010-12-31	$2,526,001
Did the plan have assets held for investment	2010-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2010-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2010-12-31	No
Aggregate proceeds on sale of assets	2010-12-31	$13,304
Aggregate carrying amount (costs) on sale of assets	2010-12-31	$12,352
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2010-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2010-12-31	Disclaimer
Accountancy firm name	2010-12-31	HAM, LANGSTON & BREZINA, LLP
Accountancy firm EIN	2010-12-31	760448495
2009 : THE EDELMAN FINANCIAL GROUP INC., 401(K) PLAN 2009 401k financial data
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2009-12-31	$0

Form 5500 Responses for THE EDELMAN FINANCIAL GROUP INC., 401(K) PLAN

2015: THE EDELMAN FINANCIAL GROUP INC., 401(K) PLAN 2015 form 5500 responses
2015-01-01	Type of plan entity	Mulitple 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: THE EDELMAN FINANCIAL GROUP INC., 401(K) PLAN 2014 form 5500 responses
2014-01-01	Type of plan entity	Mulitple 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: THE EDELMAN FINANCIAL GROUP INC., 401(K) PLAN 2013 form 5500 responses
2013-01-01	Type of plan entity	Mulitple 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: THE EDELMAN FINANCIAL GROUP INC., 401(K) PLAN 2012 form 5500 responses
2012-01-01	Type of plan entity	Mulitple 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: THE EDELMAN FINANCIAL GROUP INC., 401(K) PLAN 2011 form 5500 responses
2011-01-01	Type of plan entity	Mulitple employer plan
2011-01-01	Submission has been amended	No
2011-01-01	This submission is the final filing	No
2011-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2011-01-01	Plan is a collectively bargained plan	No
2011-01-01	Plan funding arrangement – Trust	Yes
2011-01-01	Plan benefit arrangement - Trust	Yes
2010: THE EDELMAN FINANCIAL GROUP INC., 401(K) PLAN 2010 form 5500 responses
2010-01-01	Type of plan entity	Single employer plan
2010-01-01	Submission has been amended	No
2010-01-01	This submission is the final filing	No
2010-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2010-01-01	Plan is a collectively bargained plan	No
2010-01-01	Plan funding arrangement – Trust	Yes
2010-01-01	Plan benefit arrangement - Trust	Yes
2009: THE EDELMAN FINANCIAL GROUP INC., 401(K) PLAN 2009 form 5500 responses
2009-01-01	Type of plan entity	Single employer plan
2009-01-01	Submission has been amended	No
2009-01-01	This submission is the final filing	No
2009-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2009-01-01	Plan is a collectively bargained plan	No
2009-01-01	Plan funding arrangement – Trust	Yes
2009-01-01	Plan benefit arrangement - Trust	Yes

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Company Name:	THE EDELMAN FINANCIAL GROUP INC.
Employer identification number (EIN):	760583569
NAIC Classification:	523900