401k Plan data: RICHARD J WALLACE 401(K) PROFIT SHARING PLAN & TRUST plan

RICHARD J WALLACE 401(K) PROFIT SHARING PLAN & TRUST 401k Plan overview

Plan Name	RICHARD J WALLACE 401(K) PROFIT SHARING PLAN & TRUST
Plan identification number	001

RICHARD J WALLACE 401(K) PROFIT SHARING PLAN & TRUST Benefits

401k Plan Type

Defined Contribution Pension

Plan Features/Benefits

Age/Service Weighted or new comparability or similar plan - Age/Service Weighted Plan: Allocations are based on age, service, or age and service. New comparability or similar plan: Allocations are based on participant classifications and a classification(s) consists entirely or predominantly of highly compensated employees; or the plan provides an additional allocation rate on compensation above a specified threshold, and the theshold or additional rate exceeds the maximum threshold or rate allowed under the permitted disparity rules of section 401(l).
Profit-sharing
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.
Participant-directed brokerage accounts provided as an investment option under the plan.
Total or partial participant-directed account plan - plan uses default investment account for participants who fail to direct assets in their account.
Master plan - A pension plan that is made available by a sponsor for adoption by employers; that is the subject of a favorable opinion letter; and for which a single funding medium (for example, a trust or custodial account) is established for the joint use of all adopting employers.

401k Sponsoring company profile

RICHARD J WALLACE has sponsored the creation of one or more 401k plans.

Company Name: RICHARD J WALLACE

Employer identification number (EIN): 840903441

NAIC Classification: 621210
NAIC Description: Offices of Dentists

Form 5500 Filing Information

Submission information for form 5500 for 401k plan RICHARD J WALLACE 401(K) PROFIT SHARING PLAN & TRUST

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2021-01-01 RICHARD J WALLACE 2021-11-27
001 2020-01-01 RICHARD J WALLACE 2021-03-01
001 2019-01-01 RICHARD J WALLACE 2020-02-29
001 2018-01-01 RICHARD J WALLACE 2019-10-01
001 2017-01-01 RICHARD J WALLACE 2018-10-12
001 2016-01-01 RICHARD J. WALLACE 2017-08-30
001 2015-01-01 RICHARD J. WALLACE 2016-07-06
001 2014-01-01 RICHARD J. WALLACE 2015-08-28
001 2013-01-01 RICHARD J. WALLACE
001 2012-01-01 RICHARD J WALLACE
001 2011-01-01 RICHARD J WALLACE
001 2010-01-01 RICHARD J WALLACE
001 2009-01-01 RICHARD J WALLACE

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed
001	2021-01-01	RICHARD J WALLACE	2021-11-27
001	2020-01-01	RICHARD J WALLACE	2021-03-01
001	2019-01-01	RICHARD J WALLACE	2020-02-29
001	2018-01-01	RICHARD J WALLACE	2019-10-01
001	2017-01-01	RICHARD J WALLACE	2018-10-12
001	2016-01-01	RICHARD J. WALLACE	2017-08-30
001	2015-01-01	RICHARD J. WALLACE	2016-07-06
001	2014-01-01	RICHARD J. WALLACE	2015-08-28
001	2013-01-01	RICHARD J. WALLACE
001	2012-01-01	RICHARD J WALLACE
001	2011-01-01	RICHARD J WALLACE
001	2010-01-01	RICHARD J WALLACE
001	2009-01-01	RICHARD J WALLACE

Plan Statistics for RICHARD J WALLACE 401(K) PROFIT SHARING PLAN & TRUST

401k plan membership statisitcs for RICHARD J WALLACE 401(K) PROFIT SHARING PLAN & TRUST

Measure Date Value
2013: RICHARD J WALLACE 401(K) PROFIT SHARING PLAN & TRUST 2013 401k membership
Total participants, beginning-of-year 2013-01-01 9
Total number of active participants reported on line 7a of the Form 5500 2013-01-01 8
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 1
Total of all active and inactive participants 2013-01-01 9
Total participants 2013-01-01 9
Number of participants with account balances 2013-01-01 9
2012: RICHARD J WALLACE 401(K) PROFIT SHARING PLAN & TRUST 2012 401k membership
Total participants, beginning-of-year 2012-01-01 10
Total number of active participants reported on line 7a of the Form 5500 2012-01-01 9
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 0
Total of all active and inactive participants 2012-01-01 9
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2012-01-01 0
Total participants 2012-01-01 9
Number of participants with account balances 2012-01-01 9
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2012-01-01 0
2011: RICHARD J WALLACE 401(K) PROFIT SHARING PLAN & TRUST 2011 401k membership
Total participants, beginning-of-year 2011-01-01 9
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 8
Number of retired or separated participants receiving benefits 2011-01-01 0
Number of other retired or separated participants entitled to future benefits 2011-01-01 1
Total of all active and inactive participants 2011-01-01 9
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-01-01 0
Total participants 2011-01-01 9
Number of participants with account balances 2011-01-01 9
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-01-01 0
2010: RICHARD J WALLACE 401(K) PROFIT SHARING PLAN & TRUST 2010 401k membership
Total participants, beginning-of-year 2010-01-01 9
Total number of active participants reported on line 7a of the Form 5500 2010-01-01 8
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 1
Total of all active and inactive participants 2010-01-01 9
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2010-01-01 0
Total participants 2010-01-01 9
Number of participants with account balances 2010-01-01 9
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2010-01-01 0
2009: RICHARD J WALLACE 401(K) PROFIT SHARING PLAN & TRUST 2009 401k membership
Total participants, beginning-of-year 2009-01-01 9
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 9
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 0
Total of all active and inactive participants 2009-01-01 9
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-01-01 0
Total participants 2009-01-01 9
Number of participants with account balances 2009-01-01 9
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-01-01 0

Measure	Date	Value
2013: RICHARD J WALLACE 401(K) PROFIT SHARING PLAN & TRUST 2013 401k membership
Total participants, beginning-of-year	2013-01-01	9
Total number of active participants reported on line 7a of the Form 5500	2013-01-01	8
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	1
Total of all active and inactive participants	2013-01-01	9
Total participants	2013-01-01	9
Number of participants with account balances	2013-01-01	9
2012: RICHARD J WALLACE 401(K) PROFIT SHARING PLAN & TRUST 2012 401k membership
Total participants, beginning-of-year	2012-01-01	10
Total number of active participants reported on line 7a of the Form 5500	2012-01-01	9
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	0
Total of all active and inactive participants	2012-01-01	9
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2012-01-01	0
Total participants	2012-01-01	9
Number of participants with account balances	2012-01-01	9
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2012-01-01	0
2011: RICHARD J WALLACE 401(K) PROFIT SHARING PLAN & TRUST 2011 401k membership
Total participants, beginning-of-year	2011-01-01	9
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	8
Number of retired or separated participants receiving benefits	2011-01-01	0
Number of other retired or separated participants entitled to future benefits	2011-01-01	1
Total of all active and inactive participants	2011-01-01	9
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-01-01	0
Total participants	2011-01-01	9
Number of participants with account balances	2011-01-01	9
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-01-01	0
2010: RICHARD J WALLACE 401(K) PROFIT SHARING PLAN & TRUST 2010 401k membership
Total participants, beginning-of-year	2010-01-01	9
Total number of active participants reported on line 7a of the Form 5500	2010-01-01	8
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	1
Total of all active and inactive participants	2010-01-01	9
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2010-01-01	0
Total participants	2010-01-01	9
Number of participants with account balances	2010-01-01	9
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2010-01-01	0
2009: RICHARD J WALLACE 401(K) PROFIT SHARING PLAN & TRUST 2009 401k membership
Total participants, beginning-of-year	2009-01-01	9
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	9
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	0
Total of all active and inactive participants	2009-01-01	9
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-01-01	0
Total participants	2009-01-01	9
Number of participants with account balances	2009-01-01	9
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-01-01	0

Financial Data on RICHARD J WALLACE 401(K) PROFIT SHARING PLAN & TRUST

Measure	Date	Value
2013 : RICHARD J WALLACE 401(K) PROFIT SHARING PLAN & TRUST 2013 401k financial data
Total plan liabilities at beginning of year	2013-12-31	$0
Total income from all sources	2013-12-31	$55,333
Expenses. Total of all expenses incurred	2013-12-31	$877
Total plan assets at end of year	2013-12-31	$423,705
Total plan assets at beginning of year	2013-12-31	$369,249
Total contributions received or receivable from participants	2013-12-31	$11,244
Other income received	2013-12-31	$25,651
Net income (gross income less expenses)	2013-12-31	$54,456
Net plan assets at end of year (total assets less liabilities)	2013-12-31	$423,705
Net plan assets at beginning of year (total assets less liabilities)	2013-12-31	$369,249
Assets. Value of participant loans	2013-12-31	$79,414
Total contributions received or receivable from employer(s)	2013-12-31	$18,438
Expenses. Administrative service providers (salaries,fees and commissions)	2013-12-31	$877
2012 : RICHARD J WALLACE 401(K) PROFIT SHARING PLAN & TRUST 2012 401k financial data
Transfers to/from the plan	2012-12-31	$0
Total plan liabilities at end of year	2012-12-31	$0
Total plan liabilities at beginning of year	2012-12-31	$0
Total income from all sources	2012-12-31	$64,153
Expenses. Total of all expenses incurred	2012-12-31	$2,335
Benefits paid (including direct rollovers)	2012-12-31	$2,270
Total plan assets at end of year	2012-12-31	$369,249
Total plan assets at beginning of year	2012-12-31	$307,431
Value of fidelity bond covering the plan	2012-12-31	$30,743
Total contributions received or receivable from participants	2012-12-31	$21,202
Expenses. Other expenses not covered elsewhere	2012-12-31	$0
Contributions received from other sources (not participants or employers)	2012-12-31	$0
Other income received	2012-12-31	$28,016
Net income (gross income less expenses)	2012-12-31	$61,818
Net plan assets at end of year (total assets less liabilities)	2012-12-31	$369,249
Net plan assets at beginning of year (total assets less liabilities)	2012-12-31	$307,431
Assets. Value of participant loans	2012-12-31	$60,077
Total contributions received or receivable from employer(s)	2012-12-31	$14,935
Value of certain deemed distributions of participant loans	2012-12-31	$0
Value of corrective distributions	2012-12-31	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2012-12-31	$65
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2012-12-31	$0
Funding deficiency by the employer to the plan for this plan year	2012-12-31	$0
Minimum employer required contribution for this plan year	2012-12-31	$0
Amount contributed by the employer to the plan for this plan year	2012-12-31	$0
2011 : RICHARD J WALLACE 401(K) PROFIT SHARING PLAN & TRUST 2011 401k financial data
Transfers to/from the plan	2011-12-31	$0
Total plan liabilities at end of year	2011-12-31	$0
Total plan liabilities at beginning of year	2011-12-31	$0
Total income from all sources	2011-12-31	$43,245
Expenses. Total of all expenses incurred	2011-12-31	$0
Benefits paid (including direct rollovers)	2011-12-31	$0
Total plan assets at end of year	2011-12-31	$307,431
Total plan assets at beginning of year	2011-12-31	$264,186
Value of fidelity bond covering the plan	2011-12-31	$26,419
Total contributions received or receivable from participants	2011-12-31	$24,419
Expenses. Other expenses not covered elsewhere	2011-12-31	$0
Contributions received from other sources (not participants or employers)	2011-12-31	$0
Other income received	2011-12-31	$4,012
Net income (gross income less expenses)	2011-12-31	$43,245
Net plan assets at end of year (total assets less liabilities)	2011-12-31	$307,431
Net plan assets at beginning of year (total assets less liabilities)	2011-12-31	$264,186
Assets. Value of participant loans	2011-12-31	$78,640
Total contributions received or receivable from employer(s)	2011-12-31	$14,814
Value of certain deemed distributions of participant loans	2011-12-31	$0
Value of corrective distributions	2011-12-31	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2011-12-31	$0
2010 : RICHARD J WALLACE 401(K) PROFIT SHARING PLAN & TRUST 2010 401k financial data
Transfers to/from the plan	2010-12-31	$0
Total plan liabilities at end of year	2010-12-31	$0
Total plan liabilities at beginning of year	2010-12-31	$0
Total income from all sources	2010-12-31	$113,394
Expenses. Total of all expenses incurred	2010-12-31	$0
Benefits paid (including direct rollovers)	2010-12-31	$0
Total plan assets at end of year	2010-12-31	$264,186
Total plan assets at beginning of year	2010-12-31	$150,792
Value of fidelity bond covering the plan	2010-12-31	$20,000
Total contributions received or receivable from participants	2010-12-31	$69,366
Expenses. Other expenses not covered elsewhere	2010-12-31	$0
Contributions received from other sources (not participants or employers)	2010-12-31	$0
Other income received	2010-12-31	$28,594
Net income (gross income less expenses)	2010-12-31	$113,394
Net plan assets at end of year (total assets less liabilities)	2010-12-31	$264,186
Net plan assets at beginning of year (total assets less liabilities)	2010-12-31	$150,792
Assets. Value of participant loans	2010-12-31	$0
Total contributions received or receivable from employer(s)	2010-12-31	$15,434
Value of certain deemed distributions of participant loans	2010-12-31	$0
Value of corrective distributions	2010-12-31	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2010-12-31	$0

Form 5500 Responses for RICHARD J WALLACE 401(K) PROFIT SHARING PLAN & TRUST

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

Insurance Providers Used on plan

TRANSAMERICA FINANCIAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 70688 )

Policy contract number

601326-000

Policy instance

Insurance contract or identification number	601326-000
Number of Individuals Covered	9
Insurance policy start date	2013-01-01
Insurance policy end date	2013-12-31
Total amount of commissions paid to insurance broker	USD $1,887
Are there contracts with unallocated funds for contracts of type guaranteed investment?	Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No
Commission paid to Insurance Broker	USD $1,887
Insurance broker organization code?	3
Insurance broker name	SEAN BYERS

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Company Name:	RICHARD J WALLACE
Employer identification number (EIN):	840903441
NAIC Classification:	621210
NAIC Description:	Offices of Dentists