401k Plan data: WAKEFIELD AND ASSOCIATES, INC. TAX FAVORED SAVINGS PLAN plan

WAKEFIELD AND ASSOCIATES, INC. TAX FAVORED SAVINGS PLAN 401k Plan overview

Plan Name	WAKEFIELD AND ASSOCIATES, INC. TAX FAVORED SAVINGS PLAN
Plan identification number	001

WAKEFIELD AND ASSOCIATES, INC. TAX FAVORED SAVINGS PLAN Benefits

401k Plan Type

Defined Contribution Pension

Plan Features/Benefits

Profit-sharing
ERISA section 404(c) Plan - This plan, or any part of it is intended to meet the conditions of 29 CFR 2550.404c-1.
Total participant-directed account plan - Participants have the opportunity to direct the investment of all the assets allocated to their individual accounts, regardless of whether 29 CFR 2550.404c-1 is intended to be met.
Code section 401(k) feature - A cash or deferred arrangement described in Code section 401(k) that is part of a qualified defined contribution plan that provides for an election by employees to defer part of their compensation or receive these amounts in cash.
Code section 401(m) arrangement - Employee contributions are allocated to separate accounts under the plan or employer contributions are based, in whole or in part, on employee deferrals or contribtions to the plan. Not applicable if plan is 401(k) plan with only QNECs and/or QMACs. Also not applicable if Code section 403(b)(1), 403(b)(7) or 408 arrangements/accounts/annuities.
Total or partial participant-directed account plan - plan uses default investment account for participants who fail to direct assets in their account.
Master plan - A pension plan that is made available by a sponsor for adoption by employers; that is the subject of a favorable opinion letter; and for which a single funding medium (for example, a trust or custodial account) is established for the joint use of all adopting employers.

401k Sponsoring company profile

WAKEFIELD & ASSOCIATES, LLC has sponsored the creation of one or more 401k plans.

Company Name: WAKEFIELD & ASSOCIATES, LLC

Employer identification number (EIN): 841023982

NAIC Classification: 523900

Additional information about WAKEFIELD & ASSOCIATES, LLC

Jurisdiction of Incorporation: California Department of State

Incorporation Date: 2008-10-01

Company Identification Number: C3163664

Legal Registered Office Address: 5149 Molakini Ct

Fair Oaks
United States of America (USA)
95628

More information about WAKEFIELD & ASSOCIATES, LLC

Form 5500 Filing Information

Submission information for form 5500 for 401k plan WAKEFIELD AND ASSOCIATES, INC. TAX FAVORED SAVINGS PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2022-01-01
001 2021-01-01
001 2020-01-01
001 2019-01-01
001 2018-01-01
001 2017-01-01 ROBERT C. MCREYNOLDS

Plan Statistics for WAKEFIELD AND ASSOCIATES, INC. TAX FAVORED SAVINGS PLAN

401k plan membership statisitcs for WAKEFIELD AND ASSOCIATES, INC. TAX FAVORED SAVINGS PLAN

Measure Date Value
2022: WAKEFIELD AND ASSOCIATES, INC. TAX FAVORED SAVINGS PLAN 2022 401k membership
Total participants, beginning-of-year 2022-01-01 651
Total number of active participants reported on line 7a of the Form 5500 2022-01-01 478
Number of retired or separated participants receiving benefits 2022-01-01 5
Number of other retired or separated participants entitled to future benefits 2022-01-01 149
Total of all active and inactive participants 2022-01-01 632
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2022-01-01 0
Total participants 2022-01-01 632
Number of participants with account balances 2022-01-01 491
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2022-01-01 0
2021: WAKEFIELD AND ASSOCIATES, INC. TAX FAVORED SAVINGS PLAN 2021 401k membership
Total participants, beginning-of-year 2021-01-01 545
Total number of active participants reported on line 7a of the Form 5500 2021-01-01 475
Number of retired or separated participants receiving benefits 2021-01-01 2
Number of other retired or separated participants entitled to future benefits 2021-01-01 156
Total of all active and inactive participants 2021-01-01 633
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2021-01-01 0
Total participants 2021-01-01 633
Number of participants with account balances 2021-01-01 477
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2021-01-01 0
2020: WAKEFIELD AND ASSOCIATES, INC. TAX FAVORED SAVINGS PLAN 2020 401k membership
Total participants, beginning-of-year 2020-01-01 706
Total number of active participants reported on line 7a of the Form 5500 2020-01-01 527
Number of retired or separated participants receiving benefits 2020-01-01 1
Number of other retired or separated participants entitled to future benefits 2020-01-01 86
Total of all active and inactive participants 2020-01-01 614
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2020-01-01 1
Total participants 2020-01-01 615
Number of participants with account balances 2020-01-01 481
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2020-01-01 14
2019: WAKEFIELD AND ASSOCIATES, INC. TAX FAVORED SAVINGS PLAN 2019 401k membership
Total participants, beginning-of-year 2019-01-01 410
Total number of active participants reported on line 7a of the Form 5500 2019-01-01 490
Number of retired or separated participants receiving benefits 2019-01-01 1
Number of other retired or separated participants entitled to future benefits 2019-01-01 92
Total of all active and inactive participants 2019-01-01 583
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2019-01-01 0
Total participants 2019-01-01 583
Number of participants with account balances 2019-01-01 446
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2019-01-01 23
2018: WAKEFIELD AND ASSOCIATES, INC. TAX FAVORED SAVINGS PLAN 2018 401k membership
Total participants, beginning-of-year 2018-01-01 296
Total number of active participants reported on line 7a of the Form 5500 2018-01-01 259
Number of retired or separated participants receiving benefits 2018-01-01 2
Number of other retired or separated participants entitled to future benefits 2018-01-01 67
Total of all active and inactive participants 2018-01-01 328
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2018-01-01 0
Total participants 2018-01-01 328
Number of participants with account balances 2018-01-01 328
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2018-01-01 16
2017: WAKEFIELD AND ASSOCIATES, INC. TAX FAVORED SAVINGS PLAN 2017 401k membership
Total participants, beginning-of-year 2017-01-01 305
Total number of active participants reported on line 7a of the Form 5500 2017-01-01 272
Number of retired or separated participants receiving benefits 2017-01-01 2
Number of other retired or separated participants entitled to future benefits 2017-01-01 22
Total of all active and inactive participants 2017-01-01 296
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2017-01-01 0
Total participants 2017-01-01 296
Number of participants with account balances 2017-01-01 296
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2017-01-01 7

Measure	Date	Value
2022: WAKEFIELD AND ASSOCIATES, INC. TAX FAVORED SAVINGS PLAN 2022 401k membership
Total participants, beginning-of-year	2022-01-01	651
Total number of active participants reported on line 7a of the Form 5500	2022-01-01	478
Number of retired or separated participants receiving benefits	2022-01-01	5
Number of other retired or separated participants entitled to future benefits	2022-01-01	149
Total of all active and inactive participants	2022-01-01	632
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2022-01-01	0
Total participants	2022-01-01	632
Number of participants with account balances	2022-01-01	491
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2022-01-01	0
2021: WAKEFIELD AND ASSOCIATES, INC. TAX FAVORED SAVINGS PLAN 2021 401k membership
Total participants, beginning-of-year	2021-01-01	545
Total number of active participants reported on line 7a of the Form 5500	2021-01-01	475
Number of retired or separated participants receiving benefits	2021-01-01	2
Number of other retired or separated participants entitled to future benefits	2021-01-01	156
Total of all active and inactive participants	2021-01-01	633
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2021-01-01	0
Total participants	2021-01-01	633
Number of participants with account balances	2021-01-01	477
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2021-01-01	0
2020: WAKEFIELD AND ASSOCIATES, INC. TAX FAVORED SAVINGS PLAN 2020 401k membership
Total participants, beginning-of-year	2020-01-01	706
Total number of active participants reported on line 7a of the Form 5500	2020-01-01	527
Number of retired or separated participants receiving benefits	2020-01-01	1
Number of other retired or separated participants entitled to future benefits	2020-01-01	86
Total of all active and inactive participants	2020-01-01	614
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2020-01-01	1
Total participants	2020-01-01	615
Number of participants with account balances	2020-01-01	481
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2020-01-01	14
2019: WAKEFIELD AND ASSOCIATES, INC. TAX FAVORED SAVINGS PLAN 2019 401k membership
Total participants, beginning-of-year	2019-01-01	410
Total number of active participants reported on line 7a of the Form 5500	2019-01-01	490
Number of retired or separated participants receiving benefits	2019-01-01	1
Number of other retired or separated participants entitled to future benefits	2019-01-01	92
Total of all active and inactive participants	2019-01-01	583
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2019-01-01	0
Total participants	2019-01-01	583
Number of participants with account balances	2019-01-01	446
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2019-01-01	23
2018: WAKEFIELD AND ASSOCIATES, INC. TAX FAVORED SAVINGS PLAN 2018 401k membership
Total participants, beginning-of-year	2018-01-01	296
Total number of active participants reported on line 7a of the Form 5500	2018-01-01	259
Number of retired or separated participants receiving benefits	2018-01-01	2
Number of other retired or separated participants entitled to future benefits	2018-01-01	67
Total of all active and inactive participants	2018-01-01	328
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2018-01-01	0
Total participants	2018-01-01	328
Number of participants with account balances	2018-01-01	328
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2018-01-01	16
2017: WAKEFIELD AND ASSOCIATES, INC. TAX FAVORED SAVINGS PLAN 2017 401k membership
Total participants, beginning-of-year	2017-01-01	305
Total number of active participants reported on line 7a of the Form 5500	2017-01-01	272
Number of retired or separated participants receiving benefits	2017-01-01	2
Number of other retired or separated participants entitled to future benefits	2017-01-01	22
Total of all active and inactive participants	2017-01-01	296
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2017-01-01	0
Total participants	2017-01-01	296
Number of participants with account balances	2017-01-01	296
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2017-01-01	7

Financial Data on WAKEFIELD AND ASSOCIATES, INC. TAX FAVORED SAVINGS PLAN

Measure	Date	Value
2022 : WAKEFIELD AND ASSOCIATES, INC. TAX FAVORED SAVINGS PLAN 2022 401k financial data
Total unrealized appreciation/depreciation of assets	2022-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2022-12-31	$50,495
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2022-12-31	$0
Total income from all sources (including contributions)	2022-12-31	$-724,619
Total loss/gain on sale of assets	2022-12-31	$0
Total of all expenses incurred	2022-12-31	$1,387,875
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2022-12-31	$1,320,335
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2022-12-31	$1,295,425
Value of total assets at end of year	2022-12-31	$10,660,486
Value of total assets at beginning of year	2022-12-31	$12,722,485
Total of administrative expenses incurred including professional, contract, advisory and management fees	2022-12-31	$67,540
Total interest from all sources	2022-12-31	$23,835
Total dividends received (eg from common stock, registered investment company shares)	2022-12-31	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2022-12-31	No
Was this plan covered by a fidelity bond	2022-12-31	Yes
Value of fidelity bond cover	2022-12-31	$500,000
If this is an individual account plan, was there a blackout period	2022-12-31	No
Were there any nonexempt tranactions with any party-in-interest	2022-12-31	No
Contributions received from participants	2022-12-31	$1,073,758
Participant contributions at end of year	2022-12-31	$385,911
Participant contributions at beginning of year	2022-12-31	$411,634
Participant contributions at end of year	2022-12-31	$20
Participant contributions at beginning of year	2022-12-31	$40,186
Income. Received or receivable in cash from other sources (including rollovers)	2022-12-31	$9,475
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2022-12-31	$50,495
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2022-12-31	$0
Other income not declared elsewhere	2022-12-31	$355
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2022-12-31	No
Value of net income/loss	2022-12-31	$-2,112,494
Value of net assets at end of year (total assets less liabilities)	2022-12-31	$10,609,991
Value of net assets at beginning of year (total assets less liabilities)	2022-12-31	$12,722,485
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2022-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2022-12-31	No
Were any leases to which the plan was party in default or uncollectible	2022-12-31	No
Value of interest in pooled separate accounts at end of year	2022-12-31	$9,925,092
Value of interest in pooled separate accounts at beginning of year	2022-12-31	$11,844,703
Interest on participant loans	2022-12-31	$16,314
Interest earned on other investments	2022-12-31	$7,521
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2022-12-31	$349,457
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2022-12-31	$416,273
Net investment gain/loss from pooled separate accounts	2022-12-31	$-2,044,234
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2022-12-31	No
Was there a failure to transmit to the plan any participant contributions	2022-12-31	No
Has the plan failed to provide any benefit when due under the plan	2022-12-31	No
Contributions received in cash from employer	2022-12-31	$212,192
Employer contributions (assets) at end of year	2022-12-31	$6
Employer contributions (assets) at beginning of year	2022-12-31	$9,689
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2022-12-31	$1,320,335
Contract administrator fees	2022-12-31	$67,540
Did the plan have assets held for investment	2022-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2022-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2022-12-31	No
Opinion of an independent qualified public accountant for this plan	2022-12-31	Unqualified
Accountancy firm name	2022-12-31	COULTER & JUSTUS
Accountancy firm EIN	2022-12-31	621874769
2021 : WAKEFIELD AND ASSOCIATES, INC. TAX FAVORED SAVINGS PLAN 2021 401k financial data
Total unrealized appreciation/depreciation of assets	2021-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2021-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2021-12-31	$0
Total income from all sources (including contributions)	2021-12-31	$2,786,684
Total loss/gain on sale of assets	2021-12-31	$0
Total of all expenses incurred	2021-12-31	$983,904
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2021-12-31	$923,708
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2021-12-31	$1,423,726
Value of total assets at end of year	2021-12-31	$12,722,485
Value of total assets at beginning of year	2021-12-31	$10,919,705
Total of administrative expenses incurred including professional, contract, advisory and management fees	2021-12-31	$60,196
Total interest from all sources	2021-12-31	$50,547
Total dividends received (eg from common stock, registered investment company shares)	2021-12-31	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2021-12-31	No
Was this plan covered by a fidelity bond	2021-12-31	Yes
Value of fidelity bond cover	2021-12-31	$500,000
If this is an individual account plan, was there a blackout period	2021-12-31	Yes
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2021-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2021-12-31	No
Contributions received from participants	2021-12-31	$1,148,140
Participant contributions at end of year	2021-12-31	$411,634
Participant contributions at beginning of year	2021-12-31	$381,842
Participant contributions at end of year	2021-12-31	$40,186
Participant contributions at beginning of year	2021-12-31	$42,024
Value of other receiveables (less allowance for doubtful accounts) at end of year	2021-12-31	$0
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2021-12-31	$1,556
Total non interest bearing cash at end of year	2021-12-31	$0
Total non interest bearing cash at beginning of year	2021-12-31	$125
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2021-12-31	No
Value of net income/loss	2021-12-31	$1,802,780
Value of net assets at end of year (total assets less liabilities)	2021-12-31	$12,722,485
Value of net assets at beginning of year (total assets less liabilities)	2021-12-31	$10,919,705
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2021-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2021-12-31	No
Were any leases to which the plan was party in default or uncollectible	2021-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2021-12-31	$0
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2021-12-31	$9,261,010
Value of interest in pooled separate accounts at end of year	2021-12-31	$11,844,703
Value of interest in pooled separate accounts at beginning of year	2021-12-31	$0
Interest on participant loans	2021-12-31	$15,769
Interest earned on other investments	2021-12-31	$22,331
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2021-12-31	$0
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2021-12-31	$21,819
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2021-12-31	$21,819
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2021-12-31	$12,447
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2021-12-31	$416,273
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2021-12-31	$1,201,036
Net investment gain/loss from pooled separate accounts	2021-12-31	$1,312,411
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2021-12-31	No
Was there a failure to transmit to the plan any participant contributions	2021-12-31	No
Has the plan failed to provide any benefit when due under the plan	2021-12-31	No
Contributions received in cash from employer	2021-12-31	$275,586
Employer contributions (assets) at end of year	2021-12-31	$9,689
Employer contributions (assets) at beginning of year	2021-12-31	$10,293
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2021-12-31	$923,708
Contract administrator fees	2021-12-31	$60,196
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	2021-12-31	Yes
Did the plan have assets held for investment	2021-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2021-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2021-12-31	No
Opinion of an independent qualified public accountant for this plan	2021-12-31	Disclaimer
Accountancy firm name	2021-12-31	PYA, P.C.
Accountancy firm EIN	2021-12-31	621517792
2020 : WAKEFIELD AND ASSOCIATES, INC. TAX FAVORED SAVINGS PLAN 2020 401k financial data
Total income from all sources (including contributions)	2020-12-31	$3,021,674
Total of all expenses incurred	2020-12-31	$4,037,385
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2020-12-31	$3,967,781
Expenses. Certain deemed distributions of participant loans	2020-12-31	$7,460
Value of total corrective distributions	2020-12-31	$19,533
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2020-12-31	$1,476,206
Value of total assets at end of year	2020-12-31	$10,919,705
Value of total assets at beginning of year	2020-12-31	$11,935,416
Total of administrative expenses incurred including professional, contract, advisory and management fees	2020-12-31	$42,611
Total interest from all sources	2020-12-31	$49,131
Total dividends received (eg from common stock, registered investment company shares)	2020-12-31	$128,477
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2020-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2020-12-31	$128,477
Administrative expenses professional fees incurred	2020-12-31	$10,000
Was this plan covered by a fidelity bond	2020-12-31	Yes
Value of fidelity bond cover	2020-12-31	$500,000
If this is an individual account plan, was there a blackout period	2020-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2020-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2020-12-31	No
Contributions received from participants	2020-12-31	$1,134,229
Participant contributions at end of year	2020-12-31	$381,842
Participant contributions at beginning of year	2020-12-31	$453,123
Participant contributions at end of year	2020-12-31	$42,024
Participant contributions at beginning of year	2020-12-31	$170,431
Income. Received or receivable in cash from other sources (including rollovers)	2020-12-31	$138,320
Value of other receiveables (less allowance for doubtful accounts) at end of year	2020-12-31	$1,556
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2020-12-31	$3,817
Administrative expenses (other) incurred	2020-12-31	$32,611
Total non interest bearing cash at end of year	2020-12-31	$125
Total non interest bearing cash at beginning of year	2020-12-31	$125
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2020-12-31	No
Value of net income/loss	2020-12-31	$-1,015,711
Value of net assets at end of year (total assets less liabilities)	2020-12-31	$10,919,705
Value of net assets at beginning of year (total assets less liabilities)	2020-12-31	$11,935,416
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2020-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2020-12-31	No
Were any leases to which the plan was party in default or uncollectible	2020-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2020-12-31	$9,261,010
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2020-12-31	$8,140,197
Interest on participant loans	2020-12-31	$20,329
Interest earned on other investments	2020-12-31	$28,786
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2020-12-31	$21,819
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2020-12-31	$16,158
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2020-12-31	$16,158
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2020-12-31	$16
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2020-12-31	$1,201,036
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2020-12-31	$3,106,111
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2020-12-31	$1,367,860
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2020-12-31	No
Was there a failure to transmit to the plan any participant contributions	2020-12-31	Yes
Has the plan failed to provide any benefit when due under the plan	2020-12-31	No
Contributions received in cash from employer	2020-12-31	$203,657
Employer contributions (assets) at end of year	2020-12-31	$10,293
Employer contributions (assets) at beginning of year	2020-12-31	$45,454
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2020-12-31	$3,967,781
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	2020-12-31	No
Did the plan have assets held for investment	2020-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2020-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2020-12-31	No
Opinion of an independent qualified public accountant for this plan	2020-12-31	Disclaimer
Accountancy firm name	2020-12-31	PYA, P. C.
Accountancy firm EIN	2020-12-31	621517792
2019 : WAKEFIELD AND ASSOCIATES, INC. TAX FAVORED SAVINGS PLAN 2019 401k financial data
Total transfer of assets to this plan	2019-12-31	$20,971
Total income from all sources (including contributions)	2019-12-31	$3,141,640
Total of all expenses incurred	2019-12-31	$557,289
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2019-12-31	$523,260
Expenses. Certain deemed distributions of participant loans	2019-12-31	$1,060
Value of total corrective distributions	2019-12-31	$3,202
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2019-12-31	$1,532,708
Value of total assets at end of year	2019-12-31	$11,935,416
Value of total assets at beginning of year	2019-12-31	$9,330,094
Total of administrative expenses incurred including professional, contract, advisory and management fees	2019-12-31	$29,767
Total interest from all sources	2019-12-31	$67,511
Total dividends received (eg from common stock, registered investment company shares)	2019-12-31	$142,759
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2019-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2019-12-31	$142,759
Was this plan covered by a fidelity bond	2019-12-31	Yes
Value of fidelity bond cover	2019-12-31	$500,000
If this is an individual account plan, was there a blackout period	2019-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2019-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2019-12-31	No
Contributions received from participants	2019-12-31	$994,948
Participant contributions at end of year	2019-12-31	$453,123
Participant contributions at beginning of year	2019-12-31	$349,956
Participant contributions at end of year	2019-12-31	$170,431
Participant contributions at beginning of year	2019-12-31	$34,349
Income. Received or receivable in cash from other sources (including rollovers)	2019-12-31	$276,087
Value of other receiveables (less allowance for doubtful accounts) at end of year	2019-12-31	$3,817
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2019-12-31	$863
Administrative expenses (other) incurred	2019-12-31	$29,767
Total non interest bearing cash at end of year	2019-12-31	$125
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2019-12-31	No
Value of net income/loss	2019-12-31	$2,584,351
Value of net assets at end of year (total assets less liabilities)	2019-12-31	$11,935,416
Value of net assets at beginning of year (total assets less liabilities)	2019-12-31	$9,330,094
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2019-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2019-12-31	No
Were any leases to which the plan was party in default or uncollectible	2019-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2019-12-31	$8,140,197
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2019-12-31	$6,030,757
Interest on participant loans	2019-12-31	$19,976
Interest earned on other investments	2019-12-31	$47,483
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2019-12-31	$16,158
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2019-12-31	$5,476
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2019-12-31	$5,476
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2019-12-31	$52
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2019-12-31	$3,106,111
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2019-12-31	$2,899,553
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2019-12-31	$1,398,662
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2019-12-31	No
Was there a failure to transmit to the plan any participant contributions	2019-12-31	No
Has the plan failed to provide any benefit when due under the plan	2019-12-31	No
Contributions received in cash from employer	2019-12-31	$261,673
Employer contributions (assets) at end of year	2019-12-31	$45,454
Employer contributions (assets) at beginning of year	2019-12-31	$9,140
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2019-12-31	$523,260
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	2019-12-31	No
Did the plan have assets held for investment	2019-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2019-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2019-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2019-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2019-12-31	Disclaimer
Accountancy firm name	2019-12-31	PYA, P.C.
Accountancy firm EIN	2019-12-31	621517792
2018 : WAKEFIELD AND ASSOCIATES, INC. TAX FAVORED SAVINGS PLAN 2018 401k financial data
Total transfer of assets to this plan	2018-12-31	$472
Total income from all sources (including contributions)	2018-12-31	$1,089,525
Total of all expenses incurred	2018-12-31	$316,666
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2018-12-31	$275,946
Value of total corrective distributions	2018-12-31	$4,072
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2018-12-31	$1,361,674
Value of total assets at end of year	2018-12-31	$9,330,094
Value of total assets at beginning of year	2018-12-31	$8,556,763
Total of administrative expenses incurred including professional, contract, advisory and management fees	2018-12-31	$36,648
Total interest from all sources	2018-12-31	$51,702
Total dividends received (eg from common stock, registered investment company shares)	2018-12-31	$120,923
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2018-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2018-12-31	$120,923
Administrative expenses professional fees incurred	2018-12-31	$10,400
Was this plan covered by a fidelity bond	2018-12-31	Yes
Value of fidelity bond cover	2018-12-31	$500,000
If this is an individual account plan, was there a blackout period	2018-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2018-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2018-12-31	No
Contributions received from participants	2018-12-31	$775,249
Participant contributions at end of year	2018-12-31	$349,956
Participant contributions at beginning of year	2018-12-31	$321,734
Participant contributions at end of year	2018-12-31	$34,349
Participant contributions at beginning of year	2018-12-31	$28,746
Income. Received or receivable in cash from other sources (including rollovers)	2018-12-31	$385,816
Value of other receiveables (less allowance for doubtful accounts) at end of year	2018-12-31	$863
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2018-12-31	$525
Administrative expenses (other) incurred	2018-12-31	$25,702
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2018-12-31	No
Value of net income/loss	2018-12-31	$772,859
Value of net assets at end of year (total assets less liabilities)	2018-12-31	$9,330,094
Value of net assets at beginning of year (total assets less liabilities)	2018-12-31	$8,556,763
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2018-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2018-12-31	No
Were any leases to which the plan was party in default or uncollectible	2018-12-31	No
Investment advisory and management fees	2018-12-31	$546
Value of interest in registered invesment companies (eg mutual funds) at end of year	2018-12-31	$6,030,757
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2018-12-31	$5,505,514
Interest on participant loans	2018-12-31	$14,942
Interest earned on other investments	2018-12-31	$36,732
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2018-12-31	$5,476
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2018-12-31	$5,265
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2018-12-31	$5,265
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2018-12-31	$28
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2018-12-31	$2,899,553
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2018-12-31	$2,687,432
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2018-12-31	$-444,774
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2018-12-31	No
Was there a failure to transmit to the plan any participant contributions	2018-12-31	No
Has the plan failed to provide any benefit when due under the plan	2018-12-31	No
Contributions received in cash from employer	2018-12-31	$200,609
Employer contributions (assets) at end of year	2018-12-31	$9,140
Employer contributions (assets) at beginning of year	2018-12-31	$7,547
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2018-12-31	$275,946
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	2018-12-31	No
Did the plan have assets held for investment	2018-12-31	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	2018-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2018-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2018-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2018-12-31	Disclaimer
Accountancy firm name	2018-12-31	PYA, P.C.
Accountancy firm EIN	2018-12-31	621517792
2017 : WAKEFIELD AND ASSOCIATES, INC. TAX FAVORED SAVINGS PLAN 2017 401k financial data
Total income from all sources (including contributions)	2017-12-31	$1,756,336
Total of all expenses incurred	2017-12-31	$380,341
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2017-12-31	$345,880
Expenses. Certain deemed distributions of participant loans	2017-12-31	$1,973
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2017-12-31	$840,346
Value of total assets at end of year	2017-12-31	$8,556,763
Value of total assets at beginning of year	2017-12-31	$7,180,768
Total of administrative expenses incurred including professional, contract, advisory and management fees	2017-12-31	$32,488
Total interest from all sources	2017-12-31	$43,944
Total dividends received (eg from common stock, registered investment company shares)	2017-12-31	$103,321
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2017-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2017-12-31	$103,321
Administrative expenses professional fees incurred	2017-12-31	$10,400
Was this plan covered by a fidelity bond	2017-12-31	Yes
Value of fidelity bond cover	2017-12-31	$500,000
If this is an individual account plan, was there a blackout period	2017-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2017-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2017-12-31	No
Contributions received from participants	2017-12-31	$657,738
Participant contributions at end of year	2017-12-31	$321,734
Participant contributions at beginning of year	2017-12-31	$280,229
Participant contributions at end of year	2017-12-31	$28,746
Participant contributions at beginning of year	2017-12-31	$25,032
Income. Received or receivable in cash from other sources (including rollovers)	2017-12-31	$5,748
Value of other receiveables (less allowance for doubtful accounts) at end of year	2017-12-31	$525
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2017-12-31	$412
Administrative expenses (other) incurred	2017-12-31	$20,615
Total non interest bearing cash at beginning of year	2017-12-31	$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2017-12-31	No
Value of net income/loss	2017-12-31	$1,375,995
Value of net assets at end of year (total assets less liabilities)	2017-12-31	$8,556,763
Value of net assets at beginning of year (total assets less liabilities)	2017-12-31	$7,180,768
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2017-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2017-12-31	No
Were any leases to which the plan was party in default or uncollectible	2017-12-31	No
Investment advisory and management fees	2017-12-31	$1,473
Value of interest in registered invesment companies (eg mutual funds) at end of year	2017-12-31	$5,505,514
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2017-12-31	$4,281,617
Interest on participant loans	2017-12-31	$13,347
Interest earned on other investments	2017-12-31	$30,586
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2017-12-31	$5,265
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2017-12-31	$15,519
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2017-12-31	$15,519
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2017-12-31	$11
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2017-12-31	$2,687,432
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2017-12-31	$2,570,947
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2017-12-31	$768,725
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2017-12-31	No
Was there a failure to transmit to the plan any participant contributions	2017-12-31	No
Has the plan failed to provide any benefit when due under the plan	2017-12-31	No
Contributions received in cash from employer	2017-12-31	$176,860
Employer contributions (assets) at end of year	2017-12-31	$7,547
Employer contributions (assets) at beginning of year	2017-12-31	$7,012
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2017-12-31	$345,880
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	2017-12-31	No
Did the plan have assets held for investment	2017-12-31	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	2017-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2017-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2017-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2017-12-31	Disclaimer
Accountancy firm name	2017-12-31	BKD, LLP
Accountancy firm EIN	2017-12-31	440160260

Form 5500 Responses for WAKEFIELD AND ASSOCIATES, INC. TAX FAVORED SAVINGS PLAN

2022: WAKEFIELD AND ASSOCIATES, INC. TAX FAVORED SAVINGS PLAN 2022 form 5500 responses
2022-01-01	Type of plan entity	Single employer plan
2022-01-01	Submission has been amended	No
2022-01-01	This submission is the final filing	No
2022-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2022-01-01	Plan is a collectively bargained plan	No
2022-01-01	Plan funding arrangement – Insurance	Yes
2022-01-01	Plan funding arrangement – Trust	Yes
2022-01-01	Plan benefit arrangement – Insurance	Yes
2022-01-01	Plan benefit arrangement - Trust	Yes
2021: WAKEFIELD AND ASSOCIATES, INC. TAX FAVORED SAVINGS PLAN 2021 form 5500 responses
2021-01-01	Type of plan entity	Single employer plan
2021-01-01	Submission has been amended	No
2021-01-01	This submission is the final filing	No
2021-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2021-01-01	Plan is a collectively bargained plan	No
2021-01-01	Plan funding arrangement – Insurance	Yes
2021-01-01	Plan funding arrangement – Trust	Yes
2021-01-01	Plan benefit arrangement – Insurance	Yes
2021-01-01	Plan benefit arrangement - Trust	Yes
2020: WAKEFIELD AND ASSOCIATES, INC. TAX FAVORED SAVINGS PLAN 2020 form 5500 responses
2020-01-01	Type of plan entity	Single employer plan
2020-01-01	Plan funding arrangement – Insurance	Yes
2020-01-01	Plan funding arrangement – Trust	Yes
2020-01-01	Plan benefit arrangement – Insurance	Yes
2020-01-01	Plan benefit arrangement - Trust	Yes
2019: WAKEFIELD AND ASSOCIATES, INC. TAX FAVORED SAVINGS PLAN 2019 form 5500 responses
2019-01-01	Type of plan entity	Single employer plan
2019-01-01	Plan funding arrangement – Insurance	Yes
2019-01-01	Plan funding arrangement – Trust	Yes
2019-01-01	Plan benefit arrangement – Insurance	Yes
2019-01-01	Plan benefit arrangement - Trust	Yes
2018: WAKEFIELD AND ASSOCIATES, INC. TAX FAVORED SAVINGS PLAN 2018 form 5500 responses
2018-01-01	Type of plan entity	Single employer plan
2018-01-01	Plan funding arrangement – Insurance	Yes
2018-01-01	Plan funding arrangement – Trust	Yes
2018-01-01	Plan benefit arrangement – Insurance	Yes
2018-01-01	Plan benefit arrangement - Trust	Yes
2017: WAKEFIELD AND ASSOCIATES, INC. TAX FAVORED SAVINGS PLAN 2017 form 5500 responses
2017-01-01	Type of plan entity	Single employer plan
2017-01-01	Plan funding arrangement – Insurance	Yes
2017-01-01	Plan funding arrangement – Trust	Yes
2017-01-01	Plan benefit arrangement – Insurance	Yes
2017-01-01	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

932534-00395

Policy instance

Insurance contract or identification number	932534-00395
Number of Individuals Covered	632
Insurance policy start date	2022-01-01
Insurance policy end date	2022-12-31
Are there contracts with allocated funds for individual policies?	0
Are there contracts with allocated funds for group deferred annuity?	No
Are there contracts with allocated funds for types other than group deferred annuity or individual?	No
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Contracts With Unallocated Funds Deposit Administration	0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?	No
Are there contracts with unallocated funds for contracts of type guaranteed investment?	No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	Yes
Health Insurance Welfare Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
Were dividends or retroactive rate refunds paid in cash?	No
Were dividends or retroactive rate refunds paid as a credit?	No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No

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

Policy contract number

932534-00395

Policy instance

Insurance contract or identification number	932534-00395
Number of Individuals Covered	477
Insurance policy start date	2021-06-23
Insurance policy end date	2021-12-31
Are there contracts with allocated funds for individual policies?	0
Are there contracts with allocated funds for group deferred annuity?	No
Are there contracts with allocated funds for types other than group deferred annuity or individual?	No
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Contracts With Unallocated Funds Deposit Administration	0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?	No
Are there contracts with unallocated funds for contracts of type guaranteed investment?	No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	Yes
Health Insurance Welfare Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
Were dividends or retroactive rate refunds paid in cash?	No
Were dividends or retroactive rate refunds paid as a credit?	No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No

TRANSAMERICA LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 86231 )

Policy contract number

YK51296

Policy instance

Insurance contract or identification number	YK51296
Number of Individuals Covered	0
Insurance policy start date	2021-01-01
Insurance policy end date	2021-07-29
Are there contracts with allocated funds for individual policies?	0
Are there contracts with allocated funds for group deferred annuity?	No
Are there contracts with allocated funds for types other than group deferred annuity or individual?	No
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Contracts With Unallocated Funds Deposit Administration	0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?	No
Are there contracts with unallocated funds for contracts of type guaranteed investment?	Yes
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	No
Health Insurance Welfare Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
Were dividends or retroactive rate refunds paid in cash?	No
Were dividends or retroactive rate refunds paid as a credit?	No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No

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

Policy contract number

YK51296

Policy instance

Insurance contract or identification number	YK51296
Number of Individuals Covered	481
Insurance policy start date	2020-01-01
Insurance policy end date	2020-12-31
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

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

Policy contract number

YK51296

Policy instance

Insurance contract or identification number	YK51296
Number of Individuals Covered	446
Insurance policy start date	2019-01-01
Insurance policy end date	2019-12-31
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

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

Policy contract number

YK51296

Policy instance

Insurance contract or identification number	YK51296
Number of Individuals Covered	328
Insurance policy start date	2018-01-01
Insurance policy end date	2018-12-31
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

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

Policy contract number

YK51296

Policy instance

Insurance contract or identification number	YK51296
Number of Individuals Covered	296
Insurance policy start date	2017-01-01
Insurance policy end date	2017-12-31
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

Potentially related plans

WAKEFIELD AND HOPPER, INC. 401(K) PLAN [EIN = 770533968]

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See full terms and conditions

Company Name:	WAKEFIELD & ASSOCIATES, LLC
Employer identification number (EIN):	841023982
NAIC Classification:	523900

Jurisdiction of Incorporation:	California Department of State
Incorporation Date:	2008-10-01
Company Identification Number:	C3163664
Legal Registered Office Address:	5149 Molakini Ct Fair Oaks United States of America (USA) 95628