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THOMAS A. KELLEY & ASSOCIATES PROFIT SHARING PLAN 401k Plan overview

Plan NameTHOMAS A. KELLEY & ASSOCIATES PROFIT SHARING PLAN
Plan identification number 002

THOMAS A. KELLEY & ASSOCIATES PROFIT SHARING PLAN Benefits

401k Plan TypeDefined 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.
  • Partial participant-directed account plan - Participants have the opportunity to direct the investment of a portion of the assets allocated to their individual accounts, regardless of whether 29 CFR 2550.404c-1 is intended to be met.
  • 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

THOMAS A. KELLEY INVESTMENTS DBA THOMAS A. KELLEY & ASSOCIATES has sponsored the creation of one or more 401k plans.

Company Name:THOMAS A. KELLEY INVESTMENTS DBA THOMAS A. KELLEY & ASSOCIATES
Employer identification number (EIN):941697443
NAIC Classification:541990
NAIC Description:All Other Professional, Scientific, and Technical Services

Form 5500 Filing Information

Submission information for form 5500 for 401k plan THOMAS A. KELLEY & ASSOCIATES PROFIT SHARING PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator SignedName of Company SponsorDate Sponsor Signed
0022022-01-01TOM KELLEY2022-03-18
0022021-01-01TOM KELLEY2022-03-18
0022020-01-01TOM KELLEY2021-10-11
0022019-01-01TOM KELLEY2020-04-13
0022018-01-01TOM KELLEY2019-04-22
0022017-01-01TOM KELLEY2018-05-07
0022016-01-01TOM KELLEY2017-07-23
0022015-01-01TOM KELLEY
0022014-01-01TOM KELLEY2015-04-22
0022013-01-01TOM KELLEY
0022012-01-01TOM KELLEY
0022011-01-01TOM KELLEY
0022010-01-01TOM KELLEY
0022009-01-01TOM KELLEY

Plan Statistics for THOMAS A. KELLEY & ASSOCIATES PROFIT SHARING PLAN

401k plan membership statisitcs for THOMAS A. KELLEY & ASSOCIATES PROFIT SHARING PLAN

Measure Date Value
2015: THOMAS A. KELLEY & ASSOCIATES PROFIT SHARING PLAN 2015 401k membership
Total participants, beginning-of-year2015-01-014
Total number of active participants reported on line 7a of the Form 55002015-01-014
Number of retired or separated participants receiving benefits2015-01-010
Number of other retired or separated participants entitled to future benefits2015-01-010
Total of all active and inactive participants2015-01-014
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2015-01-010
Total participants2015-01-014
Number of participants with account balances2015-01-014
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2015-01-010
2013: THOMAS A. KELLEY & ASSOCIATES PROFIT SHARING PLAN 2013 401k membership
Total participants, beginning-of-year2013-01-014
Total number of active participants reported on line 7a of the Form 55002013-01-014
Number of retired or separated participants receiving benefits2013-01-010
Number of other retired or separated participants entitled to future benefits2013-01-010
Total of all active and inactive participants2013-01-014
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2013-01-010
Total participants2013-01-014
Number of participants with account balances2013-01-014
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2013-01-010
2012: THOMAS A. KELLEY & ASSOCIATES PROFIT SHARING PLAN 2012 401k membership
Total participants, beginning-of-year2012-01-014
Total number of active participants reported on line 7a of the Form 55002012-01-014
Number of retired or separated participants receiving benefits2012-01-010
Number of other retired or separated participants entitled to future benefits2012-01-010
Total of all active and inactive participants2012-01-014
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2012-01-010
Total participants2012-01-014
Number of participants with account balances2012-01-014
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2012-01-010
2011: THOMAS A. KELLEY & ASSOCIATES PROFIT SHARING PLAN 2011 401k membership
Total participants, beginning-of-year2011-01-014
Total number of active participants reported on line 7a of the Form 55002011-01-014
Number of retired or separated participants receiving benefits2011-01-010
Number of other retired or separated participants entitled to future benefits2011-01-010
Total of all active and inactive participants2011-01-014
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2011-01-010
Total participants2011-01-014
Number of participants with account balances2011-01-014
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2011-01-010
2010: THOMAS A. KELLEY & ASSOCIATES PROFIT SHARING PLAN 2010 401k membership
Total participants, beginning-of-year2010-01-014
Total number of active participants reported on line 7a of the Form 55002010-01-014
Number of retired or separated participants receiving benefits2010-01-010
Number of other retired or separated participants entitled to future benefits2010-01-010
Total of all active and inactive participants2010-01-014
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2010-01-010
Total participants2010-01-014
Number of participants with account balances2010-01-014
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2010-01-010
2009: THOMAS A. KELLEY & ASSOCIATES PROFIT SHARING PLAN 2009 401k membership
Total participants, beginning-of-year2009-01-015
Total number of active participants reported on line 7a of the Form 55002009-01-014
Number of retired or separated participants receiving benefits2009-01-010
Number of other retired or separated participants entitled to future benefits2009-01-010
Total of all active and inactive participants2009-01-014
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2009-01-010
Total participants2009-01-014
Number of participants with account balances2009-01-014
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2009-01-010

Financial Data on THOMAS A. KELLEY & ASSOCIATES PROFIT SHARING PLAN

Measure Date Value
2015 : THOMAS A. KELLEY & ASSOCIATES PROFIT SHARING PLAN 2015 401k financial data
Transfers to/from the plan2015-12-31$0
Total plan liabilities at end of year2015-12-31$0
Total plan liabilities at beginning of year2015-12-31$0
Total income from all sources2015-12-31$-183,644
Expenses. Total of all expenses incurred2015-12-31$500,707
Benefits paid (including direct rollovers)2015-12-31$500,676
Total plan assets at end of year2015-12-31$3,124,146
Total plan assets at beginning of year2015-12-31$3,808,497
Value of fidelity bond covering the plan2015-12-31$500,000
Total contributions received or receivable from participants2015-12-31$0
Expenses. Other expenses not covered elsewhere2015-12-31$0
Contributions received from other sources (not participants or employers)2015-12-31$0
Other income received2015-12-31$-185,644
Noncash contributions received2015-12-31$0
Net income (gross income less expenses)2015-12-31$-684,351
Net plan assets at end of year (total assets less liabilities)2015-12-31$3,124,146
Net plan assets at beginning of year (total assets less liabilities)2015-12-31$3,808,497
Total contributions received or receivable from employer(s)2015-12-31$2,000
Value of certain deemed distributions of participant loans2015-12-31$0
Value of corrective distributions2015-12-31$0
Expenses. Administrative service providers (salaries,fees and commissions)2015-12-31$31
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2015-12-31$0
2013 : THOMAS A. KELLEY & ASSOCIATES PROFIT SHARING PLAN 2013 401k financial data
Transfers to/from the plan2013-12-31$0
Total plan liabilities at end of year2013-12-31$0
Total plan liabilities at beginning of year2013-12-31$0
Total income from all sources2013-12-31$418,608
Expenses. Total of all expenses incurred2013-12-31$501,108
Benefits paid (including direct rollovers)2013-12-31$500,677
Total plan assets at end of year2013-12-31$4,153,131
Total plan assets at beginning of year2013-12-31$4,235,631
Value of fidelity bond covering the plan2013-12-31$500,000
Total contributions received or receivable from participants2013-12-31$0
Expenses. Other expenses not covered elsewhere2013-12-31$419
Contributions received from other sources (not participants or employers)2013-12-31$0
Other income received2013-12-31$415,108
Noncash contributions received2013-12-31$0
Net income (gross income less expenses)2013-12-31$-82,500
Net plan assets at end of year (total assets less liabilities)2013-12-31$4,153,131
Net plan assets at beginning of year (total assets less liabilities)2013-12-31$4,235,631
Assets. Value of assets in partnership/joint-venture interests2013-12-31$5,238
Total contributions received or receivable from employer(s)2013-12-31$3,500
Value of certain deemed distributions of participant loans2013-12-31$0
Value of corrective distributions2013-12-31$0
Expenses. Administrative service providers (salaries,fees and commissions)2013-12-31$12
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2013-12-31$0
2012 : THOMAS A. KELLEY & ASSOCIATES PROFIT SHARING PLAN 2012 401k financial data
Transfers to/from the plan2012-12-31$0
Total plan liabilities at end of year2012-12-31$0
Total plan liabilities at beginning of year2012-12-31$0
Total income from all sources2012-12-31$147,236
Expenses. Total of all expenses incurred2012-12-31$501,064
Benefits paid (including direct rollovers)2012-12-31$500,676
Total plan assets at end of year2012-12-31$4,235,631
Total plan assets at beginning of year2012-12-31$4,589,459
Value of fidelity bond covering the plan2012-12-31$500,000
Total contributions received or receivable from participants2012-12-31$0
Expenses. Other expenses not covered elsewhere2012-12-31$364
Contributions received from other sources (not participants or employers)2012-12-31$0
Other income received2012-12-31$147,236
Noncash contributions received2012-12-31$0
Net income (gross income less expenses)2012-12-31$-353,828
Net plan assets at end of year (total assets less liabilities)2012-12-31$4,235,631
Net plan assets at beginning of year (total assets less liabilities)2012-12-31$4,589,459
Assets. Value of assets in partnership/joint-venture interests2012-12-31$4,593
Total contributions received or receivable from employer(s)2012-12-31$0
Value of certain deemed distributions of participant loans2012-12-31$0
Value of corrective distributions2012-12-31$0
Expenses. Administrative service providers (salaries,fees and commissions)2012-12-31$24
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2012-12-31$500,000
2011 : THOMAS A. KELLEY & ASSOCIATES PROFIT SHARING PLAN 2011 401k financial data
Transfers to/from the plan2011-12-31$0
Total plan liabilities at end of year2011-12-31$0
Total plan liabilities at beginning of year2011-12-31$0
Total income from all sources2011-12-31$-280,637
Expenses. Total of all expenses incurred2011-12-31$501,993
Benefits paid (including direct rollovers)2011-12-31$500,676
Total plan assets at end of year2011-12-31$4,589,459
Total plan assets at beginning of year2011-12-31$5,372,089
Value of fidelity bond covering the plan2011-12-31$500,000
Total contributions received or receivable from participants2011-12-31$0
Expenses. Other expenses not covered elsewhere2011-12-31$1,317
Contributions received from other sources (not participants or employers)2011-12-31$0
Other income received2011-12-31$-288,137
Noncash contributions received2011-12-31$0
Net income (gross income less expenses)2011-12-31$-782,630
Net plan assets at end of year (total assets less liabilities)2011-12-31$4,589,459
Net plan assets at beginning of year (total assets less liabilities)2011-12-31$5,372,089
Assets. Value of assets in partnership/joint-venture interests2011-12-31$61,525
Total contributions received or receivable from employer(s)2011-12-31$7,500
Value of certain deemed distributions of participant loans2011-12-31$0
Value of corrective distributions2011-12-31$0
Expenses. Administrative service providers (salaries,fees and commissions)2011-12-31$0
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2011-12-31$0
2010 : THOMAS A. KELLEY & ASSOCIATES PROFIT SHARING PLAN 2010 401k financial data
Transfers to/from the plan2010-12-31$0
Total plan liabilities at end of year2010-12-31$0
Total plan liabilities at beginning of year2010-12-31$0
Total income from all sources2010-12-31$371,346
Expenses. Total of all expenses incurred2010-12-31$502,755
Benefits paid (including direct rollovers)2010-12-31$500,677
Total plan assets at end of year2010-12-31$5,372,089
Total plan assets at beginning of year2010-12-31$5,503,498
Value of fidelity bond covering the plan2010-12-31$500,000
Total contributions received or receivable from participants2010-12-31$0
Expenses. Other expenses not covered elsewhere2010-12-31$2,078
Contributions received from other sources (not participants or employers)2010-12-31$0
Other income received2010-12-31$371,346
Noncash contributions received2010-12-31$0
Net income (gross income less expenses)2010-12-31$-131,409
Net plan assets at end of year (total assets less liabilities)2010-12-31$5,372,089
Net plan assets at beginning of year (total assets less liabilities)2010-12-31$5,503,498
Assets. Value of assets in partnership/joint-venture interests2010-12-31$62,599
Total contributions received or receivable from employer(s)2010-12-31$0
Value of certain deemed distributions of participant loans2010-12-31$0
Value of corrective distributions2010-12-31$0
Expenses. Administrative service providers (salaries,fees and commissions)2010-12-31$0
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2010-12-31$0
2009 : THOMAS A. KELLEY & ASSOCIATES PROFIT SHARING PLAN 2009 401k financial data
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2009-12-31$0

Form 5500 Responses for THOMAS A. KELLEY & ASSOCIATES PROFIT SHARING PLAN

2015: THOMAS A. KELLEY & ASSOCIATES PROFIT SHARING PLAN 2015 form 5500 responses
2015-01-01Type of plan entitySingle employer plan
2015-01-01Submission has been amendedNo
2015-01-01This submission is the final filingNo
2015-01-01This return/report is a short plan year return/report (less than 12 months)No
2015-01-01Plan is a collectively bargained planNo
2015-01-01Plan funding arrangement – InsuranceYes
2015-01-01Plan funding arrangement – TrustYes
2015-01-01Plan benefit arrangement - TrustYes
2013: THOMAS A. KELLEY & ASSOCIATES PROFIT SHARING PLAN 2013 form 5500 responses
2013-01-01Type of plan entitySingle employer plan
2013-01-01Submission has been amendedNo
2013-01-01This submission is the final filingNo
2013-01-01This return/report is a short plan year return/report (less than 12 months)No
2013-01-01Plan is a collectively bargained planNo
2013-01-01Plan funding arrangement – InsuranceYes
2013-01-01Plan funding arrangement – TrustYes
2013-01-01Plan benefit arrangement - TrustYes
2012: THOMAS A. KELLEY & ASSOCIATES PROFIT SHARING PLAN 2012 form 5500 responses
2012-01-01Type of plan entitySingle employer plan
2012-01-01Submission has been amendedNo
2012-01-01This submission is the final filingNo
2012-01-01This return/report is a short plan year return/report (less than 12 months)No
2012-01-01Plan is a collectively bargained planNo
2012-01-01Plan funding arrangement – InsuranceYes
2012-01-01Plan funding arrangement – TrustYes
2012-01-01Plan benefit arrangement - TrustYes
2011: THOMAS A. KELLEY & ASSOCIATES PROFIT SHARING PLAN 2011 form 5500 responses
2011-01-01Type of plan entitySingle employer plan
2011-01-01Submission has been amendedNo
2011-01-01This submission is the final filingNo
2011-01-01This return/report is a short plan year return/report (less than 12 months)No
2011-01-01Plan is a collectively bargained planNo
2011-01-01Plan funding arrangement – InsuranceYes
2011-01-01Plan funding arrangement – TrustYes
2011-01-01Plan benefit arrangement - TrustYes
2010: THOMAS A. KELLEY & ASSOCIATES PROFIT SHARING PLAN 2010 form 5500 responses
2010-01-01Type of plan entitySingle employer plan
2010-01-01Submission has been amendedNo
2010-01-01This submission is the final filingNo
2010-01-01This return/report is a short plan year return/report (less than 12 months)No
2010-01-01Plan is a collectively bargained planNo
2010-01-01Plan funding arrangement – InsuranceYes
2010-01-01Plan funding arrangement – TrustYes
2010-01-01Plan benefit arrangement - TrustYes
2009: THOMAS A. KELLEY & ASSOCIATES PROFIT SHARING PLAN 2009 form 5500 responses
2009-01-01Type of plan entitySingle employer plan
2009-01-01Submission has been amendedNo
2009-01-01This submission is the final filingNo
2009-01-01This return/report is a short plan year return/report (less than 12 months)No
2009-01-01Plan is a collectively bargained planNo
2009-01-01Plan funding arrangement – InsuranceYes
2009-01-01Plan funding arrangement – TrustYes
2009-01-01Plan benefit arrangement - TrustYes

Insurance Providers Used on plan

NORTHWESTERN MUTUAL (National Association of Insurance Commissioners NAIC id number: 67091 )
Policy contract number57082
Policy instance 1
Insurance contract or identification number57082
Number of Individuals Covered1
Insurance policy start date2015-01-01
Insurance policy end date2015-12-31
Total amount of commissions paid to insurance brokerUSD $0
Total amount of fees paid to insurance companyUSD $0
Are there contracts with allocated funds for individual policies?Yes
NORTHWESTERN MUTUAL (National Association of Insurance Commissioners NAIC id number: 67091 )
Policy contract number57082
Policy instance 1
Insurance contract or identification number57082
Number of Individuals Covered1
Insurance policy start date2013-01-01
Insurance policy end date2013-12-31
Total amount of commissions paid to insurance brokerUSD $0
Total amount of fees paid to insurance companyUSD $0
Are there contracts with allocated funds for individual policies?Yes
NORTHWESTERN MUTUAL (National Association of Insurance Commissioners NAIC id number: 67091 )
Policy contract number57082
Policy instance 1
Insurance contract or identification number57082
Number of Individuals Covered1
Insurance policy start date2012-01-01
Insurance policy end date2012-12-31
Total amount of commissions paid to insurance brokerUSD $0
Total amount of fees paid to insurance companyUSD $0
Are there contracts with allocated funds for individual policies?Yes
NORTHWESTERN MUTUAL (National Association of Insurance Commissioners NAIC id number: 67091 )
Policy contract number57082
Policy instance 1
Insurance contract or identification number57082
Number of Individuals Covered1
Insurance policy start date2011-01-01
Insurance policy end date2011-12-31
Total amount of commissions paid to insurance brokerUSD $0
Total amount of fees paid to insurance companyUSD $0
Are there contracts with allocated funds for individual policies?Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
NORTHWESTERN MUTUAL (National Association of Insurance Commissioners NAIC id number: 67091 )
Policy contract number57082
Policy instance 1
Insurance contract or identification number57082
Number of Individuals Covered1
Insurance policy start date2010-01-01
Insurance policy end date2010-12-31
Total amount of commissions paid to insurance brokerUSD $0
Total amount of fees paid to insurance companyUSD $0
Are there contracts with allocated funds for individual policies?Yes
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 planNo
Contracts With Unallocated Funds Deposit Administration0
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?No
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No

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