401k Plan data: BRAD LAROCCA, MD, INC. RETIREMENT PLAN plan

BRAD LAROCCA, MD, INC. RETIREMENT PLAN 401k Plan overview

Plan Name	BRAD LAROCCA, MD, INC. RETIREMENT PLAN
Plan identification number	001

BRAD LAROCCA, MD, INC. RETIREMENT PLAN Benefits

401k Plan Type

Defined Contribution Pension

Plan Features/Benefits

Profit-sharing
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.
Master plan - A pension plan that is made available by a sponsor for adoption by employers; that is the subject of a favorable opinion letter; and for which a single funding medium (for example, a trust or custodial account) is established for the joint use of all adopting employers.
Plan sponsor(s) is (are) a member(s) of a controlled group (Code sections 414(b), (c), or (m)).

401k Sponsoring company profile

BRAD LAROCCA, MD, INC. has sponsored the creation of one or more 401k plans.

Company Name: BRAD LAROCCA, MD, INC.

Employer identification number (EIN): 953272858

NAIC Classification: 621111
NAIC Description: Offices of Physicians (except Mental Health Specialists)

Form 5500 Filing Information

Submission information for form 5500 for 401k plan BRAD LAROCCA, MD, INC. RETIREMENT PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2019-01-01
001 2018-01-01 BRAD LAROCCA 2019-09-03
001 2017-01-01
001 2016-01-01
001 2016-01-01 BRAD LAROCCA 2018-09-23
001 2015-01-01 MICHAEL E. FLANAGAN 2016-06-03 MICHAEL E. FLANAGAN 2016-06-03

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed	Name of Company Sponsor	Date Sponsor Signed
001	2019-01-01
001	2018-01-01	BRAD LAROCCA	2019-09-03
001	2017-01-01
001	2016-01-01
001	2016-01-01	BRAD LAROCCA	2018-09-23
001	2015-01-01	MICHAEL E. FLANAGAN	2016-06-03	MICHAEL E. FLANAGAN	2016-06-03

Plan Statistics for BRAD LAROCCA, MD, INC. RETIREMENT PLAN

401k plan membership statisitcs for BRAD LAROCCA, MD, INC. RETIREMENT PLAN

Measure Date Value
2019: BRAD LAROCCA, MD, INC. RETIREMENT PLAN 2019 401k membership
Total participants, beginning-of-year 2019-01-01 1
Total number of active participants reported on line 7a of the Form 5500 2019-01-01 0
Number of retired or separated participants receiving benefits 2019-01-01 0
Number of other retired or separated participants entitled to future benefits 2019-01-01 0
Total of all active and inactive participants 2019-01-01 0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2019-01-01 0
Total participants 2019-01-01 0
Number of participants with account balances 2019-01-01 0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2019-01-01 0
2018: BRAD LAROCCA, MD, INC. RETIREMENT PLAN 2018 401k membership
Total participants, beginning-of-year 2018-01-01 1
Total number of active participants reported on line 7a of the Form 5500 2018-01-01 1
Number of retired or separated participants receiving benefits 2018-01-01 0
Number of other retired or separated participants entitled to future benefits 2018-01-01 0
Total of all active and inactive participants 2018-01-01 1
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2018-01-01 0
Total participants 2018-01-01 1
Number of participants with account balances 2018-01-01 1
2017: BRAD LAROCCA, MD, INC. RETIREMENT PLAN 2017 401k membership
Total participants, beginning-of-year 2017-01-01 1
Total number of active participants reported on line 7a of the Form 5500 2017-01-01 1
Number of retired or separated participants receiving benefits 2017-01-01 0
Number of other retired or separated participants entitled to future benefits 2017-01-01 0
Total of all active and inactive participants 2017-01-01 1
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2017-01-01 0
Total participants 2017-01-01 1
Number of participants with account balances 2017-01-01 1
2016: BRAD LAROCCA, MD, INC. RETIREMENT PLAN 2016 401k membership
Total participants, beginning-of-year 2016-01-01 1
Total number of active participants reported on line 7a of the Form 5500 2016-01-01 1
Number of retired or separated participants receiving benefits 2016-01-01 0
Number of other retired or separated participants entitled to future benefits 2016-01-01 0
Total of all active and inactive participants 2016-01-01 1
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2016-01-01 0
Total participants 2016-01-01 1
Number of participants with account balances 2016-01-01 1

Measure	Date	Value
2019: BRAD LAROCCA, MD, INC. RETIREMENT PLAN 2019 401k membership
Total participants, beginning-of-year	2019-01-01	1
Total number of active participants reported on line 7a of the Form 5500	2019-01-01	0
Number of retired or separated participants receiving benefits	2019-01-01	0
Number of other retired or separated participants entitled to future benefits	2019-01-01	0
Total of all active and inactive participants	2019-01-01	0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2019-01-01	0
Total participants	2019-01-01	0
Number of participants with account balances	2019-01-01	0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2019-01-01	0
2018: BRAD LAROCCA, MD, INC. RETIREMENT PLAN 2018 401k membership
Total participants, beginning-of-year	2018-01-01	1
Total number of active participants reported on line 7a of the Form 5500	2018-01-01	1
Number of retired or separated participants receiving benefits	2018-01-01	0
Number of other retired or separated participants entitled to future benefits	2018-01-01	0
Total of all active and inactive participants	2018-01-01	1
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2018-01-01	0
Total participants	2018-01-01	1
Number of participants with account balances	2018-01-01	1
2017: BRAD LAROCCA, MD, INC. RETIREMENT PLAN 2017 401k membership
Total participants, beginning-of-year	2017-01-01	1
Total number of active participants reported on line 7a of the Form 5500	2017-01-01	1
Number of retired or separated participants receiving benefits	2017-01-01	0
Number of other retired or separated participants entitled to future benefits	2017-01-01	0
Total of all active and inactive participants	2017-01-01	1
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2017-01-01	0
Total participants	2017-01-01	1
Number of participants with account balances	2017-01-01	1
2016: BRAD LAROCCA, MD, INC. RETIREMENT PLAN 2016 401k membership
Total participants, beginning-of-year	2016-01-01	1
Total number of active participants reported on line 7a of the Form 5500	2016-01-01	1
Number of retired or separated participants receiving benefits	2016-01-01	0
Number of other retired or separated participants entitled to future benefits	2016-01-01	0
Total of all active and inactive participants	2016-01-01	1
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2016-01-01	0
Total participants	2016-01-01	1
Number of participants with account balances	2016-01-01	1

Financial Data on BRAD LAROCCA, MD, INC. RETIREMENT PLAN

Measure	Date	Value
2019 : BRAD LAROCCA, MD, INC. RETIREMENT PLAN 2019 401k financial data
Transfers to/from the plan	2019-12-31	$-2,811,586
Total plan liabilities at end of year	2019-12-31	$0
Total plan liabilities at beginning of year	2019-12-31	$0
Total income from all sources	2019-12-31	$69,405
Expenses. Total of all expenses incurred	2019-12-31	$18,373
Benefits paid (including direct rollovers)	2019-12-31	$0
Total plan assets at end of year	2019-12-31	$0
Total plan assets at beginning of year	2019-12-31	$2,760,554
Assets. Value of tangible personal property	2019-12-31	$0
Total contributions received or receivable from participants	2019-12-31	$0
Expenses. Other expenses not covered elsewhere	2019-12-31	$0
Contributions received from other sources (not participants or employers)	2019-12-31	$0
Other income received	2019-12-31	$21,405
Noncash contributions received	2019-12-31	$0
Net income (gross income less expenses)	2019-12-31	$51,032
Net plan assets at end of year (total assets less liabilities)	2019-12-31	$0
Net plan assets at beginning of year (total assets less liabilities)	2019-12-31	$2,760,554
Assets. Value of assets in partnership/joint-venture interests	2019-12-31	$0
Total contributions received or receivable from employer(s)	2019-12-31	$48,000
Value of certain deemed distributions of participant loans	2019-12-31	$0
Value of corrective distributions	2019-12-31	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2019-12-31	$18,373
2018 : BRAD LAROCCA, MD, INC. RETIREMENT PLAN 2018 401k financial data
Transfers to/from the plan	2018-12-31	$0
Total plan liabilities at end of year	2018-12-31	$0
Total plan liabilities at beginning of year	2018-12-31	$0
Total income from all sources	2018-12-31	$-45,036
Expenses. Total of all expenses incurred	2018-12-31	$15,553
Benefits paid (including direct rollovers)	2018-12-31	$0
Total plan assets at end of year	2018-12-31	$2,760,554
Total plan assets at beginning of year	2018-12-31	$2,821,143
Assets. Value of tangible personal property	2018-12-31	$31,020
Total contributions received or receivable from participants	2018-12-31	$0
Expenses. Other expenses not covered elsewhere	2018-12-31	$0
Contributions received from other sources (not participants or employers)	2018-12-31	$0
Other income received	2018-12-31	$-93,036
Noncash contributions received	2018-12-31	$0
Net income (gross income less expenses)	2018-12-31	$-60,589
Net plan assets at end of year (total assets less liabilities)	2018-12-31	$2,760,554
Net plan assets at beginning of year (total assets less liabilities)	2018-12-31	$2,821,143
Assets. Value of assets in partnership/joint-venture interests	2018-12-31	$250,000
Total contributions received or receivable from employer(s)	2018-12-31	$48,000
Value of certain deemed distributions of participant loans	2018-12-31	$0
Value of corrective distributions	2018-12-31	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2018-12-31	$15,553
2017 : BRAD LAROCCA, MD, INC. RETIREMENT PLAN 2017 401k financial data
Transfers to/from the plan	2017-12-31	$0
Total plan liabilities at end of year	2017-12-31	$0
Total plan liabilities at beginning of year	2017-12-31	$0
Total income from all sources	2017-12-31	$425,043
Expenses. Total of all expenses incurred	2017-12-31	$18,961
Benefits paid (including direct rollovers)	2017-12-31	$0
Total plan assets at end of year	2017-12-31	$2,821,143
Total plan assets at beginning of year	2017-12-31	$2,415,061
Assets. Value of tangible personal property	2017-12-31	$33,842
Total contributions received or receivable from participants	2017-12-31	$0
Expenses. Other expenses not covered elsewhere	2017-12-31	$0
Contributions received from other sources (not participants or employers)	2017-12-31	$0
Other income received	2017-12-31	$375,043
Noncash contributions received	2017-12-31	$0
Net income (gross income less expenses)	2017-12-31	$406,082
Net plan assets at end of year (total assets less liabilities)	2017-12-31	$2,821,143
Net plan assets at beginning of year (total assets less liabilities)	2017-12-31	$2,415,061
Assets. Value of assets in partnership/joint-venture interests	2017-12-31	$200,000
Total contributions received or receivable from employer(s)	2017-12-31	$50,000
Value of certain deemed distributions of participant loans	2017-12-31	$0
Value of corrective distributions	2017-12-31	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2017-12-31	$18,961
2016 : BRAD LAROCCA, MD, INC. RETIREMENT PLAN 2016 401k financial data
Transfers to/from the plan	2016-12-31	$0
Total plan liabilities at end of year	2016-12-31	$0
Total plan liabilities at beginning of year	2016-12-31	$0
Total income from all sources	2016-12-31	$443,224
Expenses. Total of all expenses incurred	2016-12-31	$18,263
Benefits paid (including direct rollovers)	2016-12-31	$0
Total plan assets at end of year	2016-12-31	$2,465,061
Total plan assets at beginning of year	2016-12-31	$2,040,100
Assets. Value of tangible personal property	2016-12-31	$31,880
Total contributions received or receivable from participants	2016-12-31	$0
Expenses. Other expenses not covered elsewhere	2016-12-31	$0
Contributions received from other sources (not participants or employers)	2016-12-31	$0
Other income received	2016-12-31	$393,224
Noncash contributions received	2016-12-31	$0
Net income (gross income less expenses)	2016-12-31	$424,961
Net plan assets at end of year (total assets less liabilities)	2016-12-31	$2,465,061
Net plan assets at beginning of year (total assets less liabilities)	2016-12-31	$2,040,100
Assets. Value of assets in partnership/joint-venture interests	2016-12-31	$200,000
Total contributions received or receivable from employer(s)	2016-12-31	$50,000
Value of certain deemed distributions of participant loans	2016-12-31	$0
Value of corrective distributions	2016-12-31	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2016-12-31	$18,263

Form 5500 Responses for BRAD LAROCCA, MD, INC. RETIREMENT PLAN

2019: BRAD LAROCCA, MD, INC. RETIREMENT PLAN 2019 form 5500 responses
2019-01-01	Type of plan entity	Single employer plan
2019-01-01	Submission has been amended	No
2019-01-01	This submission is the final filing	Yes
2019-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2019-01-01	Plan is a collectively bargained plan	No
2019-01-01	Plan funding arrangement – Trust	Yes
2019-01-01	Plan benefit arrangement - Trust	Yes
2018: BRAD LAROCCA, MD, INC. RETIREMENT PLAN 2018 form 5500 responses
2018-01-01	Type of plan entity	Single employer plan
2018-01-01	Plan funding arrangement – Trust	Yes
2018-01-01	Plan benefit arrangement - Trust	Yes
2017: BRAD LAROCCA, MD, INC. RETIREMENT PLAN 2017 form 5500 responses
2017-01-01	Type of plan entity	Single employer plan
2017-01-01	Plan funding arrangement – Trust	Yes
2017-01-01	Plan benefit arrangement - Trust	Yes
2016: BRAD LAROCCA, MD, INC. RETIREMENT PLAN 2016 form 5500 responses
2016-01-01	Type of plan entity	Single employer plan
2016-01-01	Submission has been amended	Yes
2016-01-01	Plan funding arrangement – Trust	Yes
2016-01-01	Plan benefit arrangement - Trust	Yes

Insurance Providers Used on plan

JACKSON NATIONAL (National Association of Insurance Commissioners NAIC id number: 65056 )

Policy contract number

1021645644

Policy instance

Insurance contract or identification number	1021645644
Number of Individuals Covered	1
Insurance policy start date	2018-01-01
Insurance policy end date	2018-12-31
Total amount of commissions paid to insurance broker	USD $0
Total amount of fees paid to insurance company	USD $0

JOHN HANCOCK LIFE INSURANCE COMPANY (U.S.A.) (National Association of Insurance Commissioners NAIC id number: 65838 )

Policy contract number

2095825

Policy instance

Insurance contract or identification number	2095825
Number of Individuals Covered	1
Insurance policy start date	2018-01-01
Insurance policy end date	2018-12-31
Total amount of commissions paid to insurance broker	USD $0
Total amount of fees paid to insurance company	USD $0

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 65676 )

Policy contract number

954060084

Policy instance

Insurance contract or identification number	954060084
Number of Individuals Covered	1
Insurance policy start date	2018-01-01
Insurance policy end date	2018-12-31
Total amount of commissions paid to insurance broker	USD $4,448
Total amount of fees paid to insurance company	USD $2,849

JOHN HANCOCK LIFE INSURANCE COMPANY (U.S.A.) (National Association of Insurance Commissioners NAIC id number: 65838 )

Policy contract number

2095825

Policy instance

Insurance contract or identification number	2095825
Number of Individuals Covered	1
Insurance policy start date	2017-01-01
Insurance policy end date	2017-12-31
Total amount of commissions paid to insurance broker	USD $0
Total amount of fees paid to insurance company	USD $0
Commission paid to Insurance Broker	USD $0
Additional information about fees paid to insurance broker	N/A
Insurance broker name	MARK E. ANSARA OF WELLS FARGO

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 65676 )

Policy contract number

954060084

Policy instance

Insurance contract or identification number	954060084
Number of Individuals Covered	1
Insurance policy start date	2017-01-01
Insurance policy end date	2017-12-31
Total amount of commissions paid to insurance broker	USD $5,364
Total amount of fees paid to insurance company	USD $3,121
Are there contracts with unallocated funds for contracts of type guaranteed investment?	Yes
Insurance broker organization code?	3
Insurance broker name	WELLS FARGO ADVISORS LLC

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Company Name:	BRAD LAROCCA, MD, INC.
Employer identification number (EIN):	953272858
NAIC Classification:	621111
NAIC Description:	Offices of Physicians (except Mental Health Specialists)