401k Plan data: SOLOMON ROSS GREY & COMPANY CASH OR DEFERRED PROFIT SHARING PLAN plan

SOLOMON ROSS GREY & COMPANY CASH OR DEFERRED PROFIT SHARING PLAN 401k Plan overview

Plan Name	SOLOMON ROSS GREY & COMPANY CASH OR DEFERRED PROFIT SHARING PLAN
Plan identification number	001

SOLOMON ROSS GREY & COMPANY CASH OR DEFERRED PROFIT SHARING PLAN Benefits

401k Plan Type

Defined Contribution Pension

Plan Features/Benefits

Age/Service Weighted or new comparability or similar plan - Age/Service Weighted Plan: Allocations are based on age, service, or age and service. New comparability or similar plan: Allocations are based on participant classifications and a classification(s) consists entirely or predominantly of highly compensated employees; or the plan provides an additional allocation rate on compensation above a specified threshold, and the theshold or additional rate exceeds the maximum threshold or rate allowed under the permitted disparity rules of section 401(l).
Profit-sharing
ERISA section 404(c) Plan - This plan, or any part of it is intended to meet the conditions of 29 CFR 2550.404c-1.
Total participant-directed account plan - Participants have the opportunity to direct the investment of all the assets allocated to their individual accounts, regardless of whether 29 CFR 2550.404c-1 is intended to be met.
Code section 401(k) feature - A cash or deferred arrangement described in Code section 401(k) that is part of a qualified defined contribution plan that provides for an election by employees to defer part of their compensation or receive these amounts in cash.
Code section 401(m) arrangement - Employee contributions are allocated to separate accounts under the plan or employer contributions are based, in whole or in part, on employee deferrals or contribtions to the plan. Not applicable if plan is 401(k) plan with only QNECs and/or QMACs. Also not applicable if Code section 403(b)(1), 403(b)(7) or 408 arrangements/accounts/annuities.
Participant-directed brokerage accounts provided as an investment option under the plan.
Total or partial participant-directed account plan - plan uses default investment account for participants who fail to direct assets in their account.
Plan covering Self-Employed individuals.
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

SRG, LLP has sponsored the creation of one or more 401k plans.

Company Name: SRG, LLP

Employer identification number (EIN): 954476507

NAIC Classification: 541211
NAIC Description: Offices of Certified Public Accountants

Form 5500 Filing Information

Submission information for form 5500 for 401k plan SOLOMON ROSS GREY & COMPANY CASH OR DEFERRED PROFIT SHARING PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2021-01-01 ANDREW GREY 2021-12-18 ANDREW GREY 2021-12-18
001 2020-01-01 ANDREW GREY 2021-07-24 ANDREW GREY 2021-07-24
001 2019-01-01 ANDREW GREY 2020-07-15 ANDREW GREY 2020-07-15
001 2018-01-01 DONNA NOLLS 2019-06-06 DONNA NOLLS 2019-06-06
001 2017-01-01 STUART ROSS 2018-10-09 STUART ROSS 2018-10-09
001 2016-01-01 STUART ROSS STUART ROSS 2017-10-02
001 2015-01-01 STUART ROSS STUART ROSS 2016-10-10
001 2014-01-01 STUART ROSS STUART ROSS 2015-10-06
001 2013-01-01 STUART ROSS STUART ROSS 2014-10-08
001 2012-01-01 STUART ROSS STUART ROSS 2013-10-07
001 2011-01-01 STUART ROSS 2012-10-03 STUART ROSS 2012-10-03
001 2010-01-01 BLOCK CONSULTING ACTUARIES, INC. 2011-10-07 BLOCK CONSULTING ACTUARIES, INC. 2011-10-07

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed	Name of Company Sponsor	Date Sponsor Signed
001	2021-01-01	ANDREW GREY	2021-12-18	ANDREW GREY	2021-12-18
001	2020-01-01	ANDREW GREY	2021-07-24	ANDREW GREY	2021-07-24
001	2019-01-01	ANDREW GREY	2020-07-15	ANDREW GREY	2020-07-15
001	2018-01-01	DONNA NOLLS	2019-06-06	DONNA NOLLS	2019-06-06
001	2017-01-01	STUART ROSS	2018-10-09	STUART ROSS	2018-10-09
001	2016-01-01	STUART ROSS		STUART ROSS	2017-10-02
001	2015-01-01	STUART ROSS		STUART ROSS	2016-10-10
001	2014-01-01	STUART ROSS		STUART ROSS	2015-10-06
001	2013-01-01	STUART ROSS		STUART ROSS	2014-10-08
001	2012-01-01	STUART ROSS		STUART ROSS	2013-10-07
001	2011-01-01	STUART ROSS	2012-10-03	STUART ROSS	2012-10-03
001	2010-01-01	BLOCK CONSULTING ACTUARIES, INC.	2011-10-07	BLOCK CONSULTING ACTUARIES, INC.	2011-10-07

Plan Statistics for SOLOMON ROSS GREY & COMPANY CASH OR DEFERRED PROFIT SHARING PLAN

401k plan membership statisitcs for SOLOMON ROSS GREY & COMPANY CASH OR DEFERRED PROFIT SHARING PLAN

Measure Date Value
2016: SOLOMON ROSS GREY & COMPANY CASH OR DEFERRED PROFIT SHARING PLAN 2016 401k membership
Total participants, beginning-of-year 2016-01-01 35
Total number of active participants reported on line 7a of the Form 5500 2016-01-01 22
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 12
Total of all active and inactive participants 2016-01-01 34
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2016-01-01 0
Total participants 2016-01-01 34
Number of participants with account balances 2016-01-01 33
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2016-01-01 2
2015: SOLOMON ROSS GREY & COMPANY CASH OR DEFERRED PROFIT SHARING PLAN 2015 401k membership
Total participants, beginning-of-year 2015-01-01 33
Total number of active participants reported on line 7a of the Form 5500 2015-01-01 24
Number of retired or separated participants receiving benefits 2015-01-01 0
Number of other retired or separated participants entitled to future benefits 2015-01-01 11
Total of all active and inactive participants 2015-01-01 35
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2015-01-01 0
Total participants 2015-01-01 35
Number of participants with account balances 2015-01-01 35
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2015-01-01 2
2014: SOLOMON ROSS GREY & COMPANY CASH OR DEFERRED PROFIT SHARING PLAN 2014 401k membership
Total participants, beginning-of-year 2014-01-01 37
Total number of active participants reported on line 7a of the Form 5500 2014-01-01 24
Number of retired or separated participants receiving benefits 2014-01-01 0
Number of other retired or separated participants entitled to future benefits 2014-01-01 9
Total of all active and inactive participants 2014-01-01 33
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2014-01-01 0
Total participants 2014-01-01 33
Number of participants with account balances 2014-01-01 33
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2014-01-01 1
2013: SOLOMON ROSS GREY & COMPANY CASH OR DEFERRED PROFIT SHARING PLAN 2013 401k membership
Total participants, beginning-of-year 2013-01-01 36
Total number of active participants reported on line 7a of the Form 5500 2013-01-01 26
Number of retired or separated participants receiving benefits 2013-01-01 0
Number of other retired or separated participants entitled to future benefits 2013-01-01 10
Total of all active and inactive participants 2013-01-01 36
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2013-01-01 0
Total participants 2013-01-01 36
Number of participants with account balances 2013-01-01 36
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2013-01-01 1
2012: SOLOMON ROSS GREY & COMPANY CASH OR DEFERRED PROFIT SHARING PLAN 2012 401k membership
Total participants, beginning-of-year 2012-01-01 33
Total number of active participants reported on line 7a of the Form 5500 2012-01-01 28
Number of retired or separated participants receiving benefits 2012-01-01 0
Number of other retired or separated participants entitled to future benefits 2012-01-01 8
Total of all active and inactive participants 2012-01-01 36
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2012-01-01 0
Total participants 2012-01-01 36
Number of participants with account balances 2012-01-01 36
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2012-01-01 0

Measure	Date	Value
2016: SOLOMON ROSS GREY & COMPANY CASH OR DEFERRED PROFIT SHARING PLAN 2016 401k membership
Total participants, beginning-of-year	2016-01-01	35
Total number of active participants reported on line 7a of the Form 5500	2016-01-01	22
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	12
Total of all active and inactive participants	2016-01-01	34
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2016-01-01	0
Total participants	2016-01-01	34
Number of participants with account balances	2016-01-01	33
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2016-01-01	2
2015: SOLOMON ROSS GREY & COMPANY CASH OR DEFERRED PROFIT SHARING PLAN 2015 401k membership
Total participants, beginning-of-year	2015-01-01	33
Total number of active participants reported on line 7a of the Form 5500	2015-01-01	24
Number of retired or separated participants receiving benefits	2015-01-01	0
Number of other retired or separated participants entitled to future benefits	2015-01-01	11
Total of all active and inactive participants	2015-01-01	35
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2015-01-01	0
Total participants	2015-01-01	35
Number of participants with account balances	2015-01-01	35
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2015-01-01	2
2014: SOLOMON ROSS GREY & COMPANY CASH OR DEFERRED PROFIT SHARING PLAN 2014 401k membership
Total participants, beginning-of-year	2014-01-01	37
Total number of active participants reported on line 7a of the Form 5500	2014-01-01	24
Number of retired or separated participants receiving benefits	2014-01-01	0
Number of other retired or separated participants entitled to future benefits	2014-01-01	9
Total of all active and inactive participants	2014-01-01	33
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2014-01-01	0
Total participants	2014-01-01	33
Number of participants with account balances	2014-01-01	33
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2014-01-01	1
2013: SOLOMON ROSS GREY & COMPANY CASH OR DEFERRED PROFIT SHARING PLAN 2013 401k membership
Total participants, beginning-of-year	2013-01-01	36
Total number of active participants reported on line 7a of the Form 5500	2013-01-01	26
Number of retired or separated participants receiving benefits	2013-01-01	0
Number of other retired or separated participants entitled to future benefits	2013-01-01	10
Total of all active and inactive participants	2013-01-01	36
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2013-01-01	0
Total participants	2013-01-01	36
Number of participants with account balances	2013-01-01	36
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2013-01-01	1
2012: SOLOMON ROSS GREY & COMPANY CASH OR DEFERRED PROFIT SHARING PLAN 2012 401k membership
Total participants, beginning-of-year	2012-01-01	33
Total number of active participants reported on line 7a of the Form 5500	2012-01-01	28
Number of retired or separated participants receiving benefits	2012-01-01	0
Number of other retired or separated participants entitled to future benefits	2012-01-01	8
Total of all active and inactive participants	2012-01-01	36
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2012-01-01	0
Total participants	2012-01-01	36
Number of participants with account balances	2012-01-01	36
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2012-01-01	0

Financial Data on SOLOMON ROSS GREY & COMPANY CASH OR DEFERRED PROFIT SHARING PLAN

Measure	Date	Value
2016 : SOLOMON ROSS GREY & COMPANY CASH OR DEFERRED PROFIT SHARING PLAN 2016 401k financial data
Total plan liabilities at end of year	2016-12-31	$4,356
Total plan liabilities at beginning of year	2016-12-31	$795
Total income from all sources	2016-12-31	$1,426,332
Expenses. Total of all expenses incurred	2016-12-31	$1,001,828
Benefits paid (including direct rollovers)	2016-12-31	$986,040
Total plan assets at end of year	2016-12-31	$8,687,703
Total plan assets at beginning of year	2016-12-31	$8,259,638
Value of fidelity bond covering the plan	2016-12-31	$425,000
Total contributions received or receivable from participants	2016-12-31	$194,518
Contributions received from other sources (not participants or employers)	2016-12-31	$374,097
Other income received	2016-12-31	$705,369
Net income (gross income less expenses)	2016-12-31	$424,504
Net plan assets at end of year (total assets less liabilities)	2016-12-31	$8,683,347
Net plan assets at beginning of year (total assets less liabilities)	2016-12-31	$8,258,843
Assets. Value of participant loans	2016-12-31	$79,603
Assets. Value of assets in partnership/joint-venture interests	2016-12-31	$0
Total contributions received or receivable from employer(s)	2016-12-31	$152,348
Expenses. Administrative service providers (salaries,fees and commissions)	2016-12-31	$15,788
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2016-12-31	$350,000
2015 : SOLOMON ROSS GREY & COMPANY CASH OR DEFERRED PROFIT SHARING PLAN 2015 401k financial data
Total plan liabilities at end of year	2015-12-31	$795
Total plan liabilities at beginning of year	2015-12-31	$795
Total income from all sources	2015-12-31	$430,965
Expenses. Total of all expenses incurred	2015-12-31	$298,616
Benefits paid (including direct rollovers)	2015-12-31	$285,282
Total plan assets at end of year	2015-12-31	$8,259,638
Total plan assets at beginning of year	2015-12-31	$8,127,289
Value of fidelity bond covering the plan	2015-12-31	$425,000
Total contributions received or receivable from participants	2015-12-31	$266,364
Other income received	2015-12-31	$-59,825
Net income (gross income less expenses)	2015-12-31	$132,349
Net plan assets at end of year (total assets less liabilities)	2015-12-31	$8,258,843
Net plan assets at beginning of year (total assets less liabilities)	2015-12-31	$8,126,494
Assets. Value of participant loans	2015-12-31	$51,238
Assets. Value of assets in partnership/joint-venture interests	2015-12-31	$250,000
Value of participant contributions where there was a failure to transmit these to the plan within the time period described in 29 CFR 2510.3-102	2015-12-31	$800
Total contributions received or receivable from employer(s)	2015-12-31	$224,426
Expenses. Administrative service providers (salaries,fees and commissions)	2015-12-31	$13,334
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2015-12-31	$0
2014 : SOLOMON ROSS GREY & COMPANY CASH OR DEFERRED PROFIT SHARING PLAN 2014 401k financial data
Total plan liabilities at beginning of year	2014-12-31	$0
Total income from all sources	2014-12-31	$993,753
Expenses. Total of all expenses incurred	2014-12-31	$71,333
Benefits paid (including direct rollovers)	2014-12-31	$59,475
Total plan assets at end of year	2014-12-31	$8,126,494
Total plan assets at beginning of year	2014-12-31	$7,204,074
Value of fidelity bond covering the plan	2014-12-31	$425,000
Total contributions received or receivable from participants	2014-12-31	$260,335
Other income received	2014-12-31	$465,758
Net income (gross income less expenses)	2014-12-31	$922,420
Net plan assets at end of year (total assets less liabilities)	2014-12-31	$8,126,494
Net plan assets at beginning of year (total assets less liabilities)	2014-12-31	$7,204,074
Assets. Value of participant loans	2014-12-31	$111,514
Assets. Value of assets in partnership/joint-venture interests	2014-12-31	$250,000
Total contributions received or receivable from employer(s)	2014-12-31	$267,660
Expenses. Administrative service providers (salaries,fees and commissions)	2014-12-31	$11,858
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2014-12-31	$0
2013 : SOLOMON ROSS GREY & COMPANY CASH OR DEFERRED PROFIT SHARING PLAN 2013 401k financial data
Total plan liabilities at end of year	2013-12-31	$0
Total plan liabilities at beginning of year	2013-12-31	$0
Total income from all sources	2013-12-31	$1,521,300
Expenses. Total of all expenses incurred	2013-12-31	$477,189
Benefits paid (including direct rollovers)	2013-12-31	$466,554
Total plan assets at end of year	2013-12-31	$7,204,074
Total plan assets at beginning of year	2013-12-31	$6,159,963
Value of fidelity bond covering the plan	2013-12-31	$425,000
Total contributions received or receivable from participants	2013-12-31	$294,551
Contributions received from other sources (not participants or employers)	2013-12-31	$9,948
Other income received	2013-12-31	$1,047,543
Net income (gross income less expenses)	2013-12-31	$1,044,111
Net plan assets at end of year (total assets less liabilities)	2013-12-31	$7,204,074
Net plan assets at beginning of year (total assets less liabilities)	2013-12-31	$6,159,963
Assets. Value of participant loans	2013-12-31	$103,764
Assets. Value of assets in partnership/joint-venture interests	2013-12-31	$274,000
Total contributions received or receivable from employer(s)	2013-12-31	$169,258
Expenses. Administrative service providers (salaries,fees and commissions)	2013-12-31	$10,635
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2013-12-31	$0
2012 : SOLOMON ROSS GREY & COMPANY CASH OR DEFERRED PROFIT SHARING PLAN 2012 401k financial data
Total income from all sources	2012-12-31	$1,778,746
Expenses. Total of all expenses incurred	2012-12-31	$60,187
Benefits paid (including direct rollovers)	2012-12-31	$52,955
Total plan assets at end of year	2012-12-31	$6,159,963
Total plan assets at beginning of year	2012-12-31	$4,441,404
Value of fidelity bond covering the plan	2012-12-31	$250,000
Total contributions received or receivable from participants	2012-12-31	$302,066
Contributions received from other sources (not participants or employers)	2012-12-31	$643,463
Other income received	2012-12-31	$496,495
Net income (gross income less expenses)	2012-12-31	$1,718,559
Net plan assets at end of year (total assets less liabilities)	2012-12-31	$6,159,963
Net plan assets at beginning of year (total assets less liabilities)	2012-12-31	$4,441,404
Assets. Value of participant loans	2012-12-31	$86,271
Assets. Value of assets in partnership/joint-venture interests	2012-12-31	$250,000
Total contributions received or receivable from employer(s)	2012-12-31	$336,722
Expenses. Administrative service providers (salaries,fees and commissions)	2012-12-31	$7,232
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2012-12-31	$0

Form 5500 Responses for SOLOMON ROSS GREY & COMPANY CASH OR DEFERRED PROFIT SHARING PLAN

2016: SOLOMON ROSS GREY & COMPANY CASH OR DEFERRED PROFIT SHARING PLAN 2016 form 5500 responses
2016-01-01	Type of plan entity	Single employer plan
2016-01-01	Submission has been amended	No
2016-01-01	This submission is the final filing	No
2016-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2016-01-01	Plan is a collectively bargained plan	No
2016-01-01	Plan funding arrangement – Insurance	Yes
2016-01-01	Plan funding arrangement – Trust	Yes
2016-01-01	Plan benefit arrangement – Insurance	Yes
2016-01-01	Plan benefit arrangement - Trust	Yes
2015: SOLOMON ROSS GREY & COMPANY CASH OR DEFERRED PROFIT SHARING PLAN 2015 form 5500 responses
2015-01-01	Type of plan entity	Single employer plan
2015-01-01	Submission has been amended	No
2015-01-01	This submission is the final filing	No
2015-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2015-01-01	Plan is a collectively bargained plan	No
2015-01-01	Plan funding arrangement – Insurance	Yes
2015-01-01	Plan funding arrangement – Trust	Yes
2015-01-01	Plan benefit arrangement – Insurance	Yes
2015-01-01	Plan benefit arrangement - Trust	Yes
2014: SOLOMON ROSS GREY & COMPANY CASH OR DEFERRED PROFIT SHARING PLAN 2014 form 5500 responses
2014-01-01	Type of plan entity	Single employer plan
2014-01-01	Submission has been amended	No
2014-01-01	This submission is the final filing	No
2014-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2014-01-01	Plan is a collectively bargained plan	No
2014-01-01	Plan funding arrangement – Insurance	Yes
2014-01-01	Plan funding arrangement – Trust	Yes
2014-01-01	Plan benefit arrangement – Insurance	Yes
2014-01-01	Plan benefit arrangement - Trust	Yes
2013: SOLOMON ROSS GREY & COMPANY CASH OR DEFERRED PROFIT SHARING PLAN 2013 form 5500 responses
2013-01-01	Type of plan entity	Single employer plan
2013-01-01	Submission has been amended	No
2013-01-01	This submission is the final filing	No
2013-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2013-01-01	Plan is a collectively bargained plan	No
2013-01-01	Plan funding arrangement – Insurance	Yes
2013-01-01	Plan funding arrangement – Trust	Yes
2013-01-01	Plan benefit arrangement – Insurance	Yes
2013-01-01	Plan benefit arrangement - Trust	Yes
2012: SOLOMON ROSS GREY & COMPANY CASH OR DEFERRED PROFIT SHARING PLAN 2012 form 5500 responses
2012-01-01	Type of plan entity	Single employer plan
2012-01-01	Submission has been amended	No
2012-01-01	This submission is the final filing	No
2012-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2012-01-01	Plan is a collectively bargained plan	No
2012-01-01	Plan funding arrangement – Insurance	Yes
2012-01-01	Plan funding arrangement – Trust	Yes
2012-01-01	Plan benefit arrangement – Insurance	Yes
2012-01-01	Plan benefit arrangement - Trust	Yes

Insurance Providers Used on plan

VOYA RETIRIEMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 86509 )

Policy contract number

PH1847

Policy instance

Insurance contract or identification number	PH1847
Number of Individuals Covered	36
Insurance policy start date	2015-01-01
Insurance policy end date	2015-12-31
Total amount of commissions paid to insurance broker	USD $12,345
Total amount of fees paid to insurance company	USD $0
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	Yes
Commission paid to Insurance Broker	USD $12,345
Insurance broker organization code?	3
Insurance broker name	SCHRAMM FINANCIAL GROUP

VOYA RETIRIEMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 86509 )

Policy contract number

PH1847

Policy instance

Insurance contract or identification number	PH1847
Number of Individuals Covered	36
Insurance policy start date	2014-01-01
Insurance policy end date	2014-12-31
Total amount of commissions paid to insurance broker	USD $11,312
Total amount of fees paid to insurance company	USD $0
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	Yes
Commission paid to Insurance Broker	USD $11,312
Amount paid for insurance broker fees	0
Insurance broker organization code?	3
Insurance broker name	SCHRAMM FINANCIAL GROUP

VOYA RETIRIEMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 86509 )

Policy contract number

PH1847

Policy instance

Insurance contract or identification number	PH1847
Number of Individuals Covered	36
Insurance policy start date	2013-01-01
Insurance policy end date	2013-12-31
Total amount of commissions paid to insurance broker	USD $9,316
Total amount of fees paid to insurance company	USD $0
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	Yes
Commission paid to Insurance Broker	USD $9,316
Amount paid for insurance broker fees	0
Insurance broker organization code?	3
Insurance broker name	PHIL SCHRAMM

VOYA RETIRIEMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 86509 )

Policy contract number

PH1847

Policy instance

Insurance contract or identification number	PH1847
Number of Individuals Covered	36
Insurance policy start date	2012-01-01
Insurance policy end date	2012-12-31
Total amount of commissions paid to insurance broker	USD $7,509
Total amount of fees paid to insurance company	USD $0
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	Yes
Commission paid to Insurance Broker	USD $7,509
Insurance broker organization code?	3
Insurance broker name	PHIL SCHRAMM

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Company Name:	SRG, LLP
Employer identification number (EIN):	954476507
NAIC Classification:	541211
NAIC Description:	Offices of Certified Public Accountants