AMERICAN ARBITRATION ASSOCIATION has sponsored the creation of one or more 401k plans.
Submission information for form 5500 for 401k plan RETIREMENT PLAN FOR EMPLOYEES OF AMERICAN ARBITRATION ASSOCIATION
| Measure | Date | Value |
|---|
| 2019 : RETIREMENT PLAN FOR EMPLOYEES OF AMERICAN ARBITRATION ASSOCIATION 2019 401k financial data |
|---|
| Total income from all sources (including contributions) | 2019-11-05 | $7,423,424 |
| Total of all expenses incurred | 2019-11-05 | $43,229,854 |
| Benefit payments and payments to participlants,beneficiaries,insurance carriers and others | 2019-11-05 | $43,108,836 |
| Total contributions o plan (from employers,participants, others, non cash contrinutions) | 2019-11-05 | $6,148,263 |
| Value of total assets at end of year | 2019-11-05 | $0 |
| Value of total assets at beginning of year | 2019-11-05 | $35,806,430 |
| Total of administrative expenses incurred including professional, contract, advisory and management fees | 2019-11-05 | $121,018 |
| Total dividends received (eg from common stock, registered investment company shares) | 2019-11-05 | $163,185 |
| Has a resolution to terminate the plan been adopted during the plan year or any prior plan year | 2019-11-05 | Yes |
| Value of any plan assets that reverted to the employer resulting from resoluton to terminate the plan | 2019-11-05 | $0 |
| Total dividends received from registered investment company shares (eg mutual funds) | 2019-11-05 | $163,185 |
| Administrative expenses professional fees incurred | 2019-11-05 | $50,742 |
| Was this plan covered by a fidelity bond | 2019-11-05 | Yes |
| Value of fidelity bond cover | 2019-11-05 | $500,000 |
| Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities | 2019-11-05 | $0 |
| Were there any nonexempt tranactions with any party-in-interest | 2019-11-05 | No |
| Administrative expenses (other) incurred | 2019-11-05 | $39,651 |
| Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser | 2019-11-05 | No |
| Value of net income/loss | 2019-11-05 | $-35,806,430 |
| Value of net assets at end of year (total assets less liabilities) | 2019-11-05 | $0 |
| Value of net assets at beginning of year (total assets less liabilities) | 2019-11-05 | $35,806,430 |
| Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond) | 2019-11-05 | No |
| Were any loans by the plan or fixed income obligations due to the plan in default | 2019-11-05 | No |
| Were any leases to which the plan was party in default or uncollectible | 2019-11-05 | No |
| Investment advisory and management fees | 2019-11-05 | $30,625 |
| Value of interest in registered invesment companies (eg mutual funds) at end of year | 2019-11-05 | $0 |
| Value of interest in registered invesment companies (eg mutual funds) at beginning of year | 2019-11-05 | $35,760,163 |
| Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year | 2019-11-05 | $0 |
| Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year | 2019-11-05 | $46,267 |
| Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year | 2019-11-05 | $46,267 |
| Expenses. Payments to insurance carriers foe the provision of benefits | 2019-11-05 | $34,188,618 |
| Net investment gain/loss from registered investment companies (e.g. mutual funds) | 2019-11-05 | $1,111,976 |
| Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets | 2019-11-05 | Yes |
| Was there a failure to transmit to the plan any participant contributions | 2019-11-05 | No |
| Has the plan failed to provide any benefit when due under the plan | 2019-11-05 | No |
| Contributions received in cash from employer | 2019-11-05 | $6,148,263 |
| Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers | 2019-11-05 | $8,920,218 |
| Did the plan have assets held for investment | 2019-11-05 | No |
| 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 | 2019-11-05 | No |
| Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC | 2019-11-05 | Yes |
| Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d) | 2019-11-05 | Yes |
| Opinion of an independent qualified public accountant for this plan | 2019-11-05 | Disclaimer |
| Accountancy firm name | 2019-11-05 | COHNREZNICK LLP |
| Accountancy firm EIN | 2019-11-05 | 221478099 |
| 2018 : RETIREMENT PLAN FOR EMPLOYEES OF AMERICAN ARBITRATION ASSOCIATION 2018 401k financial data |
|---|
| Total income from all sources (including contributions) | 2018-12-31 | $-1,388,672 |
| Total of all expenses incurred | 2018-12-31 | $3,270,602 |
| Benefit payments and payments to participlants,beneficiaries,insurance carriers and others | 2018-12-31 | $3,010,133 |
| Value of total assets at end of year | 2018-12-31 | $35,806,430 |
| Value of total assets at beginning of year | 2018-12-31 | $40,465,704 |
| Total of administrative expenses incurred including professional, contract, advisory and management fees | 2018-12-31 | $260,469 |
| Total interest from all sources | 2018-12-31 | $514,111 |
| Total dividends received (eg from common stock, registered investment company shares) | 2018-12-31 | $835,466 |
| 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 | $835,466 |
| Administrative expenses professional fees incurred | 2018-12-31 | $51,350 |
| Was this plan covered by a fidelity bond | 2018-12-31 | Yes |
| Value of fidelity bond cover | 2018-12-31 | $500,000 |
| 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 |
| Administrative expenses (other) incurred | 2018-12-31 | $163,494 |
| 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 | $-4,659,274 |
| Value of net assets at end of year (total assets less liabilities) | 2018-12-31 | $35,806,430 |
| Value of net assets at beginning of year (total assets less liabilities) | 2018-12-31 | $40,465,704 |
| 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 | $45,625 |
| Value of interest in registered invesment companies (eg mutual funds) at end of year | 2018-12-31 | $35,760,163 |
| Value of interest in registered invesment companies (eg mutual funds) at beginning of year | 2018-12-31 | $40,294,973 |
| Interest earned on other investments | 2018-12-31 | $514,111 |
| Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year | 2018-12-31 | $46,267 |
| Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year | 2018-12-31 | $170,731 |
| Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year | 2018-12-31 | $170,731 |
| Net investment gain/loss from registered investment companies (e.g. mutual funds) | 2018-12-31 | $-2,738,249 |
| Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets | 2018-12-31 | Yes |
| 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 |
| Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers | 2018-12-31 | $3,010,133 |
| 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 | COHNREZNICK LLP |
| Accountancy firm EIN | 2018-12-31 | 221478099 |
| 2017 : RETIREMENT PLAN FOR EMPLOYEES OF AMERICAN ARBITRATION ASSOCIATION 2017 401k financial data |
|---|
| Total income from all sources (including contributions) | 2017-12-31 | $9,712,222 |
| Total of all expenses incurred | 2017-12-31 | $3,298,075 |
| Benefit payments and payments to participlants,beneficiaries,insurance carriers and others | 2017-12-31 | $3,065,584 |
| Total contributions o plan (from employers,participants, others, non cash contrinutions) | 2017-12-31 | $5,400,000 |
| Value of total assets at end of year | 2017-12-31 | $40,465,704 |
| Value of total assets at beginning of year | 2017-12-31 | $34,051,557 |
| Total of administrative expenses incurred including professional, contract, advisory and management fees | 2017-12-31 | $232,491 |
| Total dividends received (eg from common stock, registered investment company shares) | 2017-12-31 | $1,285,248 |
| Has a resolution to terminate the plan been adopted during the plan year or any prior plan year | 2017-12-31 | Yes |
| Value of any plan assets that reverted to the employer resulting from resoluton to terminate the plan | 2017-12-31 | $0 |
| Total dividends received from registered investment company shares (eg mutual funds) | 2017-12-31 | $1,285,248 |
| Administrative expenses professional fees incurred | 2017-12-31 | $6,500 |
| Was this plan covered by a fidelity bond | 2017-12-31 | Yes |
| Value of fidelity bond cover | 2017-12-31 | $500,000 |
| 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 |
| Administrative expenses (other) incurred | 2017-12-31 | $167,241 |
| 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 | $6,414,147 |
| Value of net assets at end of year (total assets less liabilities) | 2017-12-31 | $40,465,704 |
| Value of net assets at beginning of year (total assets less liabilities) | 2017-12-31 | $34,051,557 |
| 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 | $58,750 |
| Value of interest in registered invesment companies (eg mutual funds) at end of year | 2017-12-31 | $40,294,973 |
| Value of interest in registered invesment companies (eg mutual funds) at beginning of year | 2017-12-31 | $34,051,557 |
| Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year | 2017-12-31 | $170,731 |
| Net investment gain/loss from registered investment companies (e.g. mutual funds) | 2017-12-31 | $3,026,974 |
| Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets | 2017-12-31 | Yes |
| 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 | $5,400,000 |
| Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers | 2017-12-31 | $3,065,584 |
| 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 | COHNREZNICK LLP |
| Accountancy firm EIN | 2017-12-31 | 221478099 |
| 2016 : RETIREMENT PLAN FOR EMPLOYEES OF AMERICAN ARBITRATION ASSOCIATION 2016 401k financial data |
|---|
| Total income from all sources (including contributions) | 2016-12-31 | $2,766,426 |
| Total of all expenses incurred | 2016-12-31 | $3,143,094 |
| Benefit payments and payments to participlants,beneficiaries,insurance carriers and others | 2016-12-31 | $2,809,179 |
| Value of total assets at end of year | 2016-12-31 | $34,051,557 |
| Value of total assets at beginning of year | 2016-12-31 | $34,428,225 |
| Total of administrative expenses incurred including professional, contract, advisory and management fees | 2016-12-31 | $333,915 |
| Total dividends received (eg from common stock, registered investment company shares) | 2016-12-31 | $988,987 |
| Has a resolution to terminate the plan been adopted during the plan year or any prior plan year | 2016-12-31 | No |
| Total dividends received from registered investment company shares (eg mutual funds) | 2016-12-31 | $988,987 |
| Administrative expenses professional fees incurred | 2016-12-31 | $8,550 |
| Was this plan covered by a fidelity bond | 2016-12-31 | Yes |
| Value of fidelity bond cover | 2016-12-31 | $500,000 |
| Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities | 2016-12-31 | $0 |
| Were there any nonexempt tranactions with any party-in-interest | 2016-12-31 | No |
| Administrative expenses (other) incurred | 2016-12-31 | $260,365 |
| Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser | 2016-12-31 | No |
| Value of net income/loss | 2016-12-31 | $-376,668 |
| Value of net assets at end of year (total assets less liabilities) | 2016-12-31 | $34,051,557 |
| Value of net assets at beginning of year (total assets less liabilities) | 2016-12-31 | $34,428,225 |
| Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond) | 2016-12-31 | No |
| Were any loans by the plan or fixed income obligations due to the plan in default | 2016-12-31 | No |
| Were any leases to which the plan was party in default or uncollectible | 2016-12-31 | No |
| Investment advisory and management fees | 2016-12-31 | $65,000 |
| Value of interest in registered invesment companies (eg mutual funds) at end of year | 2016-12-31 | $34,051,557 |
| Value of interest in registered invesment companies (eg mutual funds) at beginning of year | 2016-12-31 | $34,428,225 |
| Net investment gain/loss from registered investment companies (e.g. mutual funds) | 2016-12-31 | $1,777,439 |
| Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets | 2016-12-31 | Yes |
| Was there a failure to transmit to the plan any participant contributions | 2016-12-31 | No |
| Has the plan failed to provide any benefit when due under the plan | 2016-12-31 | No |
| Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers | 2016-12-31 | $2,809,179 |
| Did the plan have assets held for investment | 2016-12-31 | 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 | 2016-12-31 | No |
| Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC | 2016-12-31 | No |
| Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d) | 2016-12-31 | Yes |
| Opinion of an independent qualified public accountant for this plan | 2016-12-31 | Disclaimer |
| Accountancy firm name | 2016-12-31 | COHNREZNICK LLP |
| Accountancy firm EIN | 2016-12-31 | 221478099 |
| 2015 : RETIREMENT PLAN FOR EMPLOYEES OF AMERICAN ARBITRATION ASSOCIATION 2015 401k financial data |
|---|
| Total income from all sources (including contributions) | 2015-12-31 | $1,786,506 |
| Total of all expenses incurred | 2015-12-31 | $2,657,220 |
| Benefit payments and payments to participlants,beneficiaries,insurance carriers and others | 2015-12-31 | $2,420,513 |
| Total contributions o plan (from employers,participants, others, non cash contrinutions) | 2015-12-31 | $2,500,000 |
| Value of total assets at end of year | 2015-12-31 | $34,428,225 |
| Value of total assets at beginning of year | 2015-12-31 | $35,298,939 |
| Total of administrative expenses incurred including professional, contract, advisory and management fees | 2015-12-31 | $236,707 |
| Total dividends received (eg from common stock, registered investment company shares) | 2015-12-31 | $961,742 |
| Has a resolution to terminate the plan been adopted during the plan year or any prior plan year | 2015-12-31 | No |
| Total dividends received from registered investment company shares (eg mutual funds) | 2015-12-31 | $961,742 |
| Administrative expenses professional fees incurred | 2015-12-31 | $10,500 |
| Was this plan covered by a fidelity bond | 2015-12-31 | Yes |
| Value of fidelity bond cover | 2015-12-31 | $15,000,000 |
| If this is an individual account plan, was there a blackout period | 2015-12-31 | No |
| Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities | 2015-12-31 | $0 |
| Were there any nonexempt tranactions with any party-in-interest | 2015-12-31 | No |
| Administrative expenses (other) incurred | 2015-12-31 | $173,707 |
| Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser | 2015-12-31 | No |
| Value of net income/loss | 2015-12-31 | $-870,714 |
| Value of net assets at end of year (total assets less liabilities) | 2015-12-31 | $34,428,225 |
| Value of net assets at beginning of year (total assets less liabilities) | 2015-12-31 | $35,298,939 |
| Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond) | 2015-12-31 | No |
| Were any loans by the plan or fixed income obligations due to the plan in default | 2015-12-31 | No |
| Were any leases to which the plan was party in default or uncollectible | 2015-12-31 | No |
| Investment advisory and management fees | 2015-12-31 | $52,500 |
| Value of interest in registered invesment companies (eg mutual funds) at end of year | 2015-12-31 | $34,428,225 |
| Value of interest in registered invesment companies (eg mutual funds) at beginning of year | 2015-12-31 | $35,298,939 |
| Net investment gain/loss from registered investment companies (e.g. mutual funds) | 2015-12-31 | $-1,675,236 |
| Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets | 2015-12-31 | Yes |
| Was there a failure to transmit to the plan any participant contributions | 2015-12-31 | No |
| Has the plan failed to provide any benefit when due under the plan | 2015-12-31 | No |
| Contributions received in cash from employer | 2015-12-31 | $2,500,000 |
| Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers | 2015-12-31 | $2,420,513 |
| 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 | 2015-12-31 | No |
| Did the plan have assets held for investment | 2015-12-31 | 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 | 2015-12-31 | No |
| Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC | 2015-12-31 | No |
| Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d) | 2015-12-31 | Yes |
| Opinion of an independent qualified public accountant for this plan | 2015-12-31 | Disclaimer |
| Accountancy firm name | 2015-12-31 | COHNREZNICK LLP |
| Accountancy firm EIN | 2015-12-31 | 221478099 |
| 2014 : RETIREMENT PLAN FOR EMPLOYEES OF AMERICAN ARBITRATION ASSOCIATION 2014 401k financial data |
|---|
| Total income from all sources (including contributions) | 2014-12-31 | $2,173,440 |
| Total of all expenses incurred | 2014-12-31 | $2,395,121 |
| Benefit payments and payments to participlants,beneficiaries,insurance carriers and others | 2014-12-31 | $2,181,214 |
| Value of total assets at end of year | 2014-12-31 | $35,298,939 |
| Value of total assets at beginning of year | 2014-12-31 | $35,520,620 |
| Total of administrative expenses incurred including professional, contract, advisory and management fees | 2014-12-31 | $213,907 |
| Total dividends received (eg from common stock, registered investment company shares) | 2014-12-31 | $991,727 |
| Has a resolution to terminate the plan been adopted during the plan year or any prior plan year | 2014-12-31 | No |
| Total dividends received from registered investment company shares (eg mutual funds) | 2014-12-31 | $991,727 |
| Administrative expenses professional fees incurred | 2014-12-31 | $35,500 |
| Was this plan covered by a fidelity bond | 2014-12-31 | Yes |
| Value of fidelity bond cover | 2014-12-31 | $15,000,000 |
| Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities | 2014-12-31 | $0 |
| Were there any nonexempt tranactions with any party-in-interest | 2014-12-31 | No |
| Administrative expenses (other) incurred | 2014-12-31 | $125,907 |
| Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser | 2014-12-31 | No |
| Value of net income/loss | 2014-12-31 | $-221,681 |
| Value of net assets at end of year (total assets less liabilities) | 2014-12-31 | $35,298,939 |
| Value of net assets at beginning of year (total assets less liabilities) | 2014-12-31 | $35,520,620 |
| Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond) | 2014-12-31 | No |
| Were any loans by the plan or fixed income obligations due to the plan in default | 2014-12-31 | No |
| Were any leases to which the plan was party in default or uncollectible | 2014-12-31 | No |
| Investment advisory and management fees | 2014-12-31 | $52,500 |
| Value of interest in registered invesment companies (eg mutual funds) at end of year | 2014-12-31 | $35,298,939 |
| Value of interest in registered invesment companies (eg mutual funds) at beginning of year | 2014-12-31 | $35,520,620 |
| Net investment gain/loss from registered investment companies (e.g. mutual funds) | 2014-12-31 | $1,181,713 |
| Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets | 2014-12-31 | Yes |
| Was there a failure to transmit to the plan any participant contributions | 2014-12-31 | No |
| Has the plan failed to provide any benefit when due under the plan | 2014-12-31 | No |
| Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers | 2014-12-31 | $2,181,214 |
| Did the plan have assets held for investment | 2014-12-31 | 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 | 2014-12-31 | No |
| Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC | 2014-12-31 | No |
| Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d) | 2014-12-31 | Yes |
| Opinion of an independent qualified public accountant for this plan | 2014-12-31 | Disclaimer |
| Accountancy firm name | 2014-12-31 | COHNREZNICK LLP |
| Accountancy firm EIN | 2014-12-31 | 221478099 |
| 2013 : RETIREMENT PLAN FOR EMPLOYEES OF AMERICAN ARBITRATION ASSOCIATION 2013 401k financial data |
|---|
| Total income from all sources (including contributions) | 2013-12-31 | $3,670,313 |
| Total of all expenses incurred | 2013-12-31 | $2,353,045 |
| Benefit payments and payments to participlants,beneficiaries,insurance carriers and others | 2013-12-31 | $2,152,685 |
| Value of total assets at end of year | 2013-12-31 | $35,520,620 |
| Value of total assets at beginning of year | 2013-12-31 | $34,203,352 |
| Total of administrative expenses incurred including professional, contract, advisory and management fees | 2013-12-31 | $200,360 |
| Total dividends received (eg from common stock, registered investment company shares) | 2013-12-31 | $1,003,787 |
| Has a resolution to terminate the plan been adopted during the plan year or any prior plan year | 2013-12-31 | No |
| Total dividends received from registered investment company shares (eg mutual funds) | 2013-12-31 | $1,003,787 |
| Administrative expenses professional fees incurred | 2013-12-31 | $70,500 |
| Was this plan covered by a fidelity bond | 2013-12-31 | Yes |
| Value of fidelity bond cover | 2013-12-31 | $15,000,000 |
| Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities | 2013-12-31 | $0 |
| Were there any nonexempt tranactions with any party-in-interest | 2013-12-31 | No |
| Administrative expenses (other) incurred | 2013-12-31 | $65,485 |
| Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser | 2013-12-31 | No |
| Value of net income/loss | 2013-12-31 | $1,317,268 |
| Value of net assets at end of year (total assets less liabilities) | 2013-12-31 | $35,520,620 |
| Value of net assets at beginning of year (total assets less liabilities) | 2013-12-31 | $34,203,352 |
| Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond) | 2013-12-31 | No |
| Were any loans by the plan or fixed income obligations due to the plan in default | 2013-12-31 | No |
| Were any leases to which the plan was party in default or uncollectible | 2013-12-31 | No |
| Investment advisory and management fees | 2013-12-31 | $64,375 |
| Value of interest in registered invesment companies (eg mutual funds) at end of year | 2013-12-31 | $35,520,620 |
| Value of interest in registered invesment companies (eg mutual funds) at beginning of year | 2013-12-31 | $32,435,115 |
| Value of interest in common/collective trusts at end of year | 2013-12-31 | $0 |
| Value of interest in common/collective trusts at beginning of year | 2013-12-31 | $1,768,237 |
| Net investment gain/loss from registered investment companies (e.g. mutual funds) | 2013-12-31 | $2,597,241 |
| Net investment gain or loss from common/collective trusts | 2013-12-31 | $69,285 |
| Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets | 2013-12-31 | Yes |
| Was there a failure to transmit to the plan any participant contributions | 2013-12-31 | No |
| Has the plan failed to provide any benefit when due under the plan | 2013-12-31 | No |
| Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers | 2013-12-31 | $2,152,685 |
| Did the plan have assets held for investment | 2013-12-31 | 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 | 2013-12-31 | No |
| Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC | 2013-12-31 | No |
| Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d) | 2013-12-31 | Yes |
| Opinion of an independent qualified public accountant for this plan | 2013-12-31 | Disclaimer |
| Accountancy firm name | 2013-12-31 | COHNREZNICK LLP |
| Accountancy firm EIN | 2013-12-31 | 221478099 |
| 2012 : RETIREMENT PLAN FOR EMPLOYEES OF AMERICAN ARBITRATION ASSOCIATION 2012 401k financial data |
|---|
| Total income from all sources (including contributions) | 2012-12-31 | $4,943,728 |
| Total of all expenses incurred | 2012-12-31 | $2,328,075 |
| Benefit payments and payments to participlants,beneficiaries,insurance carriers and others | 2012-12-31 | $2,158,672 |
| Total contributions o plan (from employers,participants, others, non cash contrinutions) | 2012-12-31 | $1,000,000 |
| Value of total assets at end of year | 2012-12-31 | $34,203,352 |
| Value of total assets at beginning of year | 2012-12-31 | $31,587,699 |
| Total of administrative expenses incurred including professional, contract, advisory and management fees | 2012-12-31 | $169,403 |
| Total interest from all sources | 2012-12-31 | $8,808 |
| Total dividends received (eg from common stock, registered investment company shares) | 2012-12-31 | $1,062,610 |
| Has a resolution to terminate the plan been adopted during the plan year or any prior plan year | 2012-12-31 | No |
| Total dividends received from registered investment company shares (eg mutual funds) | 2012-12-31 | $1,062,610 |
| Administrative expenses professional fees incurred | 2012-12-31 | $77,000 |
| Was this plan covered by a fidelity bond | 2012-12-31 | Yes |
| Value of fidelity bond cover | 2012-12-31 | $15,000,000 |
| Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities | 2012-12-31 | $0 |
| Were there any nonexempt tranactions with any party-in-interest | 2012-12-31 | No |
| Administrative expenses (other) incurred | 2012-12-31 | $54,903 |
| Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser | 2012-12-31 | No |
| Value of net income/loss | 2012-12-31 | $2,615,653 |
| Value of net assets at end of year (total assets less liabilities) | 2012-12-31 | $34,203,352 |
| Value of net assets at beginning of year (total assets less liabilities) | 2012-12-31 | $31,587,699 |
| Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond) | 2012-12-31 | No |
| Were any loans by the plan or fixed income obligations due to the plan in default | 2012-12-31 | No |
| Were any leases to which the plan was party in default or uncollectible | 2012-12-31 | No |
| Investment advisory and management fees | 2012-12-31 | $37,500 |
| Value of interest in registered invesment companies (eg mutual funds) at end of year | 2012-12-31 | $32,435,115 |
| Value of interest in registered invesment companies (eg mutual funds) at beginning of year | 2012-12-31 | $29,954,676 |
| Interest earned on other investments | 2012-12-31 | $8,808 |
| Value of interest in common/collective trusts at end of year | 2012-12-31 | $1,768,237 |
| Value of interest in common/collective trusts at beginning of year | 2012-12-31 | $1,523,658 |
| Value of funds held in insurance company general accounts (unallocated contracts) at end of year | 2012-12-31 | $0 |
| Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year | 2012-12-31 | $109,365 |
| Net investment gain/loss from registered investment companies (e.g. mutual funds) | 2012-12-31 | $2,627,731 |
| Net investment gain or loss from common/collective trusts | 2012-12-31 | $244,579 |
| Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets | 2012-12-31 | Yes |
| Was there a failure to transmit to the plan any participant contributions | 2012-12-31 | No |
| Has the plan failed to provide any benefit when due under the plan | 2012-12-31 | No |
| Contributions received in cash from employer | 2012-12-31 | $1,000,000 |
| Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers | 2012-12-31 | $2,158,672 |
| Did the plan have assets held for investment | 2012-12-31 | 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 | 2012-12-31 | No |
| Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC | 2012-12-31 | No |
| Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d) | 2012-12-31 | Yes |
| Opinion of an independent qualified public accountant for this plan | 2012-12-31 | Disclaimer |
| Accountancy firm name | 2012-12-31 | COHNREZNICK LLP |
| Accountancy firm EIN | 2012-12-31 | 221478099 |
| 2011 : RETIREMENT PLAN FOR EMPLOYEES OF AMERICAN ARBITRATION ASSOCIATION 2011 401k financial data |
|---|
| Total income from all sources (including contributions) | 2011-12-31 | $1,898,523 |
| Total of all expenses incurred | 2011-12-31 | $2,483,910 |
| Benefit payments and payments to participlants,beneficiaries,insurance carriers and others | 2011-12-31 | $2,331,283 |
| Total contributions o plan (from employers,participants, others, non cash contrinutions) | 2011-12-31 | $1,250,000 |
| Value of total assets at end of year | 2011-12-31 | $31,587,699 |
| Value of total assets at beginning of year | 2011-12-31 | $32,173,086 |
| Total of administrative expenses incurred including professional, contract, advisory and management fees | 2011-12-31 | $152,627 |
| Total interest from all sources | 2011-12-31 | $15,608 |
| Total dividends received (eg from common stock, registered investment company shares) | 2011-12-31 | $1,153,483 |
| Has a resolution to terminate the plan been adopted during the plan year or any prior plan year | 2011-12-31 | No |
| Total dividends received from registered investment company shares (eg mutual funds) | 2011-12-31 | $1,153,483 |
| Administrative expenses professional fees incurred | 2011-12-31 | $74,000 |
| Was this plan covered by a fidelity bond | 2011-12-31 | Yes |
| Value of fidelity bond cover | 2011-12-31 | $15,000,000 |
| Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities | 2011-12-31 | $0 |
| Were there any nonexempt tranactions with any party-in-interest | 2011-12-31 | No |
| Administrative expenses (other) incurred | 2011-12-31 | $28,627 |
| Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser | 2011-12-31 | No |
| Value of net income/loss | 2011-12-31 | $-585,387 |
| Value of net assets at end of year (total assets less liabilities) | 2011-12-31 | $31,587,699 |
| Value of net assets at beginning of year (total assets less liabilities) | 2011-12-31 | $32,173,086 |
| Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond) | 2011-12-31 | No |
| Were any loans by the plan or fixed income obligations due to the plan in default | 2011-12-31 | No |
| Were any leases to which the plan was party in default or uncollectible | 2011-12-31 | No |
| Investment advisory and management fees | 2011-12-31 | $50,000 |
| Value of interest in registered invesment companies (eg mutual funds) at end of year | 2011-12-31 | $29,954,676 |
| Value of interest in registered invesment companies (eg mutual funds) at beginning of year | 2011-12-31 | $30,086,912 |
| Interest earned on other investments | 2011-12-31 | $15,608 |
| Value of interest in common/collective trusts at end of year | 2011-12-31 | $1,523,658 |
| Value of interest in common/collective trusts at beginning of year | 2011-12-31 | $904,599 |
| Value of funds held in insurance company general accounts (unallocated contracts) at end of year | 2011-12-31 | $109,365 |
| Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year | 2011-12-31 | $331,575 |
| Net investment gain/loss from registered investment companies (e.g. mutual funds) | 2011-12-31 | $-514,627 |
| Net investment gain or loss from common/collective trusts | 2011-12-31 | $-5,941 |
| Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets | 2011-12-31 | Yes |
| Was there a failure to transmit to the plan any participant contributions | 2011-12-31 | No |
| Has the plan failed to provide any benefit when due under the plan | 2011-12-31 | No |
| Contributions received in cash from employer | 2011-12-31 | $1,250,000 |
| Employer contributions (assets) at beginning of year | 2011-12-31 | $850,000 |
| Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers | 2011-12-31 | $2,331,283 |
| Did the plan have assets held for investment | 2011-12-31 | 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 | 2011-12-31 | No |
| Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC | 2011-12-31 | No |
| Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d) | 2011-12-31 | Yes |
| Opinion of an independent qualified public accountant for this plan | 2011-12-31 | Disclaimer |
| Accountancy firm name | 2011-12-31 | COHNREZNICK LLP |
| Accountancy firm EIN | 2011-12-31 | 221478099 |
| 2010 : RETIREMENT PLAN FOR EMPLOYEES OF AMERICAN ARBITRATION ASSOCIATION 2010 401k financial data |
|---|
| Total income from all sources (including contributions) | 2010-12-31 | $6,654,968 |
| Total of all expenses incurred | 2010-12-31 | $2,271,137 |
| Benefit payments and payments to participlants,beneficiaries,insurance carriers and others | 2010-12-31 | $2,154,836 |
| Total contributions o plan (from employers,participants, others, non cash contrinutions) | 2010-12-31 | $3,350,000 |
| Value of total assets at end of year | 2010-12-31 | $32,173,086 |
| Value of total assets at beginning of year | 2010-12-31 | $27,789,255 |
| Total of administrative expenses incurred including professional, contract, advisory and management fees | 2010-12-31 | $116,301 |
| Total interest from all sources | 2010-12-31 | $12,058 |
| Total dividends received (eg from common stock, registered investment company shares) | 2010-12-31 | $1,246,654 |
| Has a resolution to terminate the plan been adopted during the plan year or any prior plan year | 2010-12-31 | No |
| Total dividends received from registered investment company shares (eg mutual funds) | 2010-12-31 | $1,246,654 |
| Administrative expenses professional fees incurred | 2010-12-31 | $59,750 |
| Was this plan covered by a fidelity bond | 2010-12-31 | Yes |
| Value of fidelity bond cover | 2010-12-31 | $15,000,000 |
| Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities | 2010-12-31 | $0 |
| Were there any nonexempt tranactions with any party-in-interest | 2010-12-31 | No |
| Administrative expenses (other) incurred | 2010-12-31 | $6,551 |
| Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser | 2010-12-31 | No |
| Value of net income/loss | 2010-12-31 | $4,383,831 |
| Value of net assets at end of year (total assets less liabilities) | 2010-12-31 | $32,173,086 |
| Value of net assets at beginning of year (total assets less liabilities) | 2010-12-31 | $27,789,255 |
| Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond) | 2010-12-31 | No |
| Were any loans by the plan or fixed income obligations due to the plan in default | 2010-12-31 | No |
| Were any leases to which the plan was party in default or uncollectible | 2010-12-31 | No |
| Investment advisory and management fees | 2010-12-31 | $50,000 |
| Value of interest in registered invesment companies (eg mutual funds) at end of year | 2010-12-31 | $30,086,912 |
| Value of interest in registered invesment companies (eg mutual funds) at beginning of year | 2010-12-31 | $26,527,903 |
| Interest earned on other investments | 2010-12-31 | $12,058 |
| Value of interest in common/collective trusts at end of year | 2010-12-31 | $904,599 |
| Value of interest in common/collective trusts at beginning of year | 2010-12-31 | $650,859 |
| Value of funds held in insurance company general accounts (unallocated contracts) at end of year | 2010-12-31 | $331,575 |
| Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year | 2010-12-31 | $610,493 |
| Net investment gain/loss from registered investment companies (e.g. mutual funds) | 2010-12-31 | $1,929,212 |
| Net investment gain or loss from common/collective trusts | 2010-12-31 | $117,044 |
| Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets | 2010-12-31 | Yes |
| Was there a failure to transmit to the plan any participant contributions | 2010-12-31 | No |
| Has the plan failed to provide any benefit when due under the plan | 2010-12-31 | No |
| Contributions received in cash from employer | 2010-12-31 | $3,350,000 |
| Employer contributions (assets) at end of year | 2010-12-31 | $850,000 |
| Employer contributions (assets) at beginning of year | 2010-12-31 | $0 |
| Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers | 2010-12-31 | $2,154,836 |
| Did the plan have assets held for investment | 2010-12-31 | 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 | 2010-12-31 | No |
| Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC | 2010-12-31 | No |
| Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d) | 2010-12-31 | Yes |
| Opinion of an independent qualified public accountant for this plan | 2010-12-31 | Disclaimer |
| Accountancy firm name | 2010-12-31 | JH COHN LLP |
| Accountancy firm EIN | 2010-12-31 | 221478099 |
| 2009 : RETIREMENT PLAN FOR EMPLOYEES OF AMERICAN ARBITRATION ASSOCIATION 2009 401k financial data |
|---|
| Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities | 2009-12-31 | $0 |
