401k Plan data: MURPHY & DURIEU 401K PROFIT SHARING PLAN plan

MURPHY & DURIEU 401K PROFIT SHARING PLAN 401k Plan overview

Plan Name	MURPHY & DURIEU 401K PROFIT SHARING PLAN
Plan identification number	001

MURPHY & DURIEU 401K PROFIT SHARING PLAN Benefits

401k Plan Type

Defined Contribution Pension

Plan Features/Benefits

Profit-sharing
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.
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

MURPHY & DURIEU LP has sponsored the creation of one or more 401k plans.

Company Name: MURPHY & DURIEU LP

Employer identification number (EIN): 133081331

NAIC Classification: 523120
NAIC Description: Securities Brokerage

Form 5500 Filing Information

Submission information for form 5500 for 401k plan MURPHY & DURIEU 401K PROFIT SHARING PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2013-01-01 RICHARD PETRI
001 2012-01-01 RICHARD PETRI
001 2011-01-01 RICHARD PETRI
001 2009-01-01 RICHARD PETRI
001 2009-01-01 RICHARD PETRI

Plan id#	Filing Submission Date	Name of Administrator
001	2013-01-01	RICHARD PETRI
001	2012-01-01	RICHARD PETRI
001	2011-01-01	RICHARD PETRI
001	2009-01-01	RICHARD PETRI
001	2009-01-01	RICHARD PETRI

Plan Statistics for MURPHY & DURIEU 401K PROFIT SHARING PLAN

401k plan membership statisitcs for MURPHY & DURIEU 401K PROFIT SHARING PLAN

Measure Date Value
2013: MURPHY & DURIEU 401K PROFIT SHARING PLAN 2013 401k membership
Total participants, beginning-of-year 2013-01-01 108
Total number of active participants reported on line 7a of the Form 5500 2013-01-01 71
Number of retired or separated participants receiving benefits 2013-01-01 24
Total of all active and inactive participants 2013-01-01 95
Total participants 2013-01-01 95
Number of participants with account balances 2013-01-01 95
2012: MURPHY & DURIEU 401K PROFIT SHARING PLAN 2012 401k membership
Total participants, beginning-of-year 2012-01-01 102
Total number of active participants reported on line 7a of the Form 5500 2012-01-01 71
Number of retired or separated participants receiving benefits 2012-01-01 25
Number of other retired or separated participants entitled to future benefits 2012-01-01 8
Total of all active and inactive participants 2012-01-01 104
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2012-01-01 4
Total participants 2012-01-01 108
Number of participants with account balances 2012-01-01 97
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2012-01-01 1
2011: MURPHY & DURIEU 401K PROFIT SHARING PLAN 2011 401k membership
Total participants, beginning-of-year 2011-01-01 104
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 64
Number of retired or separated participants receiving benefits 2011-01-01 6
Number of other retired or separated participants entitled to future benefits 2011-01-01 29
Total of all active and inactive participants 2011-01-01 99
Total participants 2011-01-01 99
Number of participants with account balances 2011-01-01 102
2009: MURPHY & DURIEU 401K PROFIT SHARING PLAN 2009 401k membership
Total participants, beginning-of-year 2009-01-01 100
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 63
Number of retired or separated participants receiving benefits 2009-01-01 5
Number of other retired or separated participants entitled to future benefits 2009-01-01 31
Total of all active and inactive participants 2009-01-01 99
Total participants 2009-01-01 99
Number of participants with account balances 2009-01-01 99

Measure	Date	Value
2013: MURPHY & DURIEU 401K PROFIT SHARING PLAN 2013 401k membership
Total participants, beginning-of-year	2013-01-01	108
Total number of active participants reported on line 7a of the Form 5500	2013-01-01	71
Number of retired or separated participants receiving benefits	2013-01-01	24
Total of all active and inactive participants	2013-01-01	95
Total participants	2013-01-01	95
Number of participants with account balances	2013-01-01	95
2012: MURPHY & DURIEU 401K PROFIT SHARING PLAN 2012 401k membership
Total participants, beginning-of-year	2012-01-01	102
Total number of active participants reported on line 7a of the Form 5500	2012-01-01	71
Number of retired or separated participants receiving benefits	2012-01-01	25
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	104
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2012-01-01	4
Total participants	2012-01-01	108
Number of participants with account balances	2012-01-01	97
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2012-01-01	1
2011: MURPHY & DURIEU 401K PROFIT SHARING PLAN 2011 401k membership
Total participants, beginning-of-year	2011-01-01	104
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	64
Number of retired or separated participants receiving benefits	2011-01-01	6
Number of other retired or separated participants entitled to future benefits	2011-01-01	29
Total of all active and inactive participants	2011-01-01	99
Total participants	2011-01-01	99
Number of participants with account balances	2011-01-01	102
2009: MURPHY & DURIEU 401K PROFIT SHARING PLAN 2009 401k membership
Total participants, beginning-of-year	2009-01-01	100
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	63
Number of retired or separated participants receiving benefits	2009-01-01	5
Number of other retired or separated participants entitled to future benefits	2009-01-01	31
Total of all active and inactive participants	2009-01-01	99
Total participants	2009-01-01	99
Number of participants with account balances	2009-01-01	99

Financial Data on MURPHY & DURIEU 401K PROFIT SHARING PLAN

Measure	Date	Value
2013 : MURPHY & DURIEU 401K PROFIT SHARING PLAN 2013 401k financial data
Total income from all sources (including contributions)	2013-12-31	$3,817,906
Total of all expenses incurred	2013-12-31	$259,599
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2013-12-31	$258,372
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2013-12-31	$765,966
Value of total assets at end of year	2013-12-31	$16,419,458
Value of total assets at beginning of year	2013-12-31	$12,861,151
Total of administrative expenses incurred including professional, contract, advisory and management fees	2013-12-31	$1,227
Total interest from all sources	2013-12-31	$9,054
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2013-12-31	No
Was this plan covered by a fidelity bond	2013-12-31	Yes
Value of fidelity bond cover	2013-12-31	$500,000
If this is an individual account plan, was there a blackout period	2013-12-31	No
Were there any nonexempt tranactions with any party-in-interest	2013-12-31	No
Contributions received from participants	2013-12-31	$689,903
Participant contributions at end of year	2013-12-31	$197,225
Participant contributions at beginning of year	2013-12-31	$343,928
Income. Received or receivable in cash from other sources (including rollovers)	2013-12-31	$76,063
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	$3,558,307
Value of net assets at end of year (total assets less liabilities)	2013-12-31	$16,419,458
Value of net assets at beginning of year (total assets less liabilities)	2013-12-31	$12,861,151
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	$1,227
Value of interest in registered invesment companies (eg mutual funds) at end of year	2013-12-31	$16,222,233
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2013-12-31	$12,517,223
Interest on participant loans	2013-12-31	$9,054
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2013-12-31	$3,042,886
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	$258,372
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	TANTON AND COMPANY LLP
Accountancy firm EIN	2013-12-31	112467452
2012 : MURPHY & DURIEU 401K PROFIT SHARING PLAN 2012 401k financial data
Total income from all sources (including contributions)	2012-12-31	$2,273,836
Total of all expenses incurred	2012-12-31	$477,239
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2012-12-31	$476,339
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2012-12-31	$796,314
Value of total assets at end of year	2012-12-31	$12,861,151
Value of total assets at beginning of year	2012-12-31	$11,064,554
Total of administrative expenses incurred including professional, contract, advisory and management fees	2012-12-31	$900
Total interest from all sources	2012-12-31	$9,600
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2012-12-31	No
Was this plan covered by a fidelity bond	2012-12-31	Yes
Value of fidelity bond cover	2012-12-31	$500,000
Were there any nonexempt tranactions with any party-in-interest	2012-12-31	No
Contributions received from participants	2012-12-31	$719,347
Participant contributions at end of year	2012-12-31	$343,928
Participant contributions at beginning of year	2012-12-31	$207,178
Income. Received or receivable in cash from other sources (including rollovers)	2012-12-31	$76,967
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	$1,796,597
Value of net assets at end of year (total assets less liabilities)	2012-12-31	$12,861,151
Value of net assets at beginning of year (total assets less liabilities)	2012-12-31	$11,064,554
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	$900
Value of interest in registered invesment companies (eg mutual funds) at end of year	2012-12-31	$12,517,223
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2012-12-31	$10,857,376
Interest on participant loans	2012-12-31	$9,600
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2012-12-31	$1,467,922
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
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2012-12-31	$476,339
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	TANTON AND COMPANY LLP
Accountancy firm EIN	2012-12-31	112467452
2011 : MURPHY & DURIEU 401K PROFIT SHARING PLAN 2011 401k financial data
Total income from all sources (including contributions)	2011-12-31	$312,009
Total of all expenses incurred	2011-12-31	$1,235,790
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2011-12-31	$1,235,790
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2011-12-31	$863,043
Value of total assets at end of year	2011-12-31	$11,064,554
Value of total assets at beginning of year	2011-12-31	$11,988,335
Total interest from all sources	2011-12-31	$6,257
Total dividends received (eg from common stock, registered investment company shares)	2011-12-31	$282,761
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	$282,761
Was this plan covered by a fidelity bond	2011-12-31	Yes
Value of fidelity bond cover	2011-12-31	$500,000
Funding deficiency by the employer to the plan for this plan year	2011-12-31	$0
Minimum employer required contribution for this plan year	2011-12-31	$0
Amount contributed by the employer to the plan for this plan year	2011-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2011-12-31	No
Contributions received from participants	2011-12-31	$863,043
Participant contributions at end of year	2011-12-31	$207,178
Participant contributions at beginning of year	2011-12-31	$162,001
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)	2011-12-31	$750
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	$-923,781
Value of net assets at end of year (total assets less liabilities)	2011-12-31	$11,064,554
Value of net assets at beginning of year (total assets less liabilities)	2011-12-31	$11,988,335
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
Value of interest in registered invesment companies (eg mutual funds) at end of year	2011-12-31	$10,857,376
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2011-12-31	$11,826,334
Interest on participant loans	2011-12-31	$6,257
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2011-12-31	$-840,052
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
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2011-12-31	$1,235,040
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	TANTON AND COMPANY LLP
Accountancy firm EIN	2011-12-31	112467452
2009 : MURPHY & DURIEU 401K PROFIT SHARING PLAN 2009 401k financial data
Funding deficiency by the employer to the plan for this plan year	2009-12-31	$0
Minimum employer required contribution for this plan year	2009-12-31	$0
Amount contributed by the employer to the plan for this plan year	2009-12-31	$0

Form 5500 Responses for MURPHY & DURIEU 401K PROFIT SHARING PLAN

2013: MURPHY & DURIEU 401K PROFIT SHARING PLAN 2013 form 5500 responses
2013-01-01	Type of plan entity	Single employer plan
2013-01-01	Plan funding arrangement – Trust	Yes
2013-01-01	Plan benefit arrangement - Trust	Yes
2012: MURPHY & DURIEU 401K PROFIT SHARING PLAN 2012 form 5500 responses
2012-01-01	Type of plan entity	Single employer plan
2012-01-01	Plan funding arrangement – Trust	Yes
2012-01-01	Plan benefit arrangement - Trust	Yes
2011: MURPHY & DURIEU 401K PROFIT SHARING PLAN 2011 form 5500 responses
2011-01-01	Type of plan entity	Single employer plan
2011-01-01	Plan funding arrangement – Trust	Yes
2011-01-01	Plan benefit arrangement - Trust	Yes
2009: MURPHY & DURIEU 401K PROFIT SHARING PLAN 2009 form 5500 responses
2009-01-01	Type of plan entity	Single employer plan
2009-01-01	Plan funding arrangement – Trust	Yes
2009-01-01	Plan benefit arrangement - Trust	Yes

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Company Name:	MURPHY & DURIEU LP
Employer identification number (EIN):	133081331
NAIC Classification:	523120
NAIC Description:	Securities Brokerage