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K & L INVESTMENTS, LLC 401(K) PROFIT SHARING PLAN 401k Plan overview

Plan NameK & L INVESTMENTS, LLC 401(K) PROFIT SHARING PLAN
Plan identification number 001

K & L INVESTMENTS, LLC 401(K) PROFIT SHARING PLAN Benefits

401k Plan TypeDefined Contribution Pension
Plan Features/Benefits
  • 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.
  • Total or partial participant-directed account plan - plan uses default investment account for participants who fail to direct assets in their account.
  • 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

K & L INVESTMENTS, LLC has sponsored the creation of one or more 401k plans.

Company Name:K & L INVESTMENTS, LLC
Employer identification number (EIN):205484589
NAIC Classification:621210
NAIC Description:Offices of Dentists

Form 5500 Filing Information

Submission information for form 5500 for 401k plan K & L INVESTMENTS, LLC 401(K) PROFIT SHARING PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator SignedName of Company SponsorDate Sponsor Signed
0012019-01-01NATHANIEL URQUHART2020-10-06
0012018-01-01NATHANIEL URQUHART2019-07-30 NATHANIEL URQUHART2019-07-30
0012017-01-01NATHANIEL URQUHART2018-10-04 NATHANIEL URQUHART2018-10-04
0012016-01-01NATHANIEL URQUHART2017-09-08 NATHANIEL URQUHART2017-09-08
0012015-01-01NATHANIEL URQUHART NATHANIEL URQUHART2016-10-05
0012014-01-01NATHANIEL URQUHART NATHANIEL URQUHART2015-10-15
0012013-01-01NATHANIEL URQUHART NATHANIEL URQUHART2014-06-09
0012012-01-01NATHANIEL URQUHART NATHANIEL URQUHART2013-10-11
0012011-01-01NATHANIEL URQUHART NATHANIEL URQUHART2013-10-08

Plan Statistics for K & L INVESTMENTS, LLC 401(K) PROFIT SHARING PLAN

401k plan membership statisitcs for K & L INVESTMENTS, LLC 401(K) PROFIT SHARING PLAN

Measure Date Value
2015: K & L INVESTMENTS, LLC 401(K) PROFIT SHARING PLAN 2015 401k membership
Total participants, beginning-of-year2015-01-0138
Total number of active participants reported on line 7a of the Form 55002015-01-0120
Number of retired or separated participants receiving benefits2015-01-010
Number of other retired or separated participants entitled to future benefits2015-01-0118
Total of all active and inactive participants2015-01-0138
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2015-01-010
Total participants2015-01-0138
Number of participants with account balances2015-01-0137
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2015-01-011
2014: K & L INVESTMENTS, LLC 401(K) PROFIT SHARING PLAN 2014 401k membership
Total participants, beginning-of-year2014-01-0137
Total number of active participants reported on line 7a of the Form 55002014-01-0122
Number of retired or separated participants receiving benefits2014-01-010
Number of other retired or separated participants entitled to future benefits2014-01-0114
Total of all active and inactive participants2014-01-0136
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2014-01-010
Total participants2014-01-0136
Number of participants with account balances2014-01-0136
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2014-01-012
2013: K & L INVESTMENTS, LLC 401(K) PROFIT SHARING PLAN 2013 401k membership
Total participants, beginning-of-year2013-01-0142
Total number of active participants reported on line 7a of the Form 55002013-01-0123
Number of retired or separated participants receiving benefits2013-01-010
Number of other retired or separated participants entitled to future benefits2013-01-0113
Total of all active and inactive participants2013-01-0136
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2013-01-010
Total participants2013-01-0136
Number of participants with account balances2013-01-0133
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2013-01-010
2012: K & L INVESTMENTS, LLC 401(K) PROFIT SHARING PLAN 2012 401k membership
Total participants, beginning-of-year2012-01-0143
Total number of active participants reported on line 7a of the Form 55002012-01-0127
Number of retired or separated participants receiving benefits2012-01-010
Number of other retired or separated participants entitled to future benefits2012-01-0113
Total of all active and inactive participants2012-01-0140
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2012-01-010
Total participants2012-01-0140
Number of participants with account balances2012-01-0129
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2012-01-010
2011: K & L INVESTMENTS, LLC 401(K) PROFIT SHARING PLAN 2011 401k membership
Total participants, beginning-of-year2011-01-0138
Total number of active participants reported on line 7a of the Form 55002011-01-0122
Number of other retired or separated participants entitled to future benefits2011-01-0116
Total of all active and inactive participants2011-01-0138
Total participants2011-01-0138
Number of participants with account balances2011-01-0134
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2011-01-010

Financial Data on K & L INVESTMENTS, LLC 401(K) PROFIT SHARING PLAN

Measure Date Value
2015 : K & L INVESTMENTS, LLC 401(K) PROFIT SHARING PLAN 2015 401k financial data
Total income from all sources2015-12-31$101,229
Expenses. Total of all expenses incurred2015-12-31$8,862
Benefits paid (including direct rollovers)2015-12-31$8,362
Total plan assets at end of year2015-12-31$1,076,026
Total plan assets at beginning of year2015-12-31$983,659
Value of fidelity bond covering the plan2015-12-31$50,000
Total contributions received or receivable from participants2015-12-31$79,185
Assets. Value of loans (other than to participants)2015-12-31$0
Other income received2015-12-31$-17,151
Net income (gross income less expenses)2015-12-31$92,367
Net plan assets at end of year (total assets less liabilities)2015-12-31$1,076,026
Net plan assets at beginning of year (total assets less liabilities)2015-12-31$983,659
Total contributions received or receivable from employer(s)2015-12-31$39,195
Expenses. Administrative service providers (salaries,fees and commissions)2015-12-31$500
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2015-12-31$0
2014 : K & L INVESTMENTS, LLC 401(K) PROFIT SHARING PLAN 2014 401k financial data
Total income from all sources2014-12-31$179,241
Expenses. Total of all expenses incurred2014-12-31$80,053
Benefits paid (including direct rollovers)2014-12-31$12,331
Total plan assets at end of year2014-12-31$983,659
Total plan assets at beginning of year2014-12-31$884,471
Value of fidelity bond covering the plan2014-12-31$50,000
Total contributions received or receivable from participants2014-12-31$94,091
Assets. Value of loans (other than to participants)2014-12-31$35,373
Other income received2014-12-31$40,150
Net income (gross income less expenses)2014-12-31$99,188
Net plan assets at end of year (total assets less liabilities)2014-12-31$983,659
Net plan assets at beginning of year (total assets less liabilities)2014-12-31$884,471
Value of participant contributions where there was a failure to transmit these to the plan within the time period described in 29 CFR 2510.3-1022014-12-31$13,300
Total contributions received or receivable from employer(s)2014-12-31$45,000
Value of corrective distributions2014-12-31$67,422
Expenses. Administrative service providers (salaries,fees and commissions)2014-12-31$300
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2014-12-31$0
2013 : K & L INVESTMENTS, LLC 401(K) PROFIT SHARING PLAN 2013 401k financial data
Total income from all sources2013-12-31$202,132
Expenses. Total of all expenses incurred2013-12-31$15,863
Benefits paid (including direct rollovers)2013-12-31$15,463
Total plan assets at end of year2013-12-31$884,471
Total plan assets at beginning of year2013-12-31$698,202
Value of fidelity bond covering the plan2013-12-31$50,000
Total contributions received or receivable from participants2013-12-31$85,819
Assets. Value of loans (other than to participants)2013-12-31$49,024
Other income received2013-12-31$116,313
Net income (gross income less expenses)2013-12-31$186,269
Net plan assets at end of year (total assets less liabilities)2013-12-31$884,471
Net plan assets at beginning of year (total assets less liabilities)2013-12-31$698,202
Value of participant contributions where there was a failure to transmit these to the plan within the time period described in 29 CFR 2510.3-1022013-12-31$13,300
Expenses. Administrative service providers (salaries,fees and commissions)2013-12-31$400
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2013-12-31$0
2012 : K & L INVESTMENTS, LLC 401(K) PROFIT SHARING PLAN 2012 401k financial data
Total income from all sources2012-12-31$111,700
Expenses. Total of all expenses incurred2012-12-31$12,830
Benefits paid (including direct rollovers)2012-12-31$12,130
Total plan assets at end of year2012-12-31$698,202
Total plan assets at beginning of year2012-12-31$599,332
Value of fidelity bond covering the plan2012-12-31$50,000
Total contributions received or receivable from participants2012-12-31$9,453
Assets. Value of loans (other than to participants)2012-12-31$68,432
Other income received2012-12-31$63,390
Net income (gross income less expenses)2012-12-31$98,870
Net plan assets at end of year (total assets less liabilities)2012-12-31$698,202
Net plan assets at beginning of year (total assets less liabilities)2012-12-31$599,332
Total contributions received or receivable from employer(s)2012-12-31$38,857
Expenses. Administrative service providers (salaries,fees and commissions)2012-12-31$700
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2012-12-31$0
2011 : K & L INVESTMENTS, LLC 401(K) PROFIT SHARING PLAN 2011 401k financial data
Total income from all sources2011-12-31$113,060
Expenses. Total of all expenses incurred2011-12-31$2,810
Benefits paid (including direct rollovers)2011-12-31$2,510
Total plan assets at end of year2011-12-31$596,626
Total plan assets at beginning of year2011-12-31$486,376
Value of fidelity bond covering the plan2011-12-31$50,000
Total contributions received or receivable from participants2011-12-31$93,102
Assets. Value of loans (other than to participants)2011-12-31$62,936
Other income received2011-12-31$18,302
Net income (gross income less expenses)2011-12-31$110,250
Net plan assets at end of year (total assets less liabilities)2011-12-31$596,626
Net plan assets at beginning of year (total assets less liabilities)2011-12-31$486,376
Total contributions received or receivable from employer(s)2011-12-31$1,656
Expenses. Administrative service providers (salaries,fees and commissions)2011-12-31$300
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2011-12-31$0

Form 5500 Responses for K & L INVESTMENTS, LLC 401(K) PROFIT SHARING PLAN

2015: K & L INVESTMENTS, LLC 401(K) PROFIT SHARING PLAN 2015 form 5500 responses
2015-01-01Type of plan entitySingle employer plan
2015-01-01Submission has been amendedNo
2015-01-01This submission is the final filingNo
2015-01-01This return/report is a short plan year return/report (less than 12 months)No
2015-01-01Plan is a collectively bargained planNo
2015-01-01Plan funding arrangement – InsuranceYes
2015-01-01Plan funding arrangement – TrustYes
2015-01-01Plan benefit arrangement - TrustYes
2014: K & L INVESTMENTS, LLC 401(K) PROFIT SHARING PLAN 2014 form 5500 responses
2014-01-01Type of plan entitySingle employer plan
2014-01-01Submission has been amendedNo
2014-01-01This submission is the final filingNo
2014-01-01This return/report is a short plan year return/report (less than 12 months)No
2014-01-01Plan is a collectively bargained planNo
2014-01-01Plan funding arrangement – InsuranceYes
2014-01-01Plan funding arrangement – TrustYes
2014-01-01Plan benefit arrangement - TrustYes
2013: K & L INVESTMENTS, LLC 401(K) PROFIT SHARING PLAN 2013 form 5500 responses
2013-01-01Type of plan entitySingle employer plan
2013-01-01Submission has been amendedNo
2013-01-01This submission is the final filingNo
2013-01-01This return/report is a short plan year return/report (less than 12 months)No
2013-01-01Plan is a collectively bargained planNo
2013-01-01Plan funding arrangement – InsuranceYes
2013-01-01Plan funding arrangement – TrustYes
2013-01-01Plan benefit arrangement - TrustYes
2012: K & L INVESTMENTS, LLC 401(K) PROFIT SHARING PLAN 2012 form 5500 responses
2012-01-01Type of plan entitySingle employer plan
2012-01-01Submission has been amendedNo
2012-01-01This submission is the final filingNo
2012-01-01This return/report is a short plan year return/report (less than 12 months)No
2012-01-01Plan is a collectively bargained planNo
2012-01-01Plan funding arrangement – InsuranceYes
2012-01-01Plan funding arrangement – TrustYes
2012-01-01Plan benefit arrangement - TrustYes
2011: K & L INVESTMENTS, LLC 401(K) PROFIT SHARING PLAN 2011 form 5500 responses
2011-01-01Type of plan entitySingle employer plan
2011-01-01Submission has been amendedYes
2011-01-01This submission is the final filingNo
2011-01-01This return/report is a short plan year return/report (less than 12 months)No
2011-01-01Plan is a collectively bargained planNo
2011-01-01Plan funding arrangement – InsuranceYes
2011-01-01Plan funding arrangement – TrustYes
2011-01-01Plan benefit arrangement - TrustYes

Insurance Providers Used on plan

HARTFORD LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 88072 )
Policy contract numberGA-823998
Policy instance 1
Insurance contract or identification numberGA-823998
Number of Individuals Covered37
Insurance policy start date2015-01-01
Insurance policy end date2015-12-31
Total amount of commissions paid to insurance brokerUSD $3,126
Total amount of fees paid to insurance companyUSD $492
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
Commission paid to Insurance BrokerUSD $3,126
Insurance broker organization code?3
Amount paid for insurance broker fees492
Additional information about fees paid to insurance brokerADMINISTRATION
Insurance broker nameSUNWEST PENSIONS
HARTFORD LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 88072 )
Policy contract numberGA-823998
Policy instance 1
Insurance contract or identification numberGA-823998
Number of Individuals Covered36
Insurance policy start date2014-01-01
Insurance policy end date2014-12-31
Total amount of commissions paid to insurance brokerUSD $2,410
Total amount of fees paid to insurance companyUSD $427
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
Commission paid to Insurance BrokerUSD $2,410
Insurance broker organization code?3
Amount paid for insurance broker fees427
Additional information about fees paid to insurance brokerADMINISTRATION
Insurance broker nameSUNWEST PENSIONS
HARTFORD LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 88072 )
Policy contract numberGA-823998
Policy instance 1
Insurance contract or identification numberGA-823998
Number of Individuals Covered33
Insurance policy start date2013-01-01
Insurance policy end date2013-12-31
Total amount of commissions paid to insurance brokerUSD $2,159
Total amount of fees paid to insurance companyUSD $338
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
Commission paid to Insurance BrokerUSD $2,159
Insurance broker organization code?3
Amount paid for insurance broker fees338
Additional information about fees paid to insurance brokerADMINISTRATION
Insurance broker nameSUNWEST PENSIONS
HARTFORD LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 88072 )
Policy contract numberGA-823998
Policy instance 1
Insurance contract or identification numberGA-823998
Number of Individuals Covered29
Insurance policy start date2012-01-01
Insurance policy end date2012-12-31
Total amount of commissions paid to insurance brokerUSD $1,483
Total amount of fees paid to insurance companyUSD $841
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
Commission paid to Insurance BrokerUSD $1,483
Amount paid for insurance broker fees561
Additional information about fees paid to insurance brokerSALES/MARKETING
Insurance broker organization code?3
Insurance broker nameSUNWEST PENSIONS
HARTFORD LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 88072 )
Policy contract numberGA-823998
Policy instance 1
Insurance contract or identification numberGA-823998
Number of Individuals Covered34
Insurance policy start date2011-01-01
Insurance policy end date2011-12-31
Total amount of commissions paid to insurance brokerUSD $4,450
Total amount of fees paid to insurance companyUSD $410
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No

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