401k Plan data: ROCKY MOUNTAIN ADVISORY RETIREMENT PLAN plan

ROCKY MOUNTAIN ADVISORY RETIREMENT PLAN 401k Plan overview

Plan Name	ROCKY MOUNTAIN ADVISORY RETIREMENT PLAN
Plan identification number	001

ROCKY MOUNTAIN ADVISORY RETIREMENT 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.
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

ROCKY MOUNTAIN ADVISORY, LLC has sponsored the creation of one or more 401k plans.

Company Name: ROCKY MOUNTAIN ADVISORY, LLC

Employer identification number (EIN): 271539411

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

Form 5500 Filing Information

Submission information for form 5500 for 401k plan ROCKY MOUNTAIN ADVISORY RETIREMENT PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2022-01-01
001 2021-01-01
001 2020-01-01
001 2019-01-01
001 2018-01-01
001 2017-01-01 JOHN CURTIS
001 2017-01-01 JOHN CURTIS
001 2016-01-01 JOHN CURTIS
001 2015-01-01 JOHN CURTIS
001 2014-01-01 JOHN CURTIS
001 2013-01-01 JOHN CURTIS
001 2012-01-01 JOHN CURTIS 2013-10-10 JOHN CURTIS 2013-10-10
001 2011-01-01 JOHN CURTIS 2012-05-29 JOHN CURTIS 2012-05-29
001 2010-01-01 JOHN CURTIS 2011-07-21 JOHN CURTIS 2011-07-21

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed	Name of Company Sponsor	Date Sponsor Signed
001	2022-01-01
001	2021-01-01
001	2020-01-01
001	2019-01-01
001	2018-01-01
001	2017-01-01	JOHN CURTIS
001	2017-01-01	JOHN CURTIS
001	2016-01-01	JOHN CURTIS
001	2015-01-01	JOHN CURTIS
001	2014-01-01	JOHN CURTIS
001	2013-01-01	JOHN CURTIS
001	2012-01-01	JOHN CURTIS	2013-10-10	JOHN CURTIS	2013-10-10
001	2011-01-01	JOHN CURTIS	2012-05-29	JOHN CURTIS	2012-05-29
001	2010-01-01	JOHN CURTIS	2011-07-21	JOHN CURTIS	2011-07-21

Plan Statistics for ROCKY MOUNTAIN ADVISORY RETIREMENT PLAN

401k plan membership statisitcs for ROCKY MOUNTAIN ADVISORY RETIREMENT PLAN

Measure Date Value
2022: ROCKY MOUNTAIN ADVISORY RETIREMENT PLAN 2022 401k membership
Total participants, beginning-of-year 2022-01-01 13
Total number of active participants reported on line 7a of the Form 5500 2022-01-01 10
Number of retired or separated participants receiving benefits 2022-01-01 0
Number of other retired or separated participants entitled to future benefits 2022-01-01 4
Total of all active and inactive participants 2022-01-01 14
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2022-01-01 0
Total participants 2022-01-01 14
Number of participants with account balances 2022-01-01 14
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2022-01-01 1
2021: ROCKY MOUNTAIN ADVISORY RETIREMENT PLAN 2021 401k membership
Total participants, beginning-of-year 2021-01-01 13
Total number of active participants reported on line 7a of the Form 5500 2021-01-01 10
Number of retired or separated participants receiving benefits 2021-01-01 0
Number of other retired or separated participants entitled to future benefits 2021-01-01 3
Total of all active and inactive participants 2021-01-01 13
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2021-01-01 0
Total participants 2021-01-01 13
Number of participants with account balances 2021-01-01 13
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2021-01-01 0
2020: ROCKY MOUNTAIN ADVISORY RETIREMENT PLAN 2020 401k membership
Total participants, beginning-of-year 2020-01-01 14
Total number of active participants reported on line 7a of the Form 5500 2020-01-01 10
Number of retired or separated participants receiving benefits 2020-01-01 0
Number of other retired or separated participants entitled to future benefits 2020-01-01 3
Total of all active and inactive participants 2020-01-01 13
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2020-01-01 0
Total participants 2020-01-01 13
Number of participants with account balances 2020-01-01 13
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2020-01-01 1
2019: ROCKY MOUNTAIN ADVISORY RETIREMENT PLAN 2019 401k membership
Total participants, beginning-of-year 2019-01-01 13
Total number of active participants reported on line 7a of the Form 5500 2019-01-01 13
Number of retired or separated participants receiving benefits 2019-01-01 0
Number of other retired or separated participants entitled to future benefits 2019-01-01 1
Total of all active and inactive participants 2019-01-01 14
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2019-01-01 0
Total participants 2019-01-01 14
Number of participants with account balances 2019-01-01 14
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2019-01-01 0
2018: ROCKY MOUNTAIN ADVISORY RETIREMENT PLAN 2018 401k membership
Total participants, beginning-of-year 2018-01-01 14
Total number of active participants reported on line 7a of the Form 5500 2018-01-01 12
Number of retired or separated participants receiving benefits 2018-01-01 0
Number of other retired or separated participants entitled to future benefits 2018-01-01 1
Total of all active and inactive participants 2018-01-01 13
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2018-01-01 0
Total participants 2018-01-01 13
Number of participants with account balances 2018-01-01 13
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2018-01-01 0
2017: ROCKY MOUNTAIN ADVISORY RETIREMENT PLAN 2017 401k membership
Total participants, beginning-of-year 2017-01-01 14
Total number of active participants reported on line 7a of the Form 5500 2017-01-01 13
Number of retired or separated participants receiving benefits 2017-01-01 0
Number of other retired or separated participants entitled to future benefits 2017-01-01 1
Total of all active and inactive participants 2017-01-01 14
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2017-01-01 0
Total participants 2017-01-01 14
Number of participants with account balances 2017-01-01 14
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2017-01-01 0
2016: ROCKY MOUNTAIN ADVISORY RETIREMENT PLAN 2016 401k membership
Total participants, beginning-of-year 2016-01-01 14
Total number of active participants reported on line 7a of the Form 5500 2016-01-01 13
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 1
Total of all active and inactive participants 2016-01-01 14
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2016-01-01 0
Total participants 2016-01-01 14
Number of participants with account balances 2016-01-01 14
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2016-01-01 0
2015: ROCKY MOUNTAIN ADVISORY RETIREMENT PLAN 2015 401k membership
Total participants, beginning-of-year 2015-01-01 11
Total number of active participants reported on line 7a of the Form 5500 2015-01-01 11
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 3
Total of all active and inactive participants 2015-01-01 14
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2015-01-01 0
Total participants 2015-01-01 14
Number of participants with account balances 2015-01-01 14
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2015-01-01 3
2014: ROCKY MOUNTAIN ADVISORY RETIREMENT PLAN 2014 401k membership
Total participants, beginning-of-year 2014-01-01 13
Total number of active participants reported on line 7a of the Form 5500 2014-01-01 11
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 0
Total of all active and inactive participants 2014-01-01 11
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2014-01-01 0
Total participants 2014-01-01 11
Number of participants with account balances 2014-01-01 11
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2014-01-01 1
2013: ROCKY MOUNTAIN ADVISORY RETIREMENT PLAN 2013 401k membership
Total participants, beginning-of-year 2013-01-01 12
Total number of active participants reported on line 7a of the Form 5500 2013-01-01 13
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 0
Total of all active and inactive participants 2013-01-01 13
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2013-01-01 0
Total participants 2013-01-01 13
Number of participants with account balances 2013-01-01 13
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2013-01-01 0

Measure	Date	Value
2022: ROCKY MOUNTAIN ADVISORY RETIREMENT PLAN 2022 401k membership
Total participants, beginning-of-year	2022-01-01	13
Total number of active participants reported on line 7a of the Form 5500	2022-01-01	10
Number of retired or separated participants receiving benefits	2022-01-01	0
Number of other retired or separated participants entitled to future benefits	2022-01-01	4
Total of all active and inactive participants	2022-01-01	14
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2022-01-01	0
Total participants	2022-01-01	14
Number of participants with account balances	2022-01-01	14
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2022-01-01	1
2021: ROCKY MOUNTAIN ADVISORY RETIREMENT PLAN 2021 401k membership
Total participants, beginning-of-year	2021-01-01	13
Total number of active participants reported on line 7a of the Form 5500	2021-01-01	10
Number of retired or separated participants receiving benefits	2021-01-01	0
Number of other retired or separated participants entitled to future benefits	2021-01-01	3
Total of all active and inactive participants	2021-01-01	13
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2021-01-01	0
Total participants	2021-01-01	13
Number of participants with account balances	2021-01-01	13
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2021-01-01	0
2020: ROCKY MOUNTAIN ADVISORY RETIREMENT PLAN 2020 401k membership
Total participants, beginning-of-year	2020-01-01	14
Total number of active participants reported on line 7a of the Form 5500	2020-01-01	10
Number of retired or separated participants receiving benefits	2020-01-01	0
Number of other retired or separated participants entitled to future benefits	2020-01-01	3
Total of all active and inactive participants	2020-01-01	13
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2020-01-01	0
Total participants	2020-01-01	13
Number of participants with account balances	2020-01-01	13
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2020-01-01	1
2019: ROCKY MOUNTAIN ADVISORY RETIREMENT PLAN 2019 401k membership
Total participants, beginning-of-year	2019-01-01	13
Total number of active participants reported on line 7a of the Form 5500	2019-01-01	13
Number of retired or separated participants receiving benefits	2019-01-01	0
Number of other retired or separated participants entitled to future benefits	2019-01-01	1
Total of all active and inactive participants	2019-01-01	14
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2019-01-01	0
Total participants	2019-01-01	14
Number of participants with account balances	2019-01-01	14
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2019-01-01	0
2018: ROCKY MOUNTAIN ADVISORY RETIREMENT PLAN 2018 401k membership
Total participants, beginning-of-year	2018-01-01	14
Total number of active participants reported on line 7a of the Form 5500	2018-01-01	12
Number of retired or separated participants receiving benefits	2018-01-01	0
Number of other retired or separated participants entitled to future benefits	2018-01-01	1
Total of all active and inactive participants	2018-01-01	13
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2018-01-01	0
Total participants	2018-01-01	13
Number of participants with account balances	2018-01-01	13
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2018-01-01	0
2017: ROCKY MOUNTAIN ADVISORY RETIREMENT PLAN 2017 401k membership
Total participants, beginning-of-year	2017-01-01	14
Total number of active participants reported on line 7a of the Form 5500	2017-01-01	13
Number of retired or separated participants receiving benefits	2017-01-01	0
Number of other retired or separated participants entitled to future benefits	2017-01-01	1
Total of all active and inactive participants	2017-01-01	14
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2017-01-01	0
Total participants	2017-01-01	14
Number of participants with account balances	2017-01-01	14
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2017-01-01	0
2016: ROCKY MOUNTAIN ADVISORY RETIREMENT PLAN 2016 401k membership
Total participants, beginning-of-year	2016-01-01	14
Total number of active participants reported on line 7a of the Form 5500	2016-01-01	13
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	1
Total of all active and inactive participants	2016-01-01	14
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2016-01-01	0
Total participants	2016-01-01	14
Number of participants with account balances	2016-01-01	14
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2016-01-01	0
2015: ROCKY MOUNTAIN ADVISORY RETIREMENT PLAN 2015 401k membership
Total participants, beginning-of-year	2015-01-01	11
Total number of active participants reported on line 7a of the Form 5500	2015-01-01	11
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	3
Total of all active and inactive participants	2015-01-01	14
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2015-01-01	0
Total participants	2015-01-01	14
Number of participants with account balances	2015-01-01	14
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2015-01-01	3
2014: ROCKY MOUNTAIN ADVISORY RETIREMENT PLAN 2014 401k membership
Total participants, beginning-of-year	2014-01-01	13
Total number of active participants reported on line 7a of the Form 5500	2014-01-01	11
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	0
Total of all active and inactive participants	2014-01-01	11
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2014-01-01	0
Total participants	2014-01-01	11
Number of participants with account balances	2014-01-01	11
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2014-01-01	1
2013: ROCKY MOUNTAIN ADVISORY RETIREMENT PLAN 2013 401k membership
Total participants, beginning-of-year	2013-01-01	12
Total number of active participants reported on line 7a of the Form 5500	2013-01-01	13
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	0
Total of all active and inactive participants	2013-01-01	13
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2013-01-01	0
Total participants	2013-01-01	13
Number of participants with account balances	2013-01-01	13
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2013-01-01	0

Financial Data on ROCKY MOUNTAIN ADVISORY RETIREMENT PLAN

Measure	Date	Value
2022 : ROCKY MOUNTAIN ADVISORY RETIREMENT PLAN 2022 401k financial data
Transfers to/from the plan	2022-12-31	$0
Total plan liabilities at end of year	2022-12-31	$0
Total plan liabilities at beginning of year	2022-12-31	$0
Total income from all sources	2022-12-31	$-272,658
Expenses. Total of all expenses incurred	2022-12-31	$118,600
Benefits paid (including direct rollovers)	2022-12-31	$113,600
Total plan assets at end of year	2022-12-31	$2,520,131
Total plan assets at beginning of year	2022-12-31	$2,911,389
Value of fidelity bond covering the plan	2022-12-31	$350,000
Assets. Value of tangible personal property	2022-12-31	$0
Total contributions received or receivable from participants	2022-12-31	$92,494
Assets. Value of loans (other than to participants)	2022-12-31	$0
Expenses. Other expenses not covered elsewhere	2022-12-31	$0
Contributions received from other sources (not participants or employers)	2022-12-31	$0
Other income received	2022-12-31	$-597,303
Noncash contributions received	2022-12-31	$0
Net income (gross income less expenses)	2022-12-31	$-391,258
Net plan assets at end of year (total assets less liabilities)	2022-12-31	$2,520,131
Net plan assets at beginning of year (total assets less liabilities)	2022-12-31	$2,911,389
Assets. Value of participant loans	2022-12-31	$0
Assets. Value of assets in partnership/joint-venture interests	2022-12-31	$0
Assets. Value of real-estate (other than employer real property)	2022-12-31	$0
Assets. Value of employer securities	2022-12-31	$0
Assets. Value of employer real property	2022-12-31	$0
Total contributions received or receivable from employer(s)	2022-12-31	$232,151
Value of certain deemed distributions of participant loans	2022-12-31	$0
Value of corrective distributions	2022-12-31	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2022-12-31	$5,000
2021 : ROCKY MOUNTAIN ADVISORY RETIREMENT PLAN 2021 401k financial data
Transfers to/from the plan	2021-12-31	$0
Total plan liabilities at end of year	2021-12-31	$0
Total plan liabilities at beginning of year	2021-12-31	$0
Total income from all sources	2021-12-31	$453,348
Expenses. Total of all expenses incurred	2021-12-31	$42,509
Benefits paid (including direct rollovers)	2021-12-31	$37,509
Total plan assets at end of year	2021-12-31	$2,911,389
Total plan assets at beginning of year	2021-12-31	$2,500,550
Value of fidelity bond covering the plan	2021-12-31	$350,000
Assets. Value of tangible personal property	2021-12-31	$0
Total contributions received or receivable from participants	2021-12-31	$68,639
Assets. Value of loans (other than to participants)	2021-12-31	$0
Expenses. Other expenses not covered elsewhere	2021-12-31	$0
Contributions received from other sources (not participants or employers)	2021-12-31	$0
Other income received	2021-12-31	$248,255
Noncash contributions received	2021-12-31	$0
Net income (gross income less expenses)	2021-12-31	$410,839
Net plan assets at end of year (total assets less liabilities)	2021-12-31	$2,911,389
Net plan assets at beginning of year (total assets less liabilities)	2021-12-31	$2,500,550
Assets. Value of participant loans	2021-12-31	$0
Assets. Value of assets in partnership/joint-venture interests	2021-12-31	$0
Assets. Value of real-estate (other than employer real property)	2021-12-31	$0
Assets. Value of employer securities	2021-12-31	$0
Assets. Value of employer real property	2021-12-31	$0
Total contributions received or receivable from employer(s)	2021-12-31	$136,454
Value of certain deemed distributions of participant loans	2021-12-31	$0
Value of corrective distributions	2021-12-31	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2021-12-31	$5,000
2020 : ROCKY MOUNTAIN ADVISORY RETIREMENT PLAN 2020 401k financial data
Transfers to/from the plan	2020-12-31	$0
Total plan liabilities at end of year	2020-12-31	$0
Total plan liabilities at beginning of year	2020-12-31	$0
Total income from all sources	2020-12-31	$692,812
Expenses. Total of all expenses incurred	2020-12-31	$1,821,303
Benefits paid (including direct rollovers)	2020-12-31	$1,816,303
Total plan assets at end of year	2020-12-31	$2,500,550
Total plan assets at beginning of year	2020-12-31	$3,629,041
Value of fidelity bond covering the plan	2020-12-31	$350,000
Assets. Value of tangible personal property	2020-12-31	$0
Total contributions received or receivable from participants	2020-12-31	$92,531
Assets. Value of loans (other than to participants)	2020-12-31	$0
Expenses. Other expenses not covered elsewhere	2020-12-31	$0
Contributions received from other sources (not participants or employers)	2020-12-31	$0
Other income received	2020-12-31	$455,926
Noncash contributions received	2020-12-31	$0
Net income (gross income less expenses)	2020-12-31	$-1,128,491
Net plan assets at end of year (total assets less liabilities)	2020-12-31	$2,500,550
Net plan assets at beginning of year (total assets less liabilities)	2020-12-31	$3,629,041
Assets. Value of participant loans	2020-12-31	$0
Assets. Value of assets in partnership/joint-venture interests	2020-12-31	$0
Assets. Value of real-estate (other than employer real property)	2020-12-31	$0
Assets. Value of employer securities	2020-12-31	$0
Assets. Value of employer real property	2020-12-31	$0
Total contributions received or receivable from employer(s)	2020-12-31	$144,355
Value of certain deemed distributions of participant loans	2020-12-31	$0
Value of corrective distributions	2020-12-31	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2020-12-31	$5,000
2019 : ROCKY MOUNTAIN ADVISORY RETIREMENT PLAN 2019 401k financial data
Transfers to/from the plan	2019-12-31	$0
Total plan liabilities at end of year	2019-12-31	$0
Total plan liabilities at beginning of year	2019-12-31	$0
Total income from all sources	2019-12-31	$927,355
Expenses. Total of all expenses incurred	2019-12-31	$249,078
Benefits paid (including direct rollovers)	2019-12-31	$244,078
Total plan assets at end of year	2019-12-31	$3,629,041
Total plan assets at beginning of year	2019-12-31	$2,950,764
Value of fidelity bond covering the plan	2019-12-31	$350,000
Total contributions received or receivable from participants	2019-12-31	$91,853
Expenses. Other expenses not covered elsewhere	2019-12-31	$0
Contributions received from other sources (not participants or employers)	2019-12-31	$10,829
Other income received	2019-12-31	$672,073
Noncash contributions received	2019-12-31	$0
Net income (gross income less expenses)	2019-12-31	$678,277
Net plan assets at end of year (total assets less liabilities)	2019-12-31	$3,629,041
Net plan assets at beginning of year (total assets less liabilities)	2019-12-31	$2,950,764
Total contributions received or receivable from employer(s)	2019-12-31	$152,600
Value of certain deemed distributions of participant loans	2019-12-31	$0
Value of corrective distributions	2019-12-31	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2019-12-31	$5,000
2018 : ROCKY MOUNTAIN ADVISORY RETIREMENT PLAN 2018 401k financial data
Transfers to/from the plan	2018-12-31	$0
Total plan liabilities at end of year	2018-12-31	$0
Total plan liabilities at beginning of year	2018-12-31	$0
Total income from all sources	2018-12-31	$81,127
Expenses. Total of all expenses incurred	2018-12-31	$273,083
Benefits paid (including direct rollovers)	2018-12-31	$268,064
Total plan assets at end of year	2018-12-31	$2,950,764
Total plan assets at beginning of year	2018-12-31	$3,142,720
Value of fidelity bond covering the plan	2018-12-31	$350,000
Total contributions received or receivable from participants	2018-12-31	$103,678
Expenses. Other expenses not covered elsewhere	2018-12-31	$0
Contributions received from other sources (not participants or employers)	2018-12-31	$15,156
Other income received	2018-12-31	$-181,470
Noncash contributions received	2018-12-31	$0
Net income (gross income less expenses)	2018-12-31	$-191,956
Net plan assets at end of year (total assets less liabilities)	2018-12-31	$2,950,764
Net plan assets at beginning of year (total assets less liabilities)	2018-12-31	$3,142,720
Assets. Value of participant loans	2018-12-31	$0
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	2018-12-31	$0
Total contributions received or receivable from employer(s)	2018-12-31	$143,763
Value of certain deemed distributions of participant loans	2018-12-31	$0
Value of corrective distributions	2018-12-31	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2018-12-31	$5,019
2017 : ROCKY MOUNTAIN ADVISORY RETIREMENT PLAN 2017 401k financial data
Transfers to/from the plan	2017-12-31	$0
Total plan liabilities at end of year	2017-12-31	$0
Total plan liabilities at beginning of year	2017-12-31	$0
Total income from all sources	2017-12-31	$783,335
Expenses. Total of all expenses incurred	2017-12-31	$34,160
Benefits paid (including direct rollovers)	2017-12-31	$29,943
Total plan assets at end of year	2017-12-31	$3,142,720
Total plan assets at beginning of year	2017-12-31	$2,393,545
Value of fidelity bond covering the plan	2017-12-31	$240,000
Assets. Value of tangible personal property	2017-12-31	$0
Total contributions received or receivable from participants	2017-12-31	$129,981
Assets. Value of loans (other than to participants)	2017-12-31	$0
Expenses. Other expenses not covered elsewhere	2017-12-31	$0
Contributions received from other sources (not participants or employers)	2017-12-31	$0
Other income received	2017-12-31	$449,258
Noncash contributions received	2017-12-31	$0
Net income (gross income less expenses)	2017-12-31	$749,175
Net plan assets at end of year (total assets less liabilities)	2017-12-31	$3,142,720
Net plan assets at beginning of year (total assets less liabilities)	2017-12-31	$2,393,545
Assets. Value of participant loans	2017-12-31	$3,943
Assets. Value of assets in partnership/joint-venture interests	2017-12-31	$0
Assets. Value of real-estate (other than employer real property)	2017-12-31	$0
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	2017-12-31	$0
Assets. Value of employer securities	2017-12-31	$0
Assets. Value of employer real property	2017-12-31	$0
Total contributions received or receivable from employer(s)	2017-12-31	$204,096
Value of certain deemed distributions of participant loans	2017-12-31	$0
Value of corrective distributions	2017-12-31	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2017-12-31	$4,217
2016 : ROCKY MOUNTAIN ADVISORY RETIREMENT PLAN 2016 401k financial data
Transfers to/from the plan	2016-12-31	$0
Total plan liabilities at end of year	2016-12-31	$0
Total plan liabilities at beginning of year	2016-12-31	$0
Total income from all sources	2016-12-31	$353,222
Expenses. Total of all expenses incurred	2016-12-31	$61,907
Benefits paid (including direct rollovers)	2016-12-31	$56,695
Total plan assets at end of year	2016-12-31	$2,393,545
Total plan assets at beginning of year	2016-12-31	$2,102,230
Value of fidelity bond covering the plan	2016-12-31	$240,000
Total contributions received or receivable from participants	2016-12-31	$79,495
Expenses. Other expenses not covered elsewhere	2016-12-31	$0
Contributions received from other sources (not participants or employers)	2016-12-31	$0
Other income received	2016-12-31	$136,115
Noncash contributions received	2016-12-31	$0
Net income (gross income less expenses)	2016-12-31	$291,315
Net plan assets at end of year (total assets less liabilities)	2016-12-31	$2,393,545
Net plan assets at beginning of year (total assets less liabilities)	2016-12-31	$2,102,230
Assets. Value of participant loans	2016-12-31	$14,996
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	2016-12-31	$0
Total contributions received or receivable from employer(s)	2016-12-31	$137,612
Value of certain deemed distributions of participant loans	2016-12-31	$0
Value of corrective distributions	2016-12-31	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2016-12-31	$5,212
2015 : ROCKY MOUNTAIN ADVISORY RETIREMENT PLAN 2015 401k financial data
Transfers to/from the plan	2015-12-31	$0
Total plan liabilities at end of year	2015-12-31	$0
Total plan liabilities at beginning of year	2015-12-31	$0
Total income from all sources	2015-12-31	$166,138
Expenses. Total of all expenses incurred	2015-12-31	$54,992
Benefits paid (including direct rollovers)	2015-12-31	$49,967
Total plan assets at end of year	2015-12-31	$2,102,230
Total plan assets at beginning of year	2015-12-31	$1,991,084
Value of fidelity bond covering the plan	2015-12-31	$200,000
Total contributions received or receivable from participants	2015-12-31	$62,741
Expenses. Other expenses not covered elsewhere	2015-12-31	$0
Contributions received from other sources (not participants or employers)	2015-12-31	$0
Other income received	2015-12-31	$-32,456
Noncash contributions received	2015-12-31	$0
Net income (gross income less expenses)	2015-12-31	$111,146
Net plan assets at end of year (total assets less liabilities)	2015-12-31	$2,102,230
Net plan assets at beginning of year (total assets less liabilities)	2015-12-31	$1,991,084
Assets. Value of participant loans	2015-12-31	$11,122
Total contributions received or receivable from employer(s)	2015-12-31	$135,853
Value of certain deemed distributions of participant loans	2015-12-31	$0
Value of corrective distributions	2015-12-31	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2015-12-31	$5,025
2014 : ROCKY MOUNTAIN ADVISORY RETIREMENT PLAN 2014 401k financial data
Transfers to/from the plan	2014-12-31	$0
Total plan liabilities at end of year	2014-12-31	$0
Total plan liabilities at beginning of year	2014-12-31	$0
Total income from all sources	2014-12-31	$305,103
Expenses. Total of all expenses incurred	2014-12-31	$59,368
Benefits paid (including direct rollovers)	2014-12-31	$54,343
Total plan assets at end of year	2014-12-31	$1,991,084
Total plan assets at beginning of year	2014-12-31	$1,745,349
Value of fidelity bond covering the plan	2014-12-31	$200,000
Total contributions received or receivable from participants	2014-12-31	$20,660
Expenses. Other expenses not covered elsewhere	2014-12-31	$0
Contributions received from other sources (not participants or employers)	2014-12-31	$0
Other income received	2014-12-31	$108,147
Noncash contributions received	2014-12-31	$0
Net income (gross income less expenses)	2014-12-31	$245,735
Net plan assets at end of year (total assets less liabilities)	2014-12-31	$1,991,084
Net plan assets at beginning of year (total assets less liabilities)	2014-12-31	$1,745,349
Assets. Value of participant loans	2014-12-31	$15,716
Total contributions received or receivable from employer(s)	2014-12-31	$176,296
Value of certain deemed distributions of participant loans	2014-12-31	$0
Value of corrective distributions	2014-12-31	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2014-12-31	$5,025
2013 : ROCKY MOUNTAIN ADVISORY RETIREMENT PLAN 2013 401k financial data
Transfers to/from the plan	2013-12-31	$0
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	$494,072
Expenses. Total of all expenses incurred	2013-12-31	$42,689
Benefits paid (including direct rollovers)	2013-12-31	$34,254
Total plan assets at end of year	2013-12-31	$1,745,349
Total plan assets at beginning of year	2013-12-31	$1,293,966
Value of fidelity bond covering the plan	2013-12-31	$200,000
Total contributions received or receivable from participants	2013-12-31	$96,927
Expenses. Other expenses not covered elsewhere	2013-12-31	$0
Contributions received from other sources (not participants or employers)	2013-12-31	$115,970
Other income received	2013-12-31	$252,593
Noncash contributions received	2013-12-31	$0
Net income (gross income less expenses)	2013-12-31	$451,383
Net plan assets at end of year (total assets less liabilities)	2013-12-31	$1,745,349
Net plan assets at beginning of year (total assets less liabilities)	2013-12-31	$1,293,966
Assets. Value of participant loans	2013-12-31	$20,132
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	2013-12-31	$0
Total contributions received or receivable from employer(s)	2013-12-31	$28,582
Value of certain deemed distributions of participant loans	2013-12-31	$0
Value of corrective distributions	2013-12-31	$1,000
Expenses. Administrative service providers (salaries,fees and commissions)	2013-12-31	$7,435

Form 5500 Responses for ROCKY MOUNTAIN ADVISORY RETIREMENT PLAN

2022: ROCKY MOUNTAIN ADVISORY RETIREMENT PLAN 2022 form 5500 responses
2022-01-01	Type of plan entity	Single employer plan
2022-01-01	This submission is the final filing	No
2022-01-01	Plan is a collectively bargained plan	No
2022-01-01	Plan funding arrangement – Trust	Yes
2022-01-01	Plan benefit arrangement - Trust	Yes
2022-01-01	Plan benefit arrangement – General assets of the sponsor	Yes
2021: ROCKY MOUNTAIN ADVISORY RETIREMENT PLAN 2021 form 5500 responses
2021-01-01	Type of plan entity	Single employer plan
2021-01-01	Submission has been amended	No
2021-01-01	This submission is the final filing	No
2021-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2021-01-01	Plan is a collectively bargained plan	No
2021-01-01	Plan funding arrangement – Trust	Yes
2021-01-01	Plan benefit arrangement - Trust	Yes
2021-01-01	Plan benefit arrangement – General assets of the sponsor	Yes
2020: ROCKY MOUNTAIN ADVISORY RETIREMENT PLAN 2020 form 5500 responses
2020-01-01	Type of plan entity	Single employer plan
2020-01-01	This submission is the final filing	No
2020-01-01	Plan is a collectively bargained plan	No
2020-01-01	Plan funding arrangement – Trust	Yes
2020-01-01	Plan benefit arrangement - Trust	Yes
2020-01-01	Plan benefit arrangement – General assets of the sponsor	Yes
2019: ROCKY MOUNTAIN ADVISORY RETIREMENT PLAN 2019 form 5500 responses
2019-01-01	Type of plan entity	Single employer plan
2019-01-01	Submission has been amended	No
2019-01-01	This submission is the final filing	No
2019-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2019-01-01	Plan is a collectively bargained plan	No
2019-01-01	Plan funding arrangement – Trust	Yes
2019-01-01	Plan benefit arrangement - Trust	Yes
2019-01-01	Plan benefit arrangement – General assets of the sponsor	Yes
2018: ROCKY MOUNTAIN ADVISORY RETIREMENT PLAN 2018 form 5500 responses
2018-01-01	Type of plan entity	Single employer plan
2018-01-01	Submission has been amended	No
2018-01-01	This submission is the final filing	No
2018-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2018-01-01	Plan is a collectively bargained plan	No
2018-01-01	Plan funding arrangement – Trust	Yes
2018-01-01	Plan benefit arrangement - Trust	Yes
2018-01-01	Plan benefit arrangement – General assets of the sponsor	Yes
2017: ROCKY MOUNTAIN ADVISORY RETIREMENT PLAN 2017 form 5500 responses
2017-01-01	Type of plan entity	Single employer plan
2017-01-01	Submission has been amended	No
2017-01-01	This submission is the final filing	No
2017-01-01	Plan is a collectively bargained plan	No
2017-01-01	Plan funding arrangement – Trust	Yes
2017-01-01	Plan benefit arrangement - Trust	Yes
2017-01-01	Plan benefit arrangement – General assets of the sponsor	Yes
2016: ROCKY MOUNTAIN ADVISORY RETIREMENT 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 – Trust	Yes
2016-01-01	Plan benefit arrangement - Trust	Yes
2016-01-01	Plan benefit arrangement – General assets of the sponsor	Yes
2015: ROCKY MOUNTAIN ADVISORY RETIREMENT 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 – Trust	Yes
2015-01-01	Plan benefit arrangement – General assets of the sponsor	Yes
2014: ROCKY MOUNTAIN ADVISORY RETIREMENT 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 – Trust	Yes
2014-01-01	Plan benefit arrangement – General assets of the sponsor	Yes
2013: ROCKY MOUNTAIN ADVISORY RETIREMENT 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 – General assets of the sponsor	Yes

Insurance Providers Used on plan

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

Policy contract number

96713

Policy instance

Insurance contract or identification number	96713
Number of Individuals Covered	0
Insurance policy start date	2013-01-01
Insurance policy end date	2013-11-30
Total amount of commissions paid to insurance broker	USD $0
Total amount of fees paid to insurance company	USD $8,086
Are there contracts with allocated funds for individual policies?	No
Are there contracts with allocated funds for group deferred annuity?	No
Are there contracts with allocated funds for types other than group deferred annuity or individual?	No
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Contracts With Unallocated Funds Deposit Administration	0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?	No
Are there contracts with unallocated funds for contracts of type guaranteed investment?	No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	No
Health Insurance Welfare Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
Were dividends or retroactive rate refunds paid in cash?	No
Were dividends or retroactive rate refunds paid as a credit?	No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No
Commission paid to Insurance Broker	USD $0
Amount paid for insurance broker fees	7415
Insurance broker name	NATIONAL BENEFIT SERVICES, LLC

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Company Name:	ROCKY MOUNTAIN ADVISORY, LLC
Employer identification number (EIN):	271539411
NAIC Classification:	541211
NAIC Description:	Offices of Certified Public Accountants