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EMPLOYEE BENEFIT PLAN FOR SPECIALIZED ALTERNATIVES FOR FAM 401k Plan overview

Plan NameEMPLOYEE BENEFIT PLAN FOR SPECIALIZED ALTERNATIVES FOR FAM
Plan identification number 001

EMPLOYEE BENEFIT PLAN FOR SPECIALIZED ALTERNATIVES FOR FAM Benefits

401k Plan TypeDefined 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

SPECIALIZED ALTERNATIVES has sponsored the creation of one or more 401k plans.

Company Name:SPECIALIZED ALTERNATIVES
Employer identification number (EIN):341600251
NAIC Classification:523900

Form 5500 Filing Information

Submission information for form 5500 for 401k plan EMPLOYEE BENEFIT PLAN FOR SPECIALIZED ALTERNATIVES FOR FAM

Plan id# Filing Submission Date Name of Administrator Date Administrator SignedName of Company SponsorDate Sponsor Signed
0012022-01-01
0012021-01-01
0012021-01-01
0012020-01-01
0012019-01-01
0012018-01-01
0012017-01-01NATHAN LEONHARD NATHAN LEONHARD2018-10-15
0012016-01-01NATHAN LEONHARD NATHAN LEONHARD2017-10-16
0012015-01-01NATHAN LEONHARD NATHAN LEONHARD2016-10-17
0012014-01-01NORMAN PFAADT NORMAN PFAADT2015-10-14
0012013-01-01JOHN HOLLENKAMP JOHN HOLLENKAMP2014-10-14
0012012-01-01JOHN HOLLENKAMP JOHN HOLLENKAMP2013-10-15
0012011-01-01JOHN HOLLENKAMP JOHN HOLLENKAMP2012-10-11
0012009-01-01JOHN HOLLENKAMP JOHN HOLLENKAMP2010-10-14

Plan Statistics for EMPLOYEE BENEFIT PLAN FOR SPECIALIZED ALTERNATIVES FOR FAM

401k plan membership statisitcs for EMPLOYEE BENEFIT PLAN FOR SPECIALIZED ALTERNATIVES FOR FAM

Measure Date Value
2022: EMPLOYEE BENEFIT PLAN FOR SPECIALIZED ALTERNATIVES FOR FAM 2022 401k membership
Total participants, beginning-of-year2022-01-01667
Total number of active participants reported on line 7a of the Form 55002022-01-01415
Number of retired or separated participants receiving benefits2022-01-012
Number of other retired or separated participants entitled to future benefits2022-01-01175
Total of all active and inactive participants2022-01-01592
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2022-01-010
Total participants2022-01-01592
Number of participants with account balances2022-01-01457
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2022-01-010
2021: EMPLOYEE BENEFIT PLAN FOR SPECIALIZED ALTERNATIVES FOR FAM 2021 401k membership
Total participants, beginning-of-year2021-01-01594
Total number of active participants reported on line 7a of the Form 55002021-01-01481
Number of retired or separated participants receiving benefits2021-01-012
Number of other retired or separated participants entitled to future benefits2021-01-01176
Total of all active and inactive participants2021-01-01659
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2021-01-010
Total participants2021-01-01659
Number of participants with account balances2021-01-01500
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2021-01-010
2020: EMPLOYEE BENEFIT PLAN FOR SPECIALIZED ALTERNATIVES FOR FAM 2020 401k membership
Total participants, beginning-of-year2020-01-01766
Total number of active participants reported on line 7a of the Form 55002020-01-01415
Number of retired or separated participants receiving benefits2020-01-010
Number of other retired or separated participants entitled to future benefits2020-01-01351
Total of all active and inactive participants2020-01-01766
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2020-01-014
Total participants2020-01-01770
Number of participants with account balances2020-01-01709
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2020-01-0152
2019: EMPLOYEE BENEFIT PLAN FOR SPECIALIZED ALTERNATIVES FOR FAM 2019 401k membership
Total participants, beginning-of-year2019-01-01713
Total number of active participants reported on line 7a of the Form 55002019-01-01439
Number of retired or separated participants receiving benefits2019-01-010
Number of other retired or separated participants entitled to future benefits2019-01-01326
Total of all active and inactive participants2019-01-01765
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2019-01-011
Total participants2019-01-01766
Number of participants with account balances2019-01-01690
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2019-01-0149
2018: EMPLOYEE BENEFIT PLAN FOR SPECIALIZED ALTERNATIVES FOR FAM 2018 401k membership
Total participants, beginning-of-year2018-01-01711
Total number of active participants reported on line 7a of the Form 55002018-01-01416
Number of retired or separated participants receiving benefits2018-01-010
Number of other retired or separated participants entitled to future benefits2018-01-01296
Total of all active and inactive participants2018-01-01712
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2018-01-011
Total participants2018-01-01713
Number of participants with account balances2018-01-01649
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2018-01-0161
2017: EMPLOYEE BENEFIT PLAN FOR SPECIALIZED ALTERNATIVES FOR FAM 2017 401k membership
Total participants, beginning-of-year2017-01-01677
Total number of active participants reported on line 7a of the Form 55002017-01-01461
Number of retired or separated participants receiving benefits2017-01-010
Number of other retired or separated participants entitled to future benefits2017-01-01249
Total of all active and inactive participants2017-01-01710
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2017-01-011
Total participants2017-01-01711
Number of participants with account balances2017-01-01646
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2017-01-0182
2016: EMPLOYEE BENEFIT PLAN FOR SPECIALIZED ALTERNATIVES FOR FAM 2016 401k membership
Total participants, beginning-of-year2016-01-01610
Total number of active participants reported on line 7a of the Form 55002016-01-01492
Number of retired or separated participants receiving benefits2016-01-010
Number of other retired or separated participants entitled to future benefits2016-01-01184
Total of all active and inactive participants2016-01-01676
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2016-01-011
Total participants2016-01-01677
Number of participants with account balances2016-01-01592
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2016-01-0177
2015: EMPLOYEE BENEFIT PLAN FOR SPECIALIZED ALTERNATIVES FOR FAM 2015 401k membership
Total participants, beginning-of-year2015-01-01501
Total number of active participants reported on line 7a of the Form 55002015-01-01505
Number of retired or separated participants receiving benefits2015-01-010
Number of other retired or separated participants entitled to future benefits2015-01-01106
Total of all active and inactive participants2015-01-01611
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2015-01-011
Total participants2015-01-01612
Number of participants with account balances2015-01-01610
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2015-01-0163
2014: EMPLOYEE BENEFIT PLAN FOR SPECIALIZED ALTERNATIVES FOR FAM 2014 401k membership
Total participants, beginning-of-year2014-01-01578
Total number of active participants reported on line 7a of the Form 55002014-01-01431
Number of retired or separated participants receiving benefits2014-01-010
Number of other retired or separated participants entitled to future benefits2014-01-0169
Total of all active and inactive participants2014-01-01500
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2014-01-011
Total participants2014-01-01501
Number of participants with account balances2014-01-01501
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2014-01-0186
2013: EMPLOYEE BENEFIT PLAN FOR SPECIALIZED ALTERNATIVES FOR FAM 2013 401k membership
Total participants, beginning-of-year2013-01-01597
Total number of active participants reported on line 7a of the Form 55002013-01-01446
Number of retired or separated participants receiving benefits2013-01-010
Number of other retired or separated participants entitled to future benefits2013-01-0198
Total of all active and inactive participants2013-01-01544
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2013-01-011
Total participants2013-01-01545
Number of participants with account balances2013-01-01545
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2013-01-0173
2012: EMPLOYEE BENEFIT PLAN FOR SPECIALIZED ALTERNATIVES FOR FAM 2012 401k membership
Total participants, beginning-of-year2012-01-01587
Total number of active participants reported on line 7a of the Form 55002012-01-01451
Number of retired or separated participants receiving benefits2012-01-010
Number of other retired or separated participants entitled to future benefits2012-01-01110
Total of all active and inactive participants2012-01-01561
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2012-01-010
Total participants2012-01-01561
Number of participants with account balances2012-01-01561
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2012-01-0161
2011: EMPLOYEE BENEFIT PLAN FOR SPECIALIZED ALTERNATIVES FOR FAM 2011 401k membership
Total participants, beginning-of-year2011-01-01524
Total number of active participants reported on line 7a of the Form 55002011-01-01403
Number of retired or separated participants receiving benefits2011-01-010
Number of other retired or separated participants entitled to future benefits2011-01-01112
Total of all active and inactive participants2011-01-01515
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2011-01-010
Total participants2011-01-01515
Number of participants with account balances2011-01-01515
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2011-01-0146
2009: EMPLOYEE BENEFIT PLAN FOR SPECIALIZED ALTERNATIVES FOR FAM 2009 401k membership
Total participants, beginning-of-year2009-01-01380
Total number of active participants reported on line 7a of the Form 55002009-01-01321
Number of retired or separated participants receiving benefits2009-01-010
Number of other retired or separated participants entitled to future benefits2009-01-0180
Total of all active and inactive participants2009-01-01401
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2009-01-010
Total participants2009-01-01401
Number of participants with account balances2009-01-01388
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2009-01-0136

Financial Data on EMPLOYEE BENEFIT PLAN FOR SPECIALIZED ALTERNATIVES FOR FAM

Measure Date Value
2022 : EMPLOYEE BENEFIT PLAN FOR SPECIALIZED ALTERNATIVES FOR FAM 2022 401k financial data
Total unrealized appreciation/depreciation of assets2022-12-31$0
Total transfer of assets to this plan2022-12-31$0
Total transfer of assets from this plan2022-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2022-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2022-12-31$0
Total income from all sources (including contributions)2022-12-31$-1,314,142
Total loss/gain on sale of assets2022-12-31$0
Total of all expenses incurred2022-12-31$1,431,867
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2022-12-31$1,333,218
Expenses. Certain deemed distributions of participant loans2022-12-31$10,717
Total contributions o plan (from employers,participants, others, non cash contrinutions)2022-12-31$1,652,977
Value of total assets at end of year2022-12-31$15,651,358
Value of total assets at beginning of year2022-12-31$18,397,367
Total of administrative expenses incurred including professional, contract, advisory and management fees2022-12-31$87,932
Total interest from all sources2022-12-31$8,972
Total dividends received (eg from common stock, registered investment company shares)2022-12-31$409,385
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2022-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2022-12-31$409,385
Was this plan covered by a fidelity bond2022-12-31Yes
Value of fidelity bond cover2022-12-31$500,000
If this is an individual account plan, was there a blackout period2022-12-31No
Were there any nonexempt tranactions with any party-in-interest2022-12-31No
Contributions received from participants2022-12-31$1,036,406
Participant contributions at end of year2022-12-31$203,457
Participant contributions at beginning of year2022-12-31$188,819
Income. Received or receivable in cash from other sources (including rollovers)2022-12-31$38,716
Other income not declared elsewhere2022-12-31$5,054
Administrative expenses (other) incurred2022-12-31$87,932
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2022-12-31No
Value of net income/loss2022-12-31$-2,746,009
Value of net assets at end of year (total assets less liabilities)2022-12-31$15,651,358
Value of net assets at beginning of year (total assets less liabilities)2022-12-31$18,397,367
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2022-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2022-12-31No
Were any leases to which the plan was party in default or uncollectible2022-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2022-12-31$15,368,872
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2022-12-31$18,207,908
Interest on participant loans2022-12-31$8,972
Value of interest in common/collective trusts at end of year2022-12-31$79,029
Value of interest in common/collective trusts at beginning of year2022-12-31$640
Net investment gain/loss from registered investment companies (e.g. mutual funds)2022-12-31$-3,391,904
Net investment gain or loss from common/collective trusts2022-12-31$1,374
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2022-12-31No
Was there a failure to transmit to the plan any participant contributions2022-12-31No
Has the plan failed to provide any benefit when due under the plan2022-12-31No
Contributions received in cash from employer2022-12-31$577,855
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2022-12-31$1,333,218
Did the plan have assets held for investment2022-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2022-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2022-12-31No
Opinion of an independent qualified public accountant for this plan2022-12-31Unqualified
Accountancy firm name2022-12-31GBQ PARTNERS LLC
Accountancy firm EIN2022-12-31202122306
2021 : EMPLOYEE BENEFIT PLAN FOR SPECIALIZED ALTERNATIVES FOR FAM 2021 401k financial data
Total unrealized appreciation/depreciation of assets2021-12-31$0
Total transfer of assets from this plan2021-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2021-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2021-12-31$0
Total income from all sources (including contributions)2021-12-31$4,976,984
Total loss/gain on sale of assets2021-12-31$0
Total of all expenses incurred2021-12-31$4,928,405
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2021-12-31$4,899,557
Expenses. Certain deemed distributions of participant loans2021-12-31$3,720
Total contributions o plan (from employers,participants, others, non cash contrinutions)2021-12-31$2,168,082
Value of total assets at end of year2021-12-31$18,397,367
Value of total assets at beginning of year2021-12-31$18,348,788
Total of administrative expenses incurred including professional, contract, advisory and management fees2021-12-31$25,128
Total interest from all sources2021-12-31$8,569
Total dividends received (eg from common stock, registered investment company shares)2021-12-31$557,828
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2021-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2021-12-31$557,828
Was this plan covered by a fidelity bond2021-12-31Yes
Value of fidelity bond cover2021-12-31$1,800,000
If this is an individual account plan, was there a blackout period2021-12-31Yes
Were there any nonexempt tranactions with any party-in-interest2021-12-31No
Contributions received from participants2021-12-31$1,037,658
Participant contributions at end of year2021-12-31$188,819
Participant contributions at beginning of year2021-12-31$166,861
Income. Received or receivable in cash from other sources (including rollovers)2021-12-31$523,883
Administrative expenses (other) incurred2021-12-31$25,128
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2021-12-31No
Value of net income/loss2021-12-31$48,579
Value of net assets at end of year (total assets less liabilities)2021-12-31$18,397,367
Value of net assets at beginning of year (total assets less liabilities)2021-12-31$18,348,788
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2021-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2021-12-31No
Were any leases to which the plan was party in default or uncollectible2021-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2021-12-31$18,207,908
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2021-12-31$17,134,594
Interest on participant loans2021-12-31$8,569
Value of interest in common/collective trusts at end of year2021-12-31$640
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2021-12-31$1,047,333
Net investment gain/loss from registered investment companies (e.g. mutual funds)2021-12-31$2,242,500
Net investment gain or loss from common/collective trusts2021-12-31$5
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2021-12-31No
Was there a failure to transmit to the plan any participant contributions2021-12-31No
Has the plan failed to provide any benefit when due under the plan2021-12-31No
Contributions received in cash from employer2021-12-31$606,541
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2021-12-31$4,899,557
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-32021-12-31Yes
Did the plan have assets held for investment2021-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2021-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2021-12-31No
Opinion of an independent qualified public accountant for this plan2021-12-31Unqualified
Accountancy firm name2021-12-31GBQ PARTNERS LLC
Accountancy firm EIN2021-12-31202122306
2020 : EMPLOYEE BENEFIT PLAN FOR SPECIALIZED ALTERNATIVES FOR FAM 2020 401k financial data
Total unrealized appreciation/depreciation of assets2020-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2020-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2020-12-31$0
Total income from all sources (including contributions)2020-12-31$3,505,076
Total loss/gain on sale of assets2020-12-31$0
Total of all expenses incurred2020-12-31$1,506,657
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2020-12-31$1,496,779
Expenses. Certain deemed distributions of participant loans2020-12-31$0
Total contributions o plan (from employers,participants, others, non cash contrinutions)2020-12-31$1,520,063
Value of total assets at end of year2020-12-31$18,348,788
Value of total assets at beginning of year2020-12-31$16,350,369
Total of administrative expenses incurred including professional, contract, advisory and management fees2020-12-31$9,878
Total interest from all sources2020-12-31$19,150
Total dividends received (eg from common stock, registered investment company shares)2020-12-31$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2020-12-31No
Was this plan covered by a fidelity bond2020-12-31Yes
Value of fidelity bond cover2020-12-31$500,000
If this is an individual account plan, was there a blackout period2020-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2020-12-31$0
Were there any nonexempt tranactions with any party-in-interest2020-12-31No
Contributions received from participants2020-12-31$892,722
Participant contributions at end of year2020-12-31$166,861
Participant contributions at beginning of year2020-12-31$196,387
Income. Received or receivable in cash from other sources (including rollovers)2020-12-31$106,739
Other income not declared elsewhere2020-12-31$0
Administrative expenses (other) incurred2020-12-31$9,878
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2020-12-31No
Value of net income/loss2020-12-31$1,998,419
Value of net assets at end of year (total assets less liabilities)2020-12-31$18,348,788
Value of net assets at beginning of year (total assets less liabilities)2020-12-31$16,350,369
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2020-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2020-12-31No
Were any leases to which the plan was party in default or uncollectible2020-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2020-12-31$17,134,594
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2020-12-31$15,313,428
Interest on participant loans2020-12-31$9,359
Interest earned on other investments2020-12-31$9,791
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2020-12-31$1,047,333
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2020-12-31$840,554
Expenses. Payments to insurance carriers foe the provision of benefits2020-12-31$0
Net investment gain/loss from pooled separate accounts2020-12-31$1,965,863
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2020-12-31No
Was there a failure to transmit to the plan any participant contributions2020-12-31No
Has the plan failed to provide any benefit when due under the plan2020-12-31No
Contributions received in cash from employer2020-12-31$520,602
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2020-12-31$1,496,779
Did the plan have assets held for investment2020-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2020-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2020-12-31No
Opinion of an independent qualified public accountant for this plan2020-12-31Disclaimer
Accountancy firm name2020-12-31GBQ PARTNERS, LLC
Accountancy firm EIN2020-12-31202122306
2019 : EMPLOYEE BENEFIT PLAN FOR SPECIALIZED ALTERNATIVES FOR FAM 2019 401k financial data
Total unrealized appreciation/depreciation of assets2019-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2019-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2019-12-31$0
Total income from all sources (including contributions)2019-12-31$4,593,612
Total loss/gain on sale of assets2019-12-31$0
Total of all expenses incurred2019-12-31$1,400,548
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2019-12-31$1,370,164
Expenses. Certain deemed distributions of participant loans2019-12-31$0
Total contributions o plan (from employers,participants, others, non cash contrinutions)2019-12-31$1,847,872
Value of total assets at end of year2019-12-31$16,350,369
Value of total assets at beginning of year2019-12-31$13,157,305
Total of administrative expenses incurred including professional, contract, advisory and management fees2019-12-31$30,384
Total interest from all sources2019-12-31$19,575
Total dividends received (eg from common stock, registered investment company shares)2019-12-31$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2019-12-31No
Was this plan covered by a fidelity bond2019-12-31Yes
Value of fidelity bond cover2019-12-31$500,000
If this is an individual account plan, was there a blackout period2019-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2019-12-31$0
Were there any nonexempt tranactions with any party-in-interest2019-12-31No
Contributions received from participants2019-12-31$832,817
Participant contributions at end of year2019-12-31$196,387
Participant contributions at beginning of year2019-12-31$168,179
Income. Received or receivable in cash from other sources (including rollovers)2019-12-31$531,077
Other income not declared elsewhere2019-12-31$0
Administrative expenses (other) incurred2019-12-31$30,384
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2019-12-31No
Value of net income/loss2019-12-31$3,193,064
Value of net assets at end of year (total assets less liabilities)2019-12-31$16,350,369
Value of net assets at beginning of year (total assets less liabilities)2019-12-31$13,157,305
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2019-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2019-12-31No
Were any leases to which the plan was party in default or uncollectible2019-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2019-12-31$15,313,428
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2019-12-31$12,534,375
Interest on participant loans2019-12-31$6,733
Interest earned on other investments2019-12-31$12,842
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2019-12-31$840,554
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2019-12-31$454,751
Expenses. Payments to insurance carriers foe the provision of benefits2019-12-31$0
Net investment gain/loss from pooled separate accounts2019-12-31$2,726,165
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2019-12-31No
Was there a failure to transmit to the plan any participant contributions2019-12-31No
Has the plan failed to provide any benefit when due under the plan2019-12-31No
Contributions received in cash from employer2019-12-31$483,978
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2019-12-31$1,370,164
Did the plan have assets held for investment2019-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2019-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2019-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2019-12-31Yes
Opinion of an independent qualified public accountant for this plan2019-12-31Disclaimer
Accountancy firm name2019-12-31GBQ PARTNERS, LLC
Accountancy firm EIN2019-12-31202122306
2018 : EMPLOYEE BENEFIT PLAN FOR SPECIALIZED ALTERNATIVES FOR FAM 2018 401k financial data
Total unrealized appreciation/depreciation of assets2018-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2018-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2018-12-31$0
Total income from all sources (including contributions)2018-12-31$293,045
Total loss/gain on sale of assets2018-12-31$0
Total of all expenses incurred2018-12-31$1,196,818
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2018-12-31$1,165,539
Expenses. Certain deemed distributions of participant loans2018-12-31$0
Total contributions o plan (from employers,participants, others, non cash contrinutions)2018-12-31$1,190,842
Value of total assets at end of year2018-12-31$13,157,305
Value of total assets at beginning of year2018-12-31$14,061,078
Total of administrative expenses incurred including professional, contract, advisory and management fees2018-12-31$31,279
Total interest from all sources2018-12-31$12,456
Total dividends received (eg from common stock, registered investment company shares)2018-12-31$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2018-12-31No
Was this plan covered by a fidelity bond2018-12-31Yes
Value of fidelity bond cover2018-12-31$500,000
If this is an individual account plan, was there a blackout period2018-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2018-12-31$0
Were there any nonexempt tranactions with any party-in-interest2018-12-31No
Contributions received from participants2018-12-31$704,219
Participant contributions at end of year2018-12-31$168,179
Participant contributions at beginning of year2018-12-31$200,556
Participant contributions at end of year2018-12-31$0
Participant contributions at beginning of year2018-12-31$26,453
Income. Received or receivable in cash from other sources (including rollovers)2018-12-31$72,112
Other income not declared elsewhere2018-12-31$0
Administrative expenses (other) incurred2018-12-31$31,279
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2018-12-31No
Value of net income/loss2018-12-31$-903,773
Value of net assets at end of year (total assets less liabilities)2018-12-31$13,157,305
Value of net assets at beginning of year (total assets less liabilities)2018-12-31$14,061,078
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2018-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2018-12-31No
Were any leases to which the plan was party in default or uncollectible2018-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2018-12-31$12,534,375
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2018-12-31$13,521,747
Interest on participant loans2018-12-31$8,474
Interest earned on other investments2018-12-31$3,982
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2018-12-31$454,751
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2018-12-31$295,102
Expenses. Payments to insurance carriers foe the provision of benefits2018-12-31$0
Net investment gain/loss from pooled separate accounts2018-12-31$-910,253
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2018-12-31No
Was there a failure to transmit to the plan any participant contributions2018-12-31No
Has the plan failed to provide any benefit when due under the plan2018-12-31No
Contributions received in cash from employer2018-12-31$414,511
Employer contributions (assets) at end of year2018-12-31$0
Employer contributions (assets) at beginning of year2018-12-31$17,220
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2018-12-31$1,165,539
Did the plan have assets held for investment2018-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2018-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2018-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2018-12-31Yes
Opinion of an independent qualified public accountant for this plan2018-12-31Disclaimer
Accountancy firm name2018-12-31GBQ PARTNERS, LLC
Accountancy firm EIN2018-12-31202122306
2017 : EMPLOYEE BENEFIT PLAN FOR SPECIALIZED ALTERNATIVES FOR FAM 2017 401k financial data
Total unrealized appreciation/depreciation of assets2017-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2017-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2017-12-31$0
Total income from all sources (including contributions)2017-12-31$3,196,402
Total loss/gain on sale of assets2017-12-31$0
Total of all expenses incurred2017-12-31$712,789
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2017-12-31$708,637
Expenses. Certain deemed distributions of participant loans2017-12-31$0
Total contributions o plan (from employers,participants, others, non cash contrinutions)2017-12-31$1,463,354
Value of total assets at end of year2017-12-31$14,061,078
Value of total assets at beginning of year2017-12-31$11,577,465
Total of administrative expenses incurred including professional, contract, advisory and management fees2017-12-31$4,152
Total interest from all sources2017-12-31$10,584
Total dividends received (eg from common stock, registered investment company shares)2017-12-31$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2017-12-31No
Was this plan covered by a fidelity bond2017-12-31Yes
Value of fidelity bond cover2017-12-31$500,000
If this is an individual account plan, was there a blackout period2017-12-31No
Were there any nonexempt tranactions with any party-in-interest2017-12-31No
Contributions received from participants2017-12-31$729,330
Participant contributions at end of year2017-12-31$200,556
Participant contributions at beginning of year2017-12-31$192,501
Participant contributions at end of year2017-12-31$26,453
Participant contributions at beginning of year2017-12-31$25,695
Income. Received or receivable in cash from other sources (including rollovers)2017-12-31$297,200
Administrative expenses (other) incurred2017-12-31$4,152
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2017-12-31No
Value of net income/loss2017-12-31$2,483,613
Value of net assets at end of year (total assets less liabilities)2017-12-31$14,061,078
Value of net assets at beginning of year (total assets less liabilities)2017-12-31$11,577,465
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2017-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2017-12-31No
Were any leases to which the plan was party in default or uncollectible2017-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2017-12-31$13,521,747
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2017-12-31$11,121,373
Interest on participant loans2017-12-31$7,900
Interest earned on other investments2017-12-31$2,684
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2017-12-31$295,102
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2017-12-31$219,872
Expenses. Payments to insurance carriers foe the provision of benefits2017-12-31$0
Net investment gain/loss from pooled separate accounts2017-12-31$1,722,464
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2017-12-31No
Was there a failure to transmit to the plan any participant contributions2017-12-31No
Has the plan failed to provide any benefit when due under the plan2017-12-31No
Contributions received in cash from employer2017-12-31$436,824
Employer contributions (assets) at end of year2017-12-31$17,220
Employer contributions (assets) at beginning of year2017-12-31$18,024
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2017-12-31$708,637
Did the plan have assets held for investment2017-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2017-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2017-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2017-12-31Yes
Opinion of an independent qualified public accountant for this plan2017-12-31Disclaimer
Accountancy firm name2017-12-31GBQ PARTNERS, LLC
Accountancy firm EIN2017-12-31202122306
2016 : EMPLOYEE BENEFIT PLAN FOR SPECIALIZED ALTERNATIVES FOR FAM 2016 401k financial data
Total unrealized appreciation/depreciation of assets2016-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2016-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2016-12-31$0
Total income from all sources (including contributions)2016-12-31$2,450,584
Total loss/gain on sale of assets2016-12-31$0
Total of all expenses incurred2016-12-31$880,760
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2016-12-31$877,145
Expenses. Certain deemed distributions of participant loans2016-12-31$0
Total contributions o plan (from employers,participants, others, non cash contrinutions)2016-12-31$1,504,698
Value of total assets at end of year2016-12-31$11,577,465
Value of total assets at beginning of year2016-12-31$10,007,641
Total of administrative expenses incurred including professional, contract, advisory and management fees2016-12-31$3,615
Total interest from all sources2016-12-31$7,825
Total dividends received (eg from common stock, registered investment company shares)2016-12-31$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2016-12-31No
Was this plan covered by a fidelity bond2016-12-31Yes
Value of fidelity bond cover2016-12-31$500,000
If this is an individual account plan, was there a blackout period2016-12-31No
Were there any nonexempt tranactions with any party-in-interest2016-12-31No
Contributions received from participants2016-12-31$773,069
Participant contributions at end of year2016-12-31$192,501
Participant contributions at beginning of year2016-12-31$77,069
Participant contributions at end of year2016-12-31$25,695
Participant contributions at beginning of year2016-12-31$23,428
Income. Received or receivable in cash from other sources (including rollovers)2016-12-31$469,737
Other income not declared elsewhere2016-12-31$1,012
Administrative expenses (other) incurred2016-12-31$3,615
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2016-12-31No
Value of net income/loss2016-12-31$1,569,824
Value of net assets at end of year (total assets less liabilities)2016-12-31$11,577,465
Value of net assets at beginning of year (total assets less liabilities)2016-12-31$10,007,641
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2016-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2016-12-31No
Were any leases to which the plan was party in default or uncollectible2016-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2016-12-31$11,121,373
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2016-12-31$8,726,425
Interest on participant loans2016-12-31$5,721
Interest earned on other investments2016-12-31$2,104
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2016-12-31$219,872
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2016-12-31$293,404
Expenses. Payments to insurance carriers foe the provision of benefits2016-12-31$0
Net investment gain/loss from pooled separate accounts2016-12-31$937,049
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2016-12-31No
Was there a failure to transmit to the plan any participant contributions2016-12-31No
Has the plan failed to provide any benefit when due under the plan2016-12-31No
Contributions received in cash from employer2016-12-31$261,892
Employer contributions (assets) at end of year2016-12-31$18,024
Employer contributions (assets) at beginning of year2016-12-31$887,315
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2016-12-31$877,145
Did the plan have assets held for investment2016-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2016-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2016-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2016-12-31Yes
Opinion of an independent qualified public accountant for this plan2016-12-31Disclaimer
Accountancy firm name2016-12-31GBQ PARTNERS, LLC
Accountancy firm EIN2016-12-31202122306
2015 : EMPLOYEE BENEFIT PLAN FOR SPECIALIZED ALTERNATIVES FOR FAM 2015 401k financial data
Total unrealized appreciation/depreciation of assets2015-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2015-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2015-12-31$0
Total income from all sources (including contributions)2015-12-31$1,957,150
Total loss/gain on sale of assets2015-12-31$0
Total of all expenses incurred2015-12-31$1,127,838
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2015-12-31$1,083,454
Expenses. Certain deemed distributions of participant loans2015-12-31$0
Value of total corrective distributions2015-12-31$7,919
Total contributions o plan (from employers,participants, others, non cash contrinutions)2015-12-31$2,052,824
Value of total assets at end of year2015-12-31$10,007,641
Value of total assets at beginning of year2015-12-31$9,178,329
Total of administrative expenses incurred including professional, contract, advisory and management fees2015-12-31$36,465
Total interest from all sources2015-12-31$2,917
Total dividends received (eg from common stock, registered investment company shares)2015-12-31$58,775
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2015-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2015-12-31$58,775
Was this plan covered by a fidelity bond2015-12-31Yes
Value of fidelity bond cover2015-12-31$500,000
If this is an individual account plan, was there a blackout period2015-12-31Yes
Were there any nonexempt tranactions with any party-in-interest2015-12-31No
Contributions received from participants2015-12-31$551,758
Participant contributions at end of year2015-12-31$77,069
Participant contributions at beginning of year2015-12-31$42,803
Participant contributions at end of year2015-12-31$23,428
Income. Received or receivable in cash from other sources (including rollovers)2015-12-31$613,751
Other income not declared elsewhere2015-12-31$0
Administrative expenses (other) incurred2015-12-31$11,105
Total non interest bearing cash at beginning of year2015-12-31$378
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2015-12-31No
Value of net income/loss2015-12-31$829,312
Value of net assets at end of year (total assets less liabilities)2015-12-31$10,007,641
Value of net assets at beginning of year (total assets less liabilities)2015-12-31$9,178,329
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2015-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2015-12-31No
Were any leases to which the plan was party in default or uncollectible2015-12-31No
Investment advisory and management fees2015-12-31$25,360
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2015-12-31$6,956,012
Value of interest in pooled separate accounts at end of year2015-12-31$8,726,425
Interest on participant loans2015-12-31$1,948
Interest earned on other investments2015-12-31$969
Value of interest in common/collective trusts at beginning of year2015-12-31$1,498,829
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2015-12-31$293,404
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2015-12-31$0
Expenses. Payments to insurance carriers foe the provision of benefits2015-12-31$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)2015-12-31$148,790
Net investment gain/loss from pooled separate accounts2015-12-31$-280,450
Net investment gain or loss from common/collective trusts2015-12-31$-25,706
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2015-12-31No
Was there a failure to transmit to the plan any participant contributions2015-12-31No
Has the plan failed to provide any benefit when due under the plan2015-12-31No
Contributions received in cash from employer2015-12-31$887,315
Employer contributions (assets) at end of year2015-12-31$887,315
Employer contributions (assets) at beginning of year2015-12-31$680,307
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2015-12-31$1,083,454
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-32015-12-31Yes
Did the plan have assets held for investment2015-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2015-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2015-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2015-12-31Yes
Opinion of an independent qualified public accountant for this plan2015-12-31Disclaimer
Accountancy firm name2015-12-31BARNES WENDLING CPAS, INC
Accountancy firm EIN2015-12-31341463411
2014 : EMPLOYEE BENEFIT PLAN FOR SPECIALIZED ALTERNATIVES FOR FAM 2014 401k financial data
Total income from all sources (including contributions)2014-12-31$1,714,844
Total of all expenses incurred2014-12-31$559,424
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2014-12-31$497,228
Expenses. Certain deemed distributions of participant loans2014-12-31$2,199
Total contributions o plan (from employers,participants, others, non cash contrinutions)2014-12-31$1,396,443
Value of total assets at end of year2014-12-31$9,178,329
Value of total assets at beginning of year2014-12-31$8,022,909
Total of administrative expenses incurred including professional, contract, advisory and management fees2014-12-31$59,997
Total interest from all sources2014-12-31$1,120
Total dividends received (eg from common stock, registered investment company shares)2014-12-31$342,990
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2014-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2014-12-31$342,990
Administrative expenses professional fees incurred2014-12-31$10,206
Was this plan covered by a fidelity bond2014-12-31Yes
Value of fidelity bond cover2014-12-31$500,000
If this is an individual account plan, was there a blackout period2014-12-31No
Were there any nonexempt tranactions with any party-in-interest2014-12-31No
Contributions received from participants2014-12-31$418,011
Participant contributions at end of year2014-12-31$42,803
Participant contributions at beginning of year2014-12-31$24,374
Income. Received or receivable in cash from other sources (including rollovers)2014-12-31$298,125
Total non interest bearing cash at end of year2014-12-31$378
Total non interest bearing cash at beginning of year2014-12-31$8,436
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2014-12-31No
Value of net income/loss2014-12-31$1,155,420
Value of net assets at end of year (total assets less liabilities)2014-12-31$9,178,329
Value of net assets at beginning of year (total assets less liabilities)2014-12-31$8,022,909
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2014-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2014-12-31No
Were any leases to which the plan was party in default or uncollectible2014-12-31No
Investment advisory and management fees2014-12-31$49,791
Value of interest in registered invesment companies (eg mutual funds) at end of year2014-12-31$6,956,012
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2014-12-31$6,026,450
Interest on participant loans2014-12-31$1,120
Value of interest in common/collective trusts at end of year2014-12-31$1,498,829
Value of interest in common/collective trusts at beginning of year2014-12-31$1,308,551
Net investment gain/loss from registered investment companies (e.g. mutual funds)2014-12-31$-94,204
Net investment gain or loss from common/collective trusts2014-12-31$68,495
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2014-12-31No
Was there a failure to transmit to the plan any participant contributions2014-12-31No
Has the plan failed to provide any benefit when due under the plan2014-12-31No
Contributions received in cash from employer2014-12-31$680,307
Employer contributions (assets) at end of year2014-12-31$680,307
Employer contributions (assets) at beginning of year2014-12-31$655,098
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2014-12-31$497,228
Did the plan have assets held for investment2014-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2014-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2014-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2014-12-31Yes
Opinion of an independent qualified public accountant for this plan2014-12-31Disclaimer
Accountancy firm name2014-12-31BARNES WENDLING CPAS, INC.
Accountancy firm EIN2014-12-31341463411
2013 : EMPLOYEE BENEFIT PLAN FOR SPECIALIZED ALTERNATIVES FOR FAM 2013 401k financial data
Total income from all sources (including contributions)2013-12-31$2,083,896
Total of all expenses incurred2013-12-31$1,519,374
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2013-12-31$1,469,549
Total contributions o plan (from employers,participants, others, non cash contrinutions)2013-12-31$1,116,513
Value of total assets at end of year2013-12-31$8,022,909
Value of total assets at beginning of year2013-12-31$7,458,387
Total of administrative expenses incurred including professional, contract, advisory and management fees2013-12-31$49,825
Total interest from all sources2013-12-31$66
Total dividends received (eg from common stock, registered investment company shares)2013-12-31$174,097
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2013-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2013-12-31$174,097
Administrative expenses professional fees incurred2013-12-31$13,799
Was this plan covered by a fidelity bond2013-12-31Yes
Value of fidelity bond cover2013-12-31$500,000
If this is an individual account plan, was there a blackout period2013-12-31No
Were there any nonexempt tranactions with any party-in-interest2013-12-31No
Contributions received from participants2013-12-31$450,262
Participant contributions at end of year2013-12-31$24,374
Participant contributions at beginning of year2013-12-31$0
Income. Received or receivable in cash from other sources (including rollovers)2013-12-31$11,153
Total non interest bearing cash at end of year2013-12-31$8,436
Total non interest bearing cash at beginning of year2013-12-31$585
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2013-12-31No
Value of net income/loss2013-12-31$564,522
Value of net assets at end of year (total assets less liabilities)2013-12-31$8,022,909
Value of net assets at beginning of year (total assets less liabilities)2013-12-31$7,458,387
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2013-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2013-12-31No
Were any leases to which the plan was party in default or uncollectible2013-12-31No
Investment advisory and management fees2013-12-31$36,026
Value of interest in registered invesment companies (eg mutual funds) at end of year2013-12-31$6,026,450
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2013-12-31$5,641,034
Interest on participant loans2013-12-31$66
Value of interest in common/collective trusts at end of year2013-12-31$1,308,551
Value of interest in common/collective trusts at beginning of year2013-12-31$1,144,565
Net investment gain/loss from registered investment companies (e.g. mutual funds)2013-12-31$793,300
Net investment gain or loss from common/collective trusts2013-12-31$-80
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2013-12-31No
Was there a failure to transmit to the plan any participant contributions2013-12-31No
Has the plan failed to provide any benefit when due under the plan2013-12-31No
Contributions received in cash from employer2013-12-31$655,098
Employer contributions (assets) at end of year2013-12-31$655,098
Employer contributions (assets) at beginning of year2013-12-31$672,203
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2013-12-31$1,469,549
Did the plan have assets held for investment2013-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2013-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2013-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2013-12-31Yes
Opinion of an independent qualified public accountant for this plan2013-12-31Disclaimer
Accountancy firm name2013-12-31BARNES WENDLING CPAS, INC.
Accountancy firm EIN2013-12-31341463411
2012 : EMPLOYEE BENEFIT PLAN FOR SPECIALIZED ALTERNATIVES FOR FAM 2012 401k financial data
Total income from all sources (including contributions)2012-12-31$1,941,482
Total of all expenses incurred2012-12-31$955,866
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2012-12-31$934,975
Total contributions o plan (from employers,participants, others, non cash contrinutions)2012-12-31$1,161,917
Value of total assets at end of year2012-12-31$7,458,387
Value of total assets at beginning of year2012-12-31$6,472,771
Total of administrative expenses incurred including professional, contract, advisory and management fees2012-12-31$20,891
Total dividends received (eg from common stock, registered investment company shares)2012-12-31$173,508
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2012-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2012-12-31$173,508
Administrative expenses professional fees incurred2012-12-31$6,281
Was this plan covered by a fidelity bond2012-12-31Yes
Value of fidelity bond cover2012-12-31$500,000
If this is an individual account plan, was there a blackout period2012-12-31No
Were there any nonexempt tranactions with any party-in-interest2012-12-31No
Contributions received from participants2012-12-31$390,109
Income. Received or receivable in cash from other sources (including rollovers)2012-12-31$100,663
Total non interest bearing cash at end of year2012-12-31$585
Total non interest bearing cash at beginning of year2012-12-31$26
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2012-12-31No
Value of net income/loss2012-12-31$985,616
Value of net assets at end of year (total assets less liabilities)2012-12-31$7,458,387
Value of net assets at beginning of year (total assets less liabilities)2012-12-31$6,472,771
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2012-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2012-12-31No
Were any leases to which the plan was party in default or uncollectible2012-12-31No
Investment advisory and management fees2012-12-31$14,610
Value of interest in registered invesment companies (eg mutual funds) at end of year2012-12-31$5,641,034
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2012-12-31$4,696,351
Value of interest in common/collective trusts at end of year2012-12-31$1,144,565
Value of interest in common/collective trusts at beginning of year2012-12-31$1,184,508
Net investment gain/loss from registered investment companies (e.g. mutual funds)2012-12-31$587,134
Net investment gain or loss from common/collective trusts2012-12-31$18,923
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2012-12-31No
Was there a failure to transmit to the plan any participant contributions2012-12-31No
Has the plan failed to provide any benefit when due under the plan2012-12-31No
Contributions received in cash from employer2012-12-31$671,145
Employer contributions (assets) at end of year2012-12-31$672,203
Employer contributions (assets) at beginning of year2012-12-31$591,886
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2012-12-31$934,975
Did the plan have assets held for investment2012-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2012-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2012-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2012-12-31Yes
Opinion of an independent qualified public accountant for this plan2012-12-31Disclaimer
Accountancy firm name2012-12-31BARNES WENDLING CPAS, INC.
Accountancy firm EIN2012-12-31341463411
2011 : EMPLOYEE BENEFIT PLAN FOR SPECIALIZED ALTERNATIVES FOR FAM 2011 401k financial data
Total income from all sources (including contributions)2011-12-31$911,463
Total of all expenses incurred2011-12-31$579,372
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2011-12-31$565,553
Total contributions o plan (from employers,participants, others, non cash contrinutions)2011-12-31$970,211
Value of total assets at end of year2011-12-31$6,472,771
Value of total assets at beginning of year2011-12-31$6,140,680
Total of administrative expenses incurred including professional, contract, advisory and management fees2011-12-31$13,819
Total dividends received (eg from common stock, registered investment company shares)2011-12-31$191,971
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2011-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2011-12-31$191,971
Administrative expenses professional fees incurred2011-12-31$3,258
Was this plan covered by a fidelity bond2011-12-31Yes
Value of fidelity bond cover2011-12-31$500,000
If this is an individual account plan, was there a blackout period2011-12-31No
Were there any nonexempt tranactions with any party-in-interest2011-12-31No
Contributions received from participants2011-12-31$336,570
Income. Received or receivable in cash from other sources (including rollovers)2011-12-31$41,755
Total non interest bearing cash at end of year2011-12-31$26
Total non interest bearing cash at beginning of year2011-12-31$474
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2011-12-31No
Value of net income/loss2011-12-31$332,091
Value of net assets at end of year (total assets less liabilities)2011-12-31$6,472,771
Value of net assets at beginning of year (total assets less liabilities)2011-12-31$6,140,680
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2011-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2011-12-31No
Were any leases to which the plan was party in default or uncollectible2011-12-31No
Investment advisory and management fees2011-12-31$10,561
Value of interest in registered invesment companies (eg mutual funds) at end of year2011-12-31$4,696,351
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2011-12-31$4,684,097
Value of interest in common/collective trusts at end of year2011-12-31$1,184,508
Value of interest in common/collective trusts at beginning of year2011-12-31$854,282
Net investment gain/loss from registered investment companies (e.g. mutual funds)2011-12-31$-301,273
Net investment gain or loss from common/collective trusts2011-12-31$50,554
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2011-12-31No
Was there a failure to transmit to the plan any participant contributions2011-12-31Yes
Has the plan failed to provide any benefit when due under the plan2011-12-31No
Contributions received in cash from employer2011-12-31$591,886
Employer contributions (assets) at end of year2011-12-31$591,886
Employer contributions (assets) at beginning of year2011-12-31$601,827
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2011-12-31$565,553
Did the plan have assets held for investment2011-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2011-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2011-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2011-12-31Yes
Opinion of an independent qualified public accountant for this plan2011-12-31Disclaimer
Accountancy firm name2011-12-31BARNES WENDLING CPAS, INC.
Accountancy firm EIN2011-12-31341463411
2010 : EMPLOYEE BENEFIT PLAN FOR SPECIALIZED ALTERNATIVES FOR FAM 2010 401k financial data
Total income from all sources (including contributions)2010-12-31$1,665,849
Total of all expenses incurred2010-12-31$166,435
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2010-12-31$135,934
Total contributions o plan (from employers,participants, others, non cash contrinutions)2010-12-31$1,055,134
Value of total assets at end of year2010-12-31$6,140,680
Value of total assets at beginning of year2010-12-31$4,641,266
Total of administrative expenses incurred including professional, contract, advisory and management fees2010-12-31$30,501
Total dividends received (eg from common stock, registered investment company shares)2010-12-31$115,676
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2010-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2010-12-31$115,676
Administrative expenses professional fees incurred2010-12-31$3,677
Was this plan covered by a fidelity bond2010-12-31Yes
Value of fidelity bond cover2010-12-31$500,000
If this is an individual account plan, was there a blackout period2010-12-31No
Were there any nonexempt tranactions with any party-in-interest2010-12-31No
Contributions received from participants2010-12-31$315,464
Income. Received or receivable in cash from other sources (including rollovers)2010-12-31$137,843
Total non interest bearing cash at end of year2010-12-31$474
Total non interest bearing cash at beginning of year2010-12-31$1,958
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2010-12-31No
Value of net income/loss2010-12-31$1,499,414
Value of net assets at end of year (total assets less liabilities)2010-12-31$6,140,680
Value of net assets at beginning of year (total assets less liabilities)2010-12-31$4,641,266
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2010-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2010-12-31No
Were any leases to which the plan was party in default or uncollectible2010-12-31No
Investment advisory and management fees2010-12-31$26,824
Value of interest in registered invesment companies (eg mutual funds) at end of year2010-12-31$4,684,097
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2010-12-31$3,386,493
Value of interest in common/collective trusts at end of year2010-12-31$854,282
Value of interest in common/collective trusts at beginning of year2010-12-31$661,637
Net investment gain/loss from registered investment companies (e.g. mutual funds)2010-12-31$475,871
Net investment gain or loss from common/collective trusts2010-12-31$19,168
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2010-12-31No
Was there a failure to transmit to the plan any participant contributions2010-12-31Yes
Has the plan failed to provide any benefit when due under the plan2010-12-31No
Contributions received in cash from employer2010-12-31$601,827
Employer contributions (assets) at end of year2010-12-31$601,827
Employer contributions (assets) at beginning of year2010-12-31$591,178
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2010-12-31$135,934
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-32010-12-31No
Did the plan have assets held for investment2010-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2010-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2010-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2010-12-31Yes
Opinion of an independent qualified public accountant for this plan2010-12-31Disclaimer
Accountancy firm name2010-12-31BARNES WENDLING CPAS, INC.
Accountancy firm EIN2010-12-31341463411

Form 5500 Responses for EMPLOYEE BENEFIT PLAN FOR SPECIALIZED ALTERNATIVES FOR FAM

2022: EMPLOYEE BENEFIT PLAN FOR SPECIALIZED ALTERNATIVES FOR FAM 2022 form 5500 responses
2022-01-01Type of plan entitySingle employer plan
2022-01-01Submission has been amendedNo
2022-01-01This submission is the final filingNo
2022-01-01This return/report is a short plan year return/report (less than 12 months)No
2022-01-01Plan is a collectively bargained planNo
2022-01-01Plan funding arrangement – TrustYes
2022-01-01Plan benefit arrangement - TrustYes
2021: EMPLOYEE BENEFIT PLAN FOR SPECIALIZED ALTERNATIVES FOR FAM 2021 form 5500 responses
2021-01-01Type of plan entitySingle employer plan
2021-01-01Submission has been amendedYes
2021-01-01This submission is the final filingNo
2021-01-01This return/report is a short plan year return/report (less than 12 months)No
2021-01-01Plan is a collectively bargained planNo
2021-01-01Plan funding arrangement – InsuranceYes
2021-01-01Plan funding arrangement – TrustYes
2021-01-01Plan benefit arrangement – InsuranceYes
2021-01-01Plan benefit arrangement - TrustYes
2020: EMPLOYEE BENEFIT PLAN FOR SPECIALIZED ALTERNATIVES FOR FAM 2020 form 5500 responses
2020-01-01Type of plan entitySingle employer plan
2020-01-01Submission has been amendedNo
2020-01-01This submission is the final filingNo
2020-01-01This return/report is a short plan year return/report (less than 12 months)No
2020-01-01Plan is a collectively bargained planNo
2020-01-01Plan funding arrangement – InsuranceYes
2020-01-01Plan benefit arrangement – InsuranceYes
2019: EMPLOYEE BENEFIT PLAN FOR SPECIALIZED ALTERNATIVES FOR FAM 2019 form 5500 responses
2019-01-01Type of plan entitySingle employer plan
2019-01-01Submission has been amendedNo
2019-01-01This submission is the final filingNo
2019-01-01This return/report is a short plan year return/report (less than 12 months)No
2019-01-01Plan is a collectively bargained planNo
2019-01-01Plan funding arrangement – InsuranceYes
2019-01-01Plan benefit arrangement – InsuranceYes
2018: EMPLOYEE BENEFIT PLAN FOR SPECIALIZED ALTERNATIVES FOR FAM 2018 form 5500 responses
2018-01-01Type of plan entitySingle employer plan
2018-01-01Submission has been amendedNo
2018-01-01This submission is the final filingNo
2018-01-01This return/report is a short plan year return/report (less than 12 months)No
2018-01-01Plan is a collectively bargained planNo
2018-01-01Plan funding arrangement – InsuranceYes
2018-01-01Plan benefit arrangement – InsuranceYes
2017: EMPLOYEE BENEFIT PLAN FOR SPECIALIZED ALTERNATIVES FOR FAM 2017 form 5500 responses
2017-01-01Type of plan entitySingle employer plan
2017-01-01Submission has been amendedNo
2017-01-01This submission is the final filingNo
2017-01-01This return/report is a short plan year return/report (less than 12 months)No
2017-01-01Plan is a collectively bargained planNo
2017-01-01Plan funding arrangement – InsuranceYes
2017-01-01Plan funding arrangement – TrustYes
2017-01-01Plan benefit arrangement – InsuranceYes
2016: EMPLOYEE BENEFIT PLAN FOR SPECIALIZED ALTERNATIVES FOR FAM 2016 form 5500 responses
2016-01-01Type of plan entitySingle employer plan
2016-01-01Submission has been amendedNo
2016-01-01This submission is the final filingNo
2016-01-01This return/report is a short plan year return/report (less than 12 months)No
2016-01-01Plan is a collectively bargained planNo
2016-01-01Plan funding arrangement – InsuranceYes
2016-01-01Plan funding arrangement – TrustYes
2016-01-01Plan benefit arrangement – InsuranceYes
2015: EMPLOYEE BENEFIT PLAN FOR SPECIALIZED ALTERNATIVES FOR FAM 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 – InsuranceYes
2015-01-01Plan benefit arrangement - TrustYes
2014: EMPLOYEE BENEFIT PLAN FOR SPECIALIZED ALTERNATIVES FOR FAM 2014 form 5500 responses
2014-01-01Type of plan entitySingle employer plan
2014-01-01Plan funding arrangement – TrustYes
2014-01-01Plan benefit arrangement - TrustYes
2013: EMPLOYEE BENEFIT PLAN FOR SPECIALIZED ALTERNATIVES FOR FAM 2013 form 5500 responses
2013-01-01Type of plan entitySingle employer plan
2013-01-01Plan funding arrangement – TrustYes
2013-01-01Plan benefit arrangement - TrustYes
2012: EMPLOYEE BENEFIT PLAN FOR SPECIALIZED ALTERNATIVES FOR FAM 2012 form 5500 responses
2012-01-01Type of plan entitySingle employer plan
2012-01-01Plan funding arrangement – TrustYes
2012-01-01Plan benefit arrangement - TrustYes
2011: EMPLOYEE BENEFIT PLAN FOR SPECIALIZED ALTERNATIVES FOR FAM 2011 form 5500 responses
2011-01-01Type of plan entitySingle employer plan
2011-01-01Plan funding arrangement – TrustYes
2011-01-01Plan benefit arrangement - TrustYes
2009: EMPLOYEE BENEFIT PLAN FOR SPECIALIZED ALTERNATIVES FOR FAM 2009 form 5500 responses
2009-01-01Type of plan entitySingle employer plan
2009-01-01This submission is the final filingNo
2009-01-01Plan funding arrangement – TrustYes
2009-01-01Plan benefit arrangement - TrustYes

Insurance Providers Used on plan

MUTUAL OF AMERICA LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 88668 )
Policy contract number059624C
Policy instance 1
Insurance contract or identification number059624C
Number of Individuals Covered0
Insurance policy start date2021-01-01
Insurance policy end date2021-12-31
Total amount of commissions paid to insurance brokerUSD $0
Total amount of fees paid to insurance companyUSD $3,169
Are there contracts with allocated funds for individual policies?0
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 planNo
Contracts With Unallocated Funds Deposit Administration1
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 BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
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?Yes
Amount paid for insurance broker fees3169
Additional information about fees paid to insurance brokerPORTION OF INCENTIVE COMP. PROGRAM
Insurance broker organization code?3
MUTUAL OF AMERICA LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 88668 )
Policy contract number059624C
Policy instance 1
Insurance contract or identification number059624C
Number of Individuals Covered770
Insurance policy start date2020-01-01
Insurance policy end date2020-12-31
Total amount of commissions paid to insurance brokerUSD $0
Total amount of fees paid to insurance companyUSD $8,900
Are there contracts with allocated funds for individual policies?0
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 planNo
Contracts With Unallocated Funds Deposit Administration1
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 BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
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 BrokerUSD $0
Amount paid for insurance broker fees8900
Additional information about fees paid to insurance brokerPORTION OF INCENTIVE COMP. PROGRAM
Insurance broker organization code?3
MUTUAL OF AMERICA LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 88668 )
Policy contract number059624C
Policy instance 1
Insurance contract or identification number059624C
Number of Individuals Covered766
Insurance policy start date2019-01-01
Insurance policy end date2019-12-31
Total amount of commissions paid to insurance brokerUSD $0
Total amount of fees paid to insurance companyUSD $2,868
Are there contracts with allocated funds for individual policies?0
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 planNo
Contracts With Unallocated Funds Deposit Administration1
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 BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
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 BrokerUSD $0
Amount paid for insurance broker fees2868
Additional information about fees paid to insurance brokerPORTION OF INCENTIVE COMP. PROGRAM
Insurance broker organization code?3
MUTUAL OF AMERICA LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 88668 )
Policy contract number059624C
Policy instance 1
Insurance contract or identification number059624C
Number of Individuals Covered713
Insurance policy start date2018-01-01
Insurance policy end date2018-12-31
Total amount of commissions paid to insurance brokerUSD $0
Total amount of fees paid to insurance companyUSD $9,204
Are there contracts with allocated funds for individual policies?0
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 planNo
Contracts With Unallocated Funds Deposit Administration1
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 BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
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 BrokerUSD $0
Amount paid for insurance broker fees9204
Additional information about fees paid to insurance brokerPORTION OF INCENTIVE COMP. PROGRAM
Insurance broker organization code?3
MUTUAL OF AMERICA LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 88668 )
Policy contract number059624C
Policy instance 1
Insurance contract or identification number059624C
Number of Individuals Covered711
Insurance policy start date2017-01-01
Insurance policy end date2017-12-31
Total amount of commissions paid to insurance brokerUSD $0
Total amount of fees paid to insurance companyUSD $22,427
Are there contracts with allocated funds for individual policies?0
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 planNo
Contracts With Unallocated Funds Deposit Administration1
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 BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
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 BrokerUSD $0
Amount paid for insurance broker fees22427
Additional information about fees paid to insurance brokerPORTION OF INCENTIVE COMP PROGRAM
Insurance broker organization code?3
Insurance broker nameAKRON REGIONAL OFFICE
MUTUAL OF AMERICA LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 88668 )
Policy contract number059624C
Policy instance 1
Insurance contract or identification number059624C
Number of Individuals Covered610
Insurance policy start date2015-08-01
Insurance policy end date2015-12-31
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 planNo
Contracts With Unallocated Funds Deposit Administration1
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 BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
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

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