THE SWAN GROUP, LLC has sponsored the creation of one or more 401k plans.
Submission information for form 5500 for 401k plan THE SWAN GROUP RETIREMENT PLAN
Measure | Date | Value |
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2022 : THE SWAN GROUP RETIREMENT PLAN 2022 401k financial data |
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Total unrealized appreciation/depreciation of assets | 2022-12-31 | $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 | $-10,319,023 |
Total loss/gain on sale of assets | 2022-12-31 | $0 |
Total of all expenses incurred | 2022-12-31 | $6,515,701 |
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others | 2022-12-31 | $6,344,153 |
Expenses. Certain deemed distributions of participant loans | 2022-12-31 | $39,247 |
Value of total corrective distributions | 2022-12-31 | $3,904 |
Total contributions o plan (from employers,participants, others, non cash contrinutions) | 2022-12-31 | $6,390,125 |
Value of total assets at end of year | 2022-12-31 | $101,371,755 |
Value of total assets at beginning of year | 2022-12-31 | $118,206,479 |
Total of administrative expenses incurred including professional, contract, advisory and management fees | 2022-12-31 | $128,397 |
Total interest from all sources | 2022-12-31 | $821,989 |
Total dividends received (eg from common stock, registered investment company shares) | 2022-12-31 | $4,684,956 |
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year | 2022-12-31 | No |
Total dividends received from registered investment company shares (eg mutual funds) | 2022-12-31 | $4,684,956 |
Was this plan covered by a fidelity bond | 2022-12-31 | Yes |
Value of fidelity bond cover | 2022-12-31 | $3,000,000 |
If this is an individual account plan, was there a blackout period | 2022-12-31 | No |
Were there any nonexempt tranactions with any party-in-interest | 2022-12-31 | No |
Contributions received from participants | 2022-12-31 | $2,848,096 |
Participant contributions at end of year | 2022-12-31 | $635,319 |
Participant contributions at beginning of year | 2022-12-31 | $661,549 |
Income. Received or receivable in cash from other sources (including rollovers) | 2022-12-31 | $23,304 |
Value of other receiveables (less allowance for doubtful accounts) at end of year | 2022-12-31 | $99 |
Value of other receiveables (less allowance for doubtful accounts) at beginning of year | 2022-12-31 | $4,640 |
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser | 2022-12-31 | No |
Value of net income/loss | 2022-12-31 | $-16,834,724 |
Value of net assets at end of year (total assets less liabilities) | 2022-12-31 | $101,371,755 |
Value of net assets at beginning of year (total assets less liabilities) | 2022-12-31 | $118,206,479 |
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond) | 2022-12-31 | No |
Were any loans by the plan or fixed income obligations due to the plan in default | 2022-12-31 | No |
Were any leases to which the plan was party in default or uncollectible | 2022-12-31 | No |
Investment advisory and management fees | 2022-12-31 | $111,252 |
Value of interest in registered invesment companies (eg mutual funds) at end of year | 2022-12-31 | $73,651,316 |
Value of interest in registered invesment companies (eg mutual funds) at beginning of year | 2022-12-31 | $93,980,442 |
Interest on participant loans | 2022-12-31 | $33,026 |
Interest earned on other investments | 2022-12-31 | $788,963 |
Value of funds held in insurance company general accounts (unallocated contracts) at end of year | 2022-12-31 | $27,085,021 |
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year | 2022-12-31 | $23,559,848 |
Net investment gain/loss from registered investment companies (e.g. mutual funds) | 2022-12-31 | $-22,216,093 |
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets | 2022-12-31 | No |
Was there a failure to transmit to the plan any participant contributions | 2022-12-31 | Yes |
Has the plan failed to provide any benefit when due under the plan | 2022-12-31 | No |
Contributions received in cash from employer | 2022-12-31 | $3,518,725 |
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers | 2022-12-31 | $6,344,153 |
Contract administrator fees | 2022-12-31 | $17,145 |
Did the plan have assets held for investment | 2022-12-31 | Yes |
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser | 2022-12-31 | No |
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC | 2022-12-31 | No |
Opinion of an independent qualified public accountant for this plan | 2022-12-31 | Unqualified |
Accountancy firm name | 2022-12-31 | SULLIVAN AND FOLAN, LLC |
Accountancy firm EIN | 2022-12-31 | 043252952 |
2021 : THE SWAN GROUP RETIREMENT PLAN 2021 401k financial data |
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Total unrealized appreciation/depreciation of assets | 2021-12-31 | $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 | $20,589,029 |
Total loss/gain on sale of assets | 2021-12-31 | $0 |
Total of all expenses incurred | 2021-12-31 | $4,589,162 |
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others | 2021-12-31 | $4,443,601 |
Expenses. Certain deemed distributions of participant loans | 2021-12-31 | $0 |
Value of total corrective distributions | 2021-12-31 | $0 |
Total contributions o plan (from employers,participants, others, non cash contrinutions) | 2021-12-31 | $7,198,653 |
Value of total assets at end of year | 2021-12-31 | $118,206,479 |
Value of total assets at beginning of year | 2021-12-31 | $102,206,612 |
Total of administrative expenses incurred including professional, contract, advisory and management fees | 2021-12-31 | $145,561 |
Total interest from all sources | 2021-12-31 | $701,010 |
Total dividends received (eg from common stock, registered investment company shares) | 2021-12-31 | $9,291,555 |
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year | 2021-12-31 | No |
Total dividends received from registered investment company shares (eg mutual funds) | 2021-12-31 | $9,291,555 |
Administrative expenses professional fees incurred | 2021-12-31 | $0 |
Was this plan covered by a fidelity bond | 2021-12-31 | Yes |
Value of fidelity bond cover | 2021-12-31 | $3,000,000 |
If this is an individual account plan, was there a blackout period | 2021-12-31 | No |
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities | 2021-12-31 | $0 |
Were there any nonexempt tranactions with any party-in-interest | 2021-12-31 | No |
Contributions received from participants | 2021-12-31 | $2,603,105 |
Participant contributions at end of year | 2021-12-31 | $661,549 |
Participant contributions at beginning of year | 2021-12-31 | $757,660 |
Assets. Other investments not covered elsewhere at end of year | 2021-12-31 | $0 |
Assets. Other investments not covered elsewhere at beginning of year | 2021-12-31 | $0 |
Income. Received or receivable in cash from other sources (including rollovers) | 2021-12-31 | $1,002,035 |
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries) | 2021-12-31 | $0 |
Value of other receiveables (less allowance for doubtful accounts) at end of year | 2021-12-31 | $4,640 |
Value of other receiveables (less allowance for doubtful accounts) at beginning of year | 2021-12-31 | $0 |
Other income not declared elsewhere | 2021-12-31 | $0 |
Administrative expenses (other) incurred | 2021-12-31 | $0 |
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser | 2021-12-31 | No |
Value of net income/loss | 2021-12-31 | $15,999,867 |
Value of net assets at end of year (total assets less liabilities) | 2021-12-31 | $118,206,479 |
Value of net assets at beginning of year (total assets less liabilities) | 2021-12-31 | $102,206,612 |
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond) | 2021-12-31 | No |
Were any loans by the plan or fixed income obligations due to the plan in default | 2021-12-31 | No |
Were any leases to which the plan was party in default or uncollectible | 2021-12-31 | No |
Investment advisory and management fees | 2021-12-31 | $140,646 |
Value of interest in registered invesment companies (eg mutual funds) at end of year | 2021-12-31 | $93,980,442 |
Value of interest in registered invesment companies (eg mutual funds) at beginning of year | 2021-12-31 | $78,231,227 |
Value of interest in pooled separate accounts at end of year | 2021-12-31 | $0 |
Value of interest in pooled separate accounts at beginning of year | 2021-12-31 | $0 |
Interest on participant loans | 2021-12-31 | $35,715 |
Interest earned on other investments | 2021-12-31 | $665,295 |
Value of interest in common/collective trusts at end of year | 2021-12-31 | $0 |
Value of interest in common/collective trusts at beginning of year | 2021-12-31 | $0 |
Value of funds held in insurance company general accounts (unallocated contracts) at end of year | 2021-12-31 | $23,559,848 |
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year | 2021-12-31 | $23,217,725 |
Expenses. Payments to insurance carriers foe the provision of benefits | 2021-12-31 | $0 |
Net investment gain/loss from registered investment companies (e.g. mutual funds) | 2021-12-31 | $3,397,811 |
Net investment gain/loss from pooled separate accounts | 2021-12-31 | $0 |
Net investment gain or loss from common/collective trusts | 2021-12-31 | $0 |
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets | 2021-12-31 | No |
Was there a failure to transmit to the plan any participant contributions | 2021-12-31 | Yes |
Has the plan failed to provide any benefit when due under the plan | 2021-12-31 | No |
Assets. Invements in employer securities at end of year | 2021-12-31 | $0 |
Assets. Invements in employer securities at beginning of year | 2021-12-31 | $0 |
Contributions received in cash from employer | 2021-12-31 | $3,593,513 |
Income. Dividends from common stock | 2021-12-31 | $0 |
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers | 2021-12-31 | $4,443,601 |
Contract administrator fees | 2021-12-31 | $4,915 |
Did the plan have assets held for investment | 2021-12-31 | Yes |
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser | 2021-12-31 | No |
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC | 2021-12-31 | No |
Opinion of an independent qualified public accountant for this plan | 2021-12-31 | Unqualified |
Accountancy firm name | 2021-12-31 | SULLIVAN AND FOLAN, LLC |
Accountancy firm EIN | 2021-12-31 | 043252952 |
2020 : THE SWAN GROUP RETIREMENT PLAN 2020 401k financial data |
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Total unrealized appreciation/depreciation of assets | 2020-12-31 | $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 | $19,060,690 |
Total loss/gain on sale of assets | 2020-12-31 | $0 |
Total of all expenses incurred | 2020-12-31 | $6,299,471 |
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others | 2020-12-31 | $6,165,388 |
Expenses. Certain deemed distributions of participant loans | 2020-12-31 | $0 |
Value of total corrective distributions | 2020-12-31 | $0 |
Total contributions o plan (from employers,participants, others, non cash contrinutions) | 2020-12-31 | $5,963,866 |
Value of total assets at end of year | 2020-12-31 | $102,206,612 |
Value of total assets at beginning of year | 2020-12-31 | $89,445,393 |
Total of administrative expenses incurred including professional, contract, advisory and management fees | 2020-12-31 | $134,083 |
Total interest from all sources | 2020-12-31 | $765,579 |
Total dividends received (eg from common stock, registered investment company shares) | 2020-12-31 | $4,026,460 |
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year | 2020-12-31 | No |
Total dividends received from registered investment company shares (eg mutual funds) | 2020-12-31 | $4,026,460 |
Administrative expenses professional fees incurred | 2020-12-31 | $0 |
Was this plan covered by a fidelity bond | 2020-12-31 | Yes |
Value of fidelity bond cover | 2020-12-31 | $3,000,000 |
If this is an individual account plan, was there a blackout period | 2020-12-31 | No |
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities | 2020-12-31 | $0 |
Funding deficiency by the employer to the plan for this plan year | 2020-12-31 | $0 |
Amount contributed by the employer to the plan for this plan year | 2020-12-31 | $0 |
Were there any nonexempt tranactions with any party-in-interest | 2020-12-31 | No |
Contributions received from participants | 2020-12-31 | $2,257,420 |
Participant contributions at end of year | 2020-12-31 | $757,660 |
Participant contributions at beginning of year | 2020-12-31 | $842,600 |
Assets. Other investments not covered elsewhere at end of year | 2020-12-31 | $0 |
Assets. Other investments not covered elsewhere at beginning of year | 2020-12-31 | $0 |
Income. Received or receivable in cash from other sources (including rollovers) | 2020-12-31 | $47,943 |
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries) | 2020-12-31 | $0 |
Other income not declared elsewhere | 2020-12-31 | $0 |
Administrative expenses (other) incurred | 2020-12-31 | $643 |
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser | 2020-12-31 | No |
Value of net income/loss | 2020-12-31 | $12,761,219 |
Value of net assets at end of year (total assets less liabilities) | 2020-12-31 | $102,206,612 |
Value of net assets at beginning of year (total assets less liabilities) | 2020-12-31 | $89,445,393 |
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond) | 2020-12-31 | No |
Were any loans by the plan or fixed income obligations due to the plan in default | 2020-12-31 | No |
Were any leases to which the plan was party in default or uncollectible | 2020-12-31 | No |
Investment advisory and management fees | 2020-12-31 | $129,037 |
Value of interest in registered invesment companies (eg mutual funds) at end of year | 2020-12-31 | $78,231,227 |
Value of interest in registered invesment companies (eg mutual funds) at beginning of year | 2020-12-31 | $70,975,021 |
Value of interest in pooled separate accounts at end of year | 2020-12-31 | $0 |
Value of interest in pooled separate accounts at beginning of year | 2020-12-31 | $0 |
Interest on participant loans | 2020-12-31 | $46,247 |
Interest earned on other investments | 2020-12-31 | $719,332 |
Value of interest in common/collective trusts at end of year | 2020-12-31 | $0 |
Value of interest in common/collective trusts at beginning of year | 2020-12-31 | $0 |
Value of funds held in insurance company general accounts (unallocated contracts) at end of year | 2020-12-31 | $23,217,725 |
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year | 2020-12-31 | $17,627,772 |
Expenses. Payments to insurance carriers foe the provision of benefits | 2020-12-31 | $0 |
Net investment gain/loss from registered investment companies (e.g. mutual funds) | 2020-12-31 | $8,304,785 |
Net investment gain/loss from pooled separate accounts | 2020-12-31 | $0 |
Net investment gain or loss from common/collective trusts | 2020-12-31 | $0 |
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets | 2020-12-31 | No |
Was there a failure to transmit to the plan any participant contributions | 2020-12-31 | No |
Has the plan failed to provide any benefit when due under the plan | 2020-12-31 | No |
Assets. Invements in employer securities at end of year | 2020-12-31 | $0 |
Assets. Invements in employer securities at beginning of year | 2020-12-31 | $0 |
Contributions received in cash from employer | 2020-12-31 | $3,658,503 |
Income. Dividends from common stock | 2020-12-31 | $0 |
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers | 2020-12-31 | $6,165,388 |
Contract administrator fees | 2020-12-31 | $4,403 |
Did the plan have assets held for investment | 2020-12-31 | Yes |
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser | 2020-12-31 | No |
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC | 2020-12-31 | No |
Opinion of an independent qualified public accountant for this plan | 2020-12-31 | Disclaimer |
Accountancy firm name | 2020-12-31 | SULLIVAN & FOLAN, LLC |
Accountancy firm EIN | 2020-12-31 | 043252952 |
2019 : THE SWAN GROUP RETIREMENT PLAN 2019 401k financial data |
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Total unrealized appreciation/depreciation of assets | 2019-12-31 | $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 | $21,923,100 |
Total loss/gain on sale of assets | 2019-12-31 | $0 |
Total of all expenses incurred | 2019-12-31 | $3,794,215 |
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others | 2019-12-31 | $3,681,787 |
Total contributions o plan (from employers,participants, others, non cash contrinutions) | 2019-12-31 | $5,928,495 |
Value of total assets at end of year | 2019-12-31 | $89,445,393 |
Value of total assets at beginning of year | 2019-12-31 | $71,316,508 |
Total of administrative expenses incurred including professional, contract, advisory and management fees | 2019-12-31 | $112,428 |
Total interest from all sources | 2019-12-31 | $659,742 |
Total dividends received (eg from common stock, registered investment company shares) | 2019-12-31 | $3,144,349 |
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year | 2019-12-31 | No |
Total dividends received from registered investment company shares (eg mutual funds) | 2019-12-31 | $3,144,349 |
Was this plan covered by a fidelity bond | 2019-12-31 | Yes |
Value of fidelity bond cover | 2019-12-31 | $3,000,000 |
If this is an individual account plan, was there a blackout period | 2019-12-31 | Yes |
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities | 2019-12-31 | $0 |
Were there any nonexempt tranactions with any party-in-interest | 2019-12-31 | No |
Contributions received from participants | 2019-12-31 | $2,186,060 |
Participant contributions at end of year | 2019-12-31 | $842,600 |
Participant contributions at beginning of year | 2019-12-31 | $816,897 |
Income. Received or receivable in cash from other sources (including rollovers) | 2019-12-31 | $369,482 |
Administrative expenses (other) incurred | 2019-12-31 | $898 |
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser | 2019-12-31 | No |
Value of net income/loss | 2019-12-31 | $18,128,885 |
Value of net assets at end of year (total assets less liabilities) | 2019-12-31 | $89,445,393 |
Value of net assets at beginning of year (total assets less liabilities) | 2019-12-31 | $71,316,508 |
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond) | 2019-12-31 | No |
Were any loans by the plan or fixed income obligations due to the plan in default | 2019-12-31 | No |
Were any leases to which the plan was party in default or uncollectible | 2019-12-31 | No |
Investment advisory and management fees | 2019-12-31 | $104,074 |
Value of interest in registered invesment companies (eg mutual funds) at end of year | 2019-12-31 | $70,975,021 |
Value of interest in registered invesment companies (eg mutual funds) at beginning of year | 2019-12-31 | $60,226,813 |
Interest on participant loans | 2019-12-31 | $42,264 |
Interest earned on other investments | 2019-12-31 | $617,478 |
Value of interest in common/collective trusts at end of year | 2019-12-31 | $0 |
Value of interest in common/collective trusts at beginning of year | 2019-12-31 | $10,272,798 |
Value of funds held in insurance company general accounts (unallocated contracts) at end of year | 2019-12-31 | $17,627,772 |
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year | 2019-12-31 | $0 |
Net investment gain/loss from registered investment companies (e.g. mutual funds) | 2019-12-31 | $12,190,514 |
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets | 2019-12-31 | No |
Was there a failure to transmit to the plan any participant contributions | 2019-12-31 | No |
Has the plan failed to provide any benefit when due under the plan | 2019-12-31 | No |
Contributions received in cash from employer | 2019-12-31 | $3,372,953 |
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers | 2019-12-31 | $3,681,787 |
Contract administrator fees | 2019-12-31 | $7,456 |
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-3 | 2019-12-31 | Yes |
Did the plan have assets held for investment | 2019-12-31 | Yes |
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser | 2019-12-31 | No |
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC | 2019-12-31 | No |
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d) | 2019-12-31 | Yes |
Opinion of an independent qualified public accountant for this plan | 2019-12-31 | Disclaimer |
Accountancy firm name | 2019-12-31 | SULLIVAN AND FOLAN LLC |
Accountancy firm EIN | 2019-12-31 | 043252952 |