401k Plan data: ROBERTS & SPIEGEL LLP RETIREMENT PLAN plan

ROBERTS & SPIEGEL LLP RETIREMENT PLAN 401k Plan overview

Plan Name	ROBERTS & SPIEGEL LLP RETIREMENT PLAN
Plan identification number	001

ROBERTS & SPIEGEL LLP RETIREMENT PLAN Benefits

401k Plan Type

Defined Contribution Pension

Plan Features/Benefits

Age/Service Weighted or new comparability or similar plan - Age/Service Weighted Plan: Allocations are based on age, service, or age and service. New comparability or similar plan: Allocations are based on participant classifications and a classification(s) consists entirely or predominantly of highly compensated employees; or the plan provides an additional allocation rate on compensation above a specified threshold, and the theshold or additional rate exceeds the maximum threshold or rate allowed under the permitted disparity rules of section 401(l).
Profit-sharing
ERISA section 404(c) Plan - This plan, or any part of it is intended to meet the conditions of 29 CFR 2550.404c-1.
Total participant-directed account plan - Participants have the opportunity to direct the investment of all the assets allocated to their individual accounts, regardless of whether 29 CFR 2550.404c-1 is intended to be met.
Participant-directed brokerage accounts provided as an investment option under the plan.
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

ROBERTS & SPIEGEL LLP has sponsored the creation of one or more 401k plans.

Company Name: ROBERTS & SPIEGEL LLP

Employer identification number (EIN): 481298897

NAIC Classification: 541110
NAIC Description: Offices of Lawyers

Form 5500 Filing Information

Submission information for form 5500 for 401k plan ROBERTS & SPIEGEL LLP RETIREMENT PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2023-01-01 DARIN K. SPIEGEL 2024-10-01 DARIN K. SPIEGEL 2024-10-01
001 2022-01-01 STEVEN ROBERTS 2023-10-03 STEVEN ROBERTS 2023-10-03
001 2021-01-01 STEVEN ROBERTS 2022-10-04 STEVEN ROBERTS 2022-10-04
001 2021-01-01 STEVEN ROBERTS 2023-10-02 STEVEN ROBERTS 2023-10-02
001 2020-01-01 STEVEN ROBERTS 2021-10-14 STEVEN ROBERTS 2021-10-14
001 2019-01-01
001 2018-01-01
001 2017-01-01
001 2016-01-01
001 2015-01-01 MARZIO - PRACTITIONER NON-FIDUCIARY 2016-10-17
001 2014-01-01 MARZIO - PRACTITIONER NON-FIDUCIARY 2015-10-15
001 2013-01-01 MARZIO - PRACTITIONER NON-FIDUCIARY 2014-10-03
001 2012-01-01 MARZIO - PRACTITIONER NON-FIDUCIARY 2013-10-12
001 2011-01-01 BONNIE MARZIO 2012-10-15
001 2010-01-01 BONNIE MARZIO 2011-07-26

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed	Name of Company Sponsor	Date Sponsor Signed
001	2023-01-01	DARIN K. SPIEGEL	2024-10-01	DARIN K. SPIEGEL	2024-10-01
001	2022-01-01	STEVEN ROBERTS	2023-10-03	STEVEN ROBERTS	2023-10-03
001	2021-01-01	STEVEN ROBERTS	2022-10-04	STEVEN ROBERTS	2022-10-04
001	2021-01-01	STEVEN ROBERTS	2023-10-02	STEVEN ROBERTS	2023-10-02
001	2020-01-01	STEVEN ROBERTS	2021-10-14	STEVEN ROBERTS	2021-10-14
001	2019-01-01
001	2018-01-01
001	2017-01-01
001	2016-01-01
001	2015-01-01	MARZIO - PRACTITIONER NON-FIDUCIARY	2016-10-17
001	2014-01-01	MARZIO - PRACTITIONER NON-FIDUCIARY	2015-10-15
001	2013-01-01	MARZIO - PRACTITIONER NON-FIDUCIARY	2014-10-03
001	2012-01-01	MARZIO - PRACTITIONER NON-FIDUCIARY	2013-10-12
001	2011-01-01	BONNIE MARZIO	2012-10-15
001	2010-01-01	BONNIE MARZIO	2011-07-26

Plan Statistics for ROBERTS & SPIEGEL LLP RETIREMENT PLAN

401k plan membership statisitcs for ROBERTS & SPIEGEL LLP RETIREMENT PLAN

Measure Date Value
2023: ROBERTS & SPIEGEL LLP RETIREMENT PLAN 2023 401k membership
Total participants, beginning-of-year 2023-01-01 7
Total number of active participants reported on line 7a of the Form 5500 2023-01-01 7
Number of retired or separated participants receiving benefits 2023-01-01 0
Number of other retired or separated participants entitled to future benefits 2023-01-01 0
Total of all active and inactive participants 2023-01-01 7
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2023-01-01 0
Total participants 2023-01-01 7
Number of participants with account balances 2023-01-01 7
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2023-01-01 0
2022: ROBERTS & SPIEGEL LLP RETIREMENT PLAN 2022 401k membership
Total participants, beginning-of-year 2022-01-01 6
Total number of active participants reported on line 7a of the Form 5500 2022-01-01 5
Number of retired or separated participants receiving benefits 2022-01-01 0
Number of other retired or separated participants entitled to future benefits 2022-01-01 1
Total of all active and inactive participants 2022-01-01 6
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2022-01-01 0
Total participants 2022-01-01 6
Number of participants with account balances 2022-01-01 6
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2022-01-01 0
2021: ROBERTS & SPIEGEL LLP RETIREMENT PLAN 2021 401k membership
Total participants, beginning-of-year 2021-01-01 8
Total number of active participants reported on line 7a of the Form 5500 2021-01-01 6
Number of retired or separated participants receiving benefits 2021-01-01 0
Number of other retired or separated participants entitled to future benefits 2021-01-01 0
Total of all active and inactive participants 2021-01-01 6
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2021-01-01 0
Total participants 2021-01-01 6
Number of participants with account balances 2021-01-01 6
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2021-01-01 0
2020: ROBERTS & SPIEGEL LLP RETIREMENT PLAN 2020 401k membership
Total participants, beginning-of-year 2020-01-01 10
Total number of active participants reported on line 7a of the Form 5500 2020-01-01 8
Number of retired or separated participants receiving benefits 2020-01-01 0
Number of other retired or separated participants entitled to future benefits 2020-01-01 0
Total of all active and inactive participants 2020-01-01 8
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2020-01-01 0
Total participants 2020-01-01 8
Number of participants with account balances 2020-01-01 8
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2020-01-01 0

Measure	Date	Value
2023: ROBERTS & SPIEGEL LLP RETIREMENT PLAN 2023 401k membership
Total participants, beginning-of-year	2023-01-01	7
Total number of active participants reported on line 7a of the Form 5500	2023-01-01	7
Number of retired or separated participants receiving benefits	2023-01-01	0
Number of other retired or separated participants entitled to future benefits	2023-01-01	0
Total of all active and inactive participants	2023-01-01	7
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2023-01-01	0
Total participants	2023-01-01	7
Number of participants with account balances	2023-01-01	7
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2023-01-01	0
2022: ROBERTS & SPIEGEL LLP RETIREMENT PLAN 2022 401k membership
Total participants, beginning-of-year	2022-01-01	6
Total number of active participants reported on line 7a of the Form 5500	2022-01-01	5
Number of retired or separated participants receiving benefits	2022-01-01	0
Number of other retired or separated participants entitled to future benefits	2022-01-01	1
Total of all active and inactive participants	2022-01-01	6
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2022-01-01	0
Total participants	2022-01-01	6
Number of participants with account balances	2022-01-01	6
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2022-01-01	0
2021: ROBERTS & SPIEGEL LLP RETIREMENT PLAN 2021 401k membership
Total participants, beginning-of-year	2021-01-01	8
Total number of active participants reported on line 7a of the Form 5500	2021-01-01	6
Number of retired or separated participants receiving benefits	2021-01-01	0
Number of other retired or separated participants entitled to future benefits	2021-01-01	0
Total of all active and inactive participants	2021-01-01	6
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2021-01-01	0
Total participants	2021-01-01	6
Number of participants with account balances	2021-01-01	6
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2021-01-01	0
2020: ROBERTS & SPIEGEL LLP RETIREMENT PLAN 2020 401k membership
Total participants, beginning-of-year	2020-01-01	10
Total number of active participants reported on line 7a of the Form 5500	2020-01-01	8
Number of retired or separated participants receiving benefits	2020-01-01	0
Number of other retired or separated participants entitled to future benefits	2020-01-01	0
Total of all active and inactive participants	2020-01-01	8
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2020-01-01	0
Total participants	2020-01-01	8
Number of participants with account balances	2020-01-01	8
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2020-01-01	0

Financial Data on ROBERTS & SPIEGEL LLP RETIREMENT PLAN

Measure	Date	Value
2023 : ROBERTS & SPIEGEL LLP RETIREMENT PLAN 2023 401k financial data
Total income from all sources	2023-12-31	$157,693
Expenses. Total of all expenses incurred	2023-12-31	$83,736
Benefits paid (including direct rollovers)	2023-12-31	$80,932
Total plan assets at end of year	2023-12-31	$707,672
Total plan assets at beginning of year	2023-12-31	$633,715
Value of fidelity bond covering the plan	2023-12-31	$300,000
Assets. Value of tangible personal property	2023-12-31	$103,999
Total contributions received or receivable from participants	2023-12-31	$29,765
Other income received	2023-12-31	$42,016
Net income (gross income less expenses)	2023-12-31	$73,957
Net plan assets at end of year (total assets less liabilities)	2023-12-31	$707,672
Net plan assets at beginning of year (total assets less liabilities)	2023-12-31	$633,715
Assets. Value of participant loans	2023-12-31	$35,000
Assets. Value of employer real property	2023-12-31	$241,000
Total contributions received or receivable from employer(s)	2023-12-31	$85,912
Expenses. Administrative service providers (salaries,fees and commissions)	2023-12-31	$2,804
2022 : ROBERTS & SPIEGEL LLP RETIREMENT PLAN 2022 401k financial data
Total income from all sources	2022-12-31	$59,584
Expenses. Total of all expenses incurred	2022-12-31	$176,682
Benefits paid (including direct rollovers)	2022-12-31	$174,340
Total plan assets at end of year	2022-12-31	$633,715
Total plan assets at beginning of year	2022-12-31	$750,813
Value of fidelity bond covering the plan	2022-12-31	$300,000
Assets. Value of tangible personal property	2022-12-31	$89,995
Other income received	2022-12-31	$-29,953
Net income (gross income less expenses)	2022-12-31	$-117,098
Net plan assets at end of year (total assets less liabilities)	2022-12-31	$633,715
Net plan assets at beginning of year (total assets less liabilities)	2022-12-31	$750,813
Assets. Value of employer real property	2022-12-31	$230,000
Total contributions received or receivable from employer(s)	2022-12-31	$89,537
Expenses. Administrative service providers (salaries,fees and commissions)	2022-12-31	$2,342
2021 : ROBERTS & SPIEGEL LLP RETIREMENT PLAN 2021 401k financial data
Total income from all sources	2021-12-31	$173,297
Expenses. Total of all expenses incurred	2021-12-31	$191,536
Benefits paid (including direct rollovers)	2021-12-31	$187,752
Total plan assets at end of year	2021-12-31	$838,292
Total plan assets at beginning of year	2021-12-31	$856,531
Value of fidelity bond covering the plan	2021-12-31	$300,000
Assets. Value of tangible personal property	2021-12-31	$69,223
Assets. Value of loans (other than to participants)	2021-12-31	$19,300
Contributions received from other sources (not participants or employers)	2021-12-31	$40,650
Other income received	2021-12-31	$73,897
Net income (gross income less expenses)	2021-12-31	$-18,239
Net plan assets at end of year (total assets less liabilities)	2021-12-31	$838,292
Net plan assets at beginning of year (total assets less liabilities)	2021-12-31	$856,531
Assets. Value of employer real property	2021-12-31	$225,300
Total contributions received or receivable from employer(s)	2021-12-31	$58,750
Expenses. Administrative service providers (salaries,fees and commissions)	2021-12-31	$3,784
2020 : ROBERTS & SPIEGEL LLP RETIREMENT PLAN 2020 401k financial data
Total income from all sources	2020-12-31	$143,331
Expenses. Total of all expenses incurred	2020-12-31	$115,410
Benefits paid (including direct rollovers)	2020-12-31	$114,858
Total plan assets at end of year	2020-12-31	$856,531
Total plan assets at beginning of year	2020-12-31	$828,610
Value of fidelity bond covering the plan	2020-12-31	$300,000
Assets. Value of tangible personal property	2020-12-31	$74,131
Assets. Value of loans (other than to participants)	2020-12-31	$184,000
Other income received	2020-12-31	$74,916
Net income (gross income less expenses)	2020-12-31	$27,921
Net plan assets at end of year (total assets less liabilities)	2020-12-31	$856,531
Net plan assets at beginning of year (total assets less liabilities)	2020-12-31	$828,610
Assets. Value of employer real property	2020-12-31	$203,000
Total contributions received or receivable from employer(s)	2020-12-31	$68,415
Expenses. Administrative service providers (salaries,fees and commissions)	2020-12-31	$552

Form 5500 Responses for ROBERTS & SPIEGEL LLP RETIREMENT PLAN

2023: ROBERTS & SPIEGEL LLP RETIREMENT PLAN 2023 form 5500 responses
2023-01-01	Type of plan entity	Single employer plan
2023-01-01	Submission has been amended	No
2023-01-01	This submission is the final filing	No
2023-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2023-01-01	Plan is a collectively bargained plan	No
2023-01-01	Plan funding arrangement – Trust	Yes
2023-01-01	Plan benefit arrangement - Trust	Yes
2022: ROBERTS & SPIEGEL LLP RETIREMENT PLAN 2022 form 5500 responses
2022-01-01	Type of plan entity	Single employer plan
2022-01-01	Submission has been amended	No
2022-01-01	This submission is the final filing	No
2022-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2022-01-01	Plan is a collectively bargained plan	No
2022-01-01	Plan funding arrangement – Trust	Yes
2022-01-01	Plan benefit arrangement - Trust	Yes
2021: ROBERTS & SPIEGEL LLP RETIREMENT PLAN 2021 form 5500 responses
2021-01-01	Type of plan entity	Single employer plan
2021-01-01	Submission has been amended	No
2021-01-01	This submission is the final filing	No
2021-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2021-01-01	Plan is a collectively bargained plan	No
2021-01-01	Plan funding arrangement – Trust	Yes
2021-01-01	Plan benefit arrangement - Trust	Yes
2020: ROBERTS & SPIEGEL LLP RETIREMENT PLAN 2020 form 5500 responses
2020-01-01	Type of plan entity	Single employer plan
2020-01-01	Submission has been amended	No
2020-01-01	This submission is the final filing	No
2020-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2020-01-01	Plan is a collectively bargained plan	No
2020-01-01	Plan funding arrangement – Trust	Yes
2020-01-01	Plan benefit arrangement - Trust	Yes

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Company Name:	ROBERTS & SPIEGEL LLP
Employer identification number (EIN):	481298897
NAIC Classification:	541110
NAIC Description:	Offices of Lawyers