401k Plan data: THE PLATINUM 401(K) RETIREMENT SAVINGS PLAN FBO PATRICK K. NEAL & ASSOCIATES, INC. plan

THE PLATINUM 401(K) RETIREMENT SAVINGS PLAN FBO PATRICK K. NEAL & ASSOCIATES, INC. 401k Plan overview

Plan Name	THE PLATINUM 401(K) RETIREMENT SAVINGS PLAN FBO PATRICK K. NEAL & ASSOCIATES, INC.
Plan identification number	004

THE PLATINUM 401(K) RETIREMENT SAVINGS PLAN FBO PATRICK K. NEAL & ASSOCIATES, INC. Benefits

401k Plan Type

Defined Contribution Pension

Plan Features/Benefits

Profit-sharing
ERISA section 404(c) Plan - This plan, or any part of it is intended to meet the conditions of 29 CFR 2550.404c-1.
Total participant-directed account plan - Participants have the opportunity to direct the investment of all the assets allocated to their individual accounts, regardless of whether 29 CFR 2550.404c-1 is intended to be met.
Code section 401(k) feature - A cash or deferred arrangement described in Code section 401(k) that is part of a qualified defined contribution plan that provides for an election by employees to defer part of their compensation or receive these amounts in cash.
Code section 401(m) arrangement - Employee contributions are allocated to separate accounts under the plan or employer contributions are based, in whole or in part, on employee deferrals or contribtions to the plan. Not applicable if plan is 401(k) plan with only QNECs and/or QMACs. Also not applicable if Code section 403(b)(1), 403(b)(7) or 408 arrangements/accounts/annuities.
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

NC EMPLOYMENT GROUP, INC. has sponsored the creation of one or more 401k plans.

Company Name: NC EMPLOYMENT GROUP, INC.

Employer identification number (EIN): 591462889

NAIC Classification: 236110

Form 5500 Filing Information

Submission information for form 5500 for 401k plan THE PLATINUM 401(K) RETIREMENT SAVINGS PLAN FBO PATRICK K. NEAL & ASSOCIATES, INC.

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
004 2020-01-01 TERRANCE P. POWER 2021-10-08
004 2019-01-01 LEE D. VOGT 2020-10-09
004 2018-01-01 LEE D. VOGT 2019-09-19
004 2017-01-01
004 2016-01-01
004 2015-01-01
004 2014-01-01 LEE D. VOGT

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed
004	2020-01-01	TERRANCE P. POWER	2021-10-08
004	2019-01-01	LEE D. VOGT	2020-10-09
004	2018-01-01	LEE D. VOGT	2019-09-19
004	2017-01-01
004	2016-01-01
004	2015-01-01
004	2014-01-01	LEE D. VOGT

Plan Statistics for THE PLATINUM 401(K) RETIREMENT SAVINGS PLAN FBO PATRICK K. NEAL & ASSOCIATES, INC.

401k plan membership statisitcs for THE PLATINUM 401(K) RETIREMENT SAVINGS PLAN FBO PATRICK K. NEAL & ASSOCIATES, INC.

Measure Date Value
2020: THE PLATINUM 401(K) RETIREMENT SAVINGS PLAN FBO PATRICK K. NEAL & ASSOCIATES, INC. 2020 401k membership
Total participants, beginning-of-year 2020-01-01 266
Total number of active participants reported on line 7a of the Form 5500 2020-01-01 183
Number of retired or separated participants receiving benefits 2020-01-01 2
Number of other retired or separated participants entitled to future benefits 2020-01-01 67
Total of all active and inactive participants 2020-01-01 252
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2020-01-01 0
Total participants 2020-01-01 252
Number of participants with account balances 2020-01-01 249
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2020-01-01 0
2019: THE PLATINUM 401(K) RETIREMENT SAVINGS PLAN FBO PATRICK K. NEAL & ASSOCIATES, INC. 2019 401k membership
Total participants, beginning-of-year 2019-01-01 306
Total number of active participants reported on line 7a of the Form 5500 2019-01-01 235
Number of retired or separated participants receiving benefits 2019-01-01 2
Number of other retired or separated participants entitled to future benefits 2019-01-01 65
Total of all active and inactive participants 2019-01-01 302
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2019-01-01 0
Total participants 2019-01-01 302
Number of participants with account balances 2019-01-01 253
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2019-01-01 3
2018: THE PLATINUM 401(K) RETIREMENT SAVINGS PLAN FBO PATRICK K. NEAL & ASSOCIATES, INC. 2018 401k membership
Total participants, beginning-of-year 2018-01-01 303
Total number of active participants reported on line 7a of the Form 5500 2018-01-01 228
Number of retired or separated participants receiving benefits 2018-01-01 0
Number of other retired or separated participants entitled to future benefits 2018-01-01 69
Total of all active and inactive participants 2018-01-01 297
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2018-01-01 0
Total participants 2018-01-01 297
Number of participants with account balances 2018-01-01 252
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2018-01-01 9
2017: THE PLATINUM 401(K) RETIREMENT SAVINGS PLAN FBO PATRICK K. NEAL & ASSOCIATES, INC. 2017 401k membership
Total participants, beginning-of-year 2017-01-01 312
Total number of active participants reported on line 7a of the Form 5500 2017-01-01 232
Number of retired or separated participants receiving benefits 2017-01-01 0
Number of other retired or separated participants entitled to future benefits 2017-01-01 62
Total of all active and inactive participants 2017-01-01 294
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2017-01-01 0
Total participants 2017-01-01 294
Number of participants with account balances 2017-01-01 241
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2017-01-01 9
2016: THE PLATINUM 401(K) RETIREMENT SAVINGS PLAN FBO PATRICK K. NEAL & ASSOCIATES, INC. 2016 401k membership
Total participants, beginning-of-year 2016-01-01 267
Total number of active participants reported on line 7a of the Form 5500 2016-01-01 243
Number of retired or separated participants receiving benefits 2016-01-01 0
Number of other retired or separated participants entitled to future benefits 2016-01-01 55
Total of all active and inactive participants 2016-01-01 298
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2016-01-01 0
Total participants 2016-01-01 298
Number of participants with account balances 2016-01-01 228
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2016-01-01 14
2015: THE PLATINUM 401(K) RETIREMENT SAVINGS PLAN FBO PATRICK K. NEAL & ASSOCIATES, INC. 2015 401k membership
Total participants, beginning-of-year 2015-01-01 232
Total number of active participants reported on line 7a of the Form 5500 2015-01-01 207
Number of retired or separated participants receiving benefits 2015-01-01 0
Number of other retired or separated participants entitled to future benefits 2015-01-01 39
Total of all active and inactive participants 2015-01-01 246
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2015-01-01 0
Total participants 2015-01-01 246
Number of participants with account balances 2015-01-01 193
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2015-01-01 8
2014: THE PLATINUM 401(K) RETIREMENT SAVINGS PLAN FBO PATRICK K. NEAL & ASSOCIATES, INC. 2014 401k membership
Total participants, beginning-of-year 2014-01-01 0
Total number of active participants reported on line 7a of the Form 5500 2014-01-01 187
Number of retired or separated participants receiving benefits 2014-01-01 0
Number of other retired or separated participants entitled to future benefits 2014-01-01 10
Total of all active and inactive participants 2014-01-01 197
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2014-01-01 0
Total participants 2014-01-01 197
Number of participants with account balances 2014-01-01 157
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2014-01-01 0

Measure	Date	Value
2020: THE PLATINUM 401(K) RETIREMENT SAVINGS PLAN FBO PATRICK K. NEAL & ASSOCIATES, INC. 2020 401k membership
Total participants, beginning-of-year	2020-01-01	266
Total number of active participants reported on line 7a of the Form 5500	2020-01-01	183
Number of retired or separated participants receiving benefits	2020-01-01	2
Number of other retired or separated participants entitled to future benefits	2020-01-01	67
Total of all active and inactive participants	2020-01-01	252
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2020-01-01	0
Total participants	2020-01-01	252
Number of participants with account balances	2020-01-01	249
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2020-01-01	0
2019: THE PLATINUM 401(K) RETIREMENT SAVINGS PLAN FBO PATRICK K. NEAL & ASSOCIATES, INC. 2019 401k membership
Total participants, beginning-of-year	2019-01-01	306
Total number of active participants reported on line 7a of the Form 5500	2019-01-01	235
Number of retired or separated participants receiving benefits	2019-01-01	2
Number of other retired or separated participants entitled to future benefits	2019-01-01	65
Total of all active and inactive participants	2019-01-01	302
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2019-01-01	0
Total participants	2019-01-01	302
Number of participants with account balances	2019-01-01	253
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2019-01-01	3
2018: THE PLATINUM 401(K) RETIREMENT SAVINGS PLAN FBO PATRICK K. NEAL & ASSOCIATES, INC. 2018 401k membership
Total participants, beginning-of-year	2018-01-01	303
Total number of active participants reported on line 7a of the Form 5500	2018-01-01	228
Number of retired or separated participants receiving benefits	2018-01-01	0
Number of other retired or separated participants entitled to future benefits	2018-01-01	69
Total of all active and inactive participants	2018-01-01	297
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2018-01-01	0
Total participants	2018-01-01	297
Number of participants with account balances	2018-01-01	252
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2018-01-01	9
2017: THE PLATINUM 401(K) RETIREMENT SAVINGS PLAN FBO PATRICK K. NEAL & ASSOCIATES, INC. 2017 401k membership
Total participants, beginning-of-year	2017-01-01	312
Total number of active participants reported on line 7a of the Form 5500	2017-01-01	232
Number of retired or separated participants receiving benefits	2017-01-01	0
Number of other retired or separated participants entitled to future benefits	2017-01-01	62
Total of all active and inactive participants	2017-01-01	294
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2017-01-01	0
Total participants	2017-01-01	294
Number of participants with account balances	2017-01-01	241
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2017-01-01	9
2016: THE PLATINUM 401(K) RETIREMENT SAVINGS PLAN FBO PATRICK K. NEAL & ASSOCIATES, INC. 2016 401k membership
Total participants, beginning-of-year	2016-01-01	267
Total number of active participants reported on line 7a of the Form 5500	2016-01-01	243
Number of retired or separated participants receiving benefits	2016-01-01	0
Number of other retired or separated participants entitled to future benefits	2016-01-01	55
Total of all active and inactive participants	2016-01-01	298
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2016-01-01	0
Total participants	2016-01-01	298
Number of participants with account balances	2016-01-01	228
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2016-01-01	14
2015: THE PLATINUM 401(K) RETIREMENT SAVINGS PLAN FBO PATRICK K. NEAL & ASSOCIATES, INC. 2015 401k membership
Total participants, beginning-of-year	2015-01-01	232
Total number of active participants reported on line 7a of the Form 5500	2015-01-01	207
Number of retired or separated participants receiving benefits	2015-01-01	0
Number of other retired or separated participants entitled to future benefits	2015-01-01	39
Total of all active and inactive participants	2015-01-01	246
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2015-01-01	0
Total participants	2015-01-01	246
Number of participants with account balances	2015-01-01	193
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2015-01-01	8
2014: THE PLATINUM 401(K) RETIREMENT SAVINGS PLAN FBO PATRICK K. NEAL & ASSOCIATES, INC. 2014 401k membership
Total participants, beginning-of-year	2014-01-01	0
Total number of active participants reported on line 7a of the Form 5500	2014-01-01	187
Number of retired or separated participants receiving benefits	2014-01-01	0
Number of other retired or separated participants entitled to future benefits	2014-01-01	10
Total of all active and inactive participants	2014-01-01	197
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2014-01-01	0
Total participants	2014-01-01	197
Number of participants with account balances	2014-01-01	157
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2014-01-01	0

Financial Data on THE PLATINUM 401(K) RETIREMENT SAVINGS PLAN FBO PATRICK K. NEAL & ASSOCIATES, INC.

Measure	Date	Value
2020 : THE PLATINUM 401(K) RETIREMENT SAVINGS PLAN FBO PATRICK K. NEAL & ASSOCIATES, INC. 2020 401k financial data
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	$6,363,675
Total loss/gain on sale of assets	2020-12-31	$0
Total of all expenses incurred	2020-12-31	$1,364,434
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2020-12-31	$1,328,895
Expenses. Certain deemed distributions of participant loans	2020-12-31	$19,591
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2020-12-31	$3,334,850
Value of total assets at end of year	2020-12-31	$22,784,460
Value of total assets at beginning of year	2020-12-31	$17,785,219
Total of administrative expenses incurred including professional, contract, advisory and management fees	2020-12-31	$15,948
Total interest from all sources	2020-12-31	$14,452
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 year	2020-12-31	No
Administrative expenses professional fees incurred	2020-12-31	$13,474
Was this plan covered by a fidelity bond	2020-12-31	Yes
Value of fidelity bond cover	2020-12-31	$500,000
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
Were there any nonexempt tranactions with any party-in-interest	2020-12-31	No
Contributions received from participants	2020-12-31	$1,688,481
Participant contributions at end of year	2020-12-31	$252,192
Participant contributions at beginning of year	2020-12-31	$252,358
Income. Received or receivable in cash from other sources (including rollovers)	2020-12-31	$577,176
Administrative expenses (other) incurred	2020-12-31	$2,474
Total non interest bearing cash at end of year	2020-12-31	$13,420
Total non interest bearing cash at beginning of year	2020-12-31	$10,946
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	$4,999,241
Value of net assets at end of year (total assets less liabilities)	2020-12-31	$22,784,460
Value of net assets at beginning of year (total assets less liabilities)	2020-12-31	$17,785,219
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
Value of interest in pooled separate accounts at end of year	2020-12-31	$22,518,848
Value of interest in pooled separate accounts at beginning of year	2020-12-31	$17,504,590
Interest on participant loans	2020-12-31	$14,452
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2020-12-31	$3,014,373
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
Contributions received in cash from employer	2020-12-31	$1,069,193
Employer contributions (assets) at end of year	2020-12-31	$0
Employer contributions (assets) at beginning of year	2020-12-31	$17,325
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2020-12-31	$1,328,895
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	Unqualified
Accountancy firm name	2020-12-31	SKIBBIE CPA, INC.
Accountancy firm EIN	2020-12-31	270851321
2019 : THE PLATINUM 401(K) RETIREMENT SAVINGS PLAN FBO PATRICK K. NEAL & ASSOCIATES, INC. 2019 401k financial data
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	$5,881,670
Total loss/gain on sale of assets	2019-12-31	$0
Total of all expenses incurred	2019-12-31	$2,362,254
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2019-12-31	$2,250,342
Expenses. Certain deemed distributions of participant loans	2019-12-31	$88,184
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2019-12-31	$2,841,260
Value of total assets at end of year	2019-12-31	$17,785,219
Value of total assets at beginning of year	2019-12-31	$14,265,803
Total of administrative expenses incurred including professional, contract, advisory and management fees	2019-12-31	$23,728
Total interest from all sources	2019-12-31	$12,025
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 year	2019-12-31	No
Administrative expenses professional fees incurred	2019-12-31	$12,041
Was this plan covered by a fidelity bond	2019-12-31	Yes
Value of fidelity bond cover	2019-12-31	$500,000
If this is an individual account plan, was there a blackout period	2019-12-31	No
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	$1,699,647
Participant contributions at end of year	2019-12-31	$252,358
Participant contributions at beginning of year	2019-12-31	$211,250
Income. Received or receivable in cash from other sources (including rollovers)	2019-12-31	$58,247
Administrative expenses (other) incurred	2019-12-31	$10,049
Total non interest bearing cash at end of year	2019-12-31	$10,946
Total non interest bearing cash at beginning of year	2019-12-31	$10,244
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	$3,519,416
Value of net assets at end of year (total assets less liabilities)	2019-12-31	$17,785,219
Value of net assets at beginning of year (total assets less liabilities)	2019-12-31	$14,265,803
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
Value of interest in pooled separate accounts at end of year	2019-12-31	$17,504,590
Value of interest in pooled separate accounts at beginning of year	2019-12-31	$14,044,309
Interest on participant loans	2019-12-31	$12,025
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2019-12-31	$3,028,385
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	$1,083,366
Employer contributions (assets) at end of year	2019-12-31	$17,325
Employer contributions (assets) at beginning of year	2019-12-31	$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2019-12-31	$2,250,342
Contract administrator fees	2019-12-31	$1,638
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	SKIBBIE CPA, INC.
Accountancy firm EIN	2019-12-31	270851321
2018 : THE PLATINUM 401(K) RETIREMENT SAVINGS PLAN FBO PATRICK K. NEAL & ASSOCIATES, INC. 2018 401k financial data
Total unrealized appreciation/depreciation of assets	2018-12-31	$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	$2,152,444
Total loss/gain on sale of assets	2018-12-31	$0
Total of all expenses incurred	2018-12-31	$1,747,753
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2018-12-31	$1,575,027
Expenses. Certain deemed distributions of participant loans	2018-12-31	$59,900
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2018-12-31	$3,000,976
Value of total assets at end of year	2018-12-31	$14,265,803
Value of total assets at beginning of year	2018-12-31	$13,861,112
Total of administrative expenses incurred including professional, contract, advisory and management fees	2018-12-31	$112,826
Total interest from all sources	2018-12-31	$10,498
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 year	2018-12-31	No
Administrative expenses professional fees incurred	2018-12-31	$11,061
Was this plan covered by a fidelity bond	2018-12-31	Yes
Value of fidelity bond cover	2018-12-31	$500,000
If this is an individual account plan, was there a blackout period	2018-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2018-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2018-12-31	No
Contributions received from participants	2018-12-31	$1,682,746
Participant contributions at end of year	2018-12-31	$211,250
Participant contributions at beginning of year	2018-12-31	$178,437
Income. Received or receivable in cash from other sources (including rollovers)	2018-12-31	$262,134
Administrative expenses (other) incurred	2018-12-31	$100,376
Total non interest bearing cash at end of year	2018-12-31	$10,244
Total non interest bearing cash at beginning of year	2018-12-31	$27,737
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2018-12-31	No
Value of net income/loss	2018-12-31	$404,691
Value of net assets at end of year (total assets less liabilities)	2018-12-31	$14,265,803
Value of net assets at beginning of year (total assets less liabilities)	2018-12-31	$13,861,112
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2018-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2018-12-31	No
Were any leases to which the plan was party in default or uncollectible	2018-12-31	No
Investment advisory and management fees	2018-12-31	$0
Value of interest in pooled separate accounts at end of year	2018-12-31	$14,044,309
Value of interest in pooled separate accounts at beginning of year	2018-12-31	$13,654,938
Interest on participant loans	2018-12-31	$10,498
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2018-12-31	$-859,030
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2018-12-31	No
Was there a failure to transmit to the plan any participant contributions	2018-12-31	No
Has the plan failed to provide any benefit when due under the plan	2018-12-31	No
Contributions received in cash from employer	2018-12-31	$1,056,096
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2018-12-31	$1,575,027
Contract administrator fees	2018-12-31	$1,389
Did the plan have assets held for investment	2018-12-31	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	2018-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2018-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2018-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2018-12-31	Disclaimer
Accountancy firm name	2018-12-31	SKIBBIE CPA, INC.
Accountancy firm EIN	2018-12-31	270851321
2017 : THE PLATINUM 401(K) RETIREMENT SAVINGS PLAN FBO PATRICK K. NEAL & ASSOCIATES, INC. 2017 401k financial data
Total unrealized appreciation/depreciation of assets	2017-12-31	$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	$4,591,694
Total loss/gain on sale of assets	2017-12-31	$0
Total of all expenses incurred	2017-12-31	$862,402
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2017-12-31	$826,579
Expenses. Certain deemed distributions of participant loans	2017-12-31	$11,361
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2017-12-31	$2,782,715
Value of total assets at end of year	2017-12-31	$13,861,112
Value of total assets at beginning of year	2017-12-31	$10,131,820
Total of administrative expenses incurred including professional, contract, advisory and management fees	2017-12-31	$24,462
Total interest from all sources	2017-12-31	$7,056
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 year	2017-12-31	No
Administrative expenses professional fees incurred	2017-12-31	$10,411
Was this plan covered by a fidelity bond	2017-12-31	Yes
Value of fidelity bond cover	2017-12-31	$100,000
If this is an individual account plan, was there a blackout period	2017-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2017-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2017-12-31	No
Contributions received from participants	2017-12-31	$1,513,561
Participant contributions at end of year	2017-12-31	$178,437
Participant contributions at beginning of year	2017-12-31	$124,109
Participant contributions at end of year	2017-12-31	$0
Participant contributions at beginning of year	2017-12-31	$-178
Income. Received or receivable in cash from other sources (including rollovers)	2017-12-31	$292,470
Administrative expenses (other) incurred	2017-12-31	$12,731
Total non interest bearing cash at end of year	2017-12-31	$27,737
Total non interest bearing cash at beginning of year	2017-12-31	$21,506
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2017-12-31	No
Value of net income/loss	2017-12-31	$3,729,292
Value of net assets at end of year (total assets less liabilities)	2017-12-31	$13,861,112
Value of net assets at beginning of year (total assets less liabilities)	2017-12-31	$10,131,820
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2017-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2017-12-31	No
Were any leases to which the plan was party in default or uncollectible	2017-12-31	No
Investment advisory and management fees	2017-12-31	$102
Value of interest in pooled separate accounts at end of year	2017-12-31	$13,654,938
Value of interest in pooled separate accounts at beginning of year	2017-12-31	$9,986,591
Interest on participant loans	2017-12-31	$7,056
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2017-12-31	$1,801,923
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2017-12-31	No
Was there a failure to transmit to the plan any participant contributions	2017-12-31	No
Has the plan failed to provide any benefit when due under the plan	2017-12-31	No
Contributions received in cash from employer	2017-12-31	$976,684
Employer contributions (assets) at end of year	2017-12-31	$0
Employer contributions (assets) at beginning of year	2017-12-31	$-208
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2017-12-31	$826,579
Contract administrator fees	2017-12-31	$1,218
Did the plan have assets held for investment	2017-12-31	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	2017-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2017-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2017-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2017-12-31	Disclaimer
Accountancy firm name	2017-12-31	SKIBBIE CPA, INC.
Accountancy firm EIN	2017-12-31	270851321
2016 : THE PLATINUM 401(K) RETIREMENT SAVINGS PLAN FBO PATRICK K. NEAL & ASSOCIATES, INC. 2016 401k financial data
Total unrealized appreciation/depreciation of assets	2016-12-31	$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	$2,973,842
Total loss/gain on sale of assets	2016-12-31	$0
Total of all expenses incurred	2016-12-31	$961,423
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2016-12-31	$952,480
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2016-12-31	$2,253,026
Value of total assets at end of year	2016-12-31	$10,131,820
Value of total assets at beginning of year	2016-12-31	$8,119,401
Total of administrative expenses incurred including professional, contract, advisory and management fees	2016-12-31	$8,943
Total interest from all sources	2016-12-31	$4,673
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 year	2016-12-31	No
Was this plan covered by a fidelity bond	2016-12-31	Yes
Value of fidelity bond cover	2016-12-31	$100,000
If this is an individual account plan, was there a blackout period	2016-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2016-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2016-12-31	No
Contributions received from participants	2016-12-31	$1,340,172
Participant contributions at end of year	2016-12-31	$124,109
Participant contributions at beginning of year	2016-12-31	$100,702
Participant contributions at end of year	2016-12-31	$-178
Participant contributions at beginning of year	2016-12-31	$0
Income. Received or receivable in cash from other sources (including rollovers)	2016-12-31	$74,274
Total non interest bearing cash at end of year	2016-12-31	$21,506
Total non interest bearing cash at beginning of year	2016-12-31	$12,484
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2016-12-31	No
Value of net income/loss	2016-12-31	$2,012,419
Value of net assets at end of year (total assets less liabilities)	2016-12-31	$10,131,820
Value of net assets at beginning of year (total assets less liabilities)	2016-12-31	$8,119,401
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2016-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2016-12-31	No
Were any leases to which the plan was party in default or uncollectible	2016-12-31	No
Investment advisory and management fees	2016-12-31	$390
Value of interest in pooled separate accounts at end of year	2016-12-31	$9,986,591
Value of interest in pooled separate accounts at beginning of year	2016-12-31	$8,006,215
Income. Interest from loans (other than to participants)	2016-12-31	$4,673
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2016-12-31	$716,143
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2016-12-31	No
Was there a failure to transmit to the plan any participant contributions	2016-12-31	No
Has the plan failed to provide any benefit when due under the plan	2016-12-31	No
Contributions received in cash from employer	2016-12-31	$838,580
Employer contributions (assets) at end of year	2016-12-31	$-208
Employer contributions (assets) at beginning of year	2016-12-31	$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2016-12-31	$952,480
Contract administrator fees	2016-12-31	$8,553
Did the plan have assets held for investment	2016-12-31	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	2016-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2016-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2016-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2016-12-31	Disclaimer
Accountancy firm name	2016-12-31	SKIBBIE CPA, INC.
Accountancy firm EIN	2016-12-31	270851321
2015 : THE PLATINUM 401(K) RETIREMENT SAVINGS PLAN FBO PATRICK K. NEAL & ASSOCIATES, INC. 2015 401k financial data
Total unrealized appreciation/depreciation of assets	2015-12-31	$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	$2,134,485
Total loss/gain on sale of assets	2015-12-31	$0
Total of all expenses incurred	2015-12-31	$703,299
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2015-12-31	$676,547
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2015-12-31	$2,275,074
Value of total assets at end of year	2015-12-31	$8,119,401
Value of total assets at beginning of year	2015-12-31	$6,688,215
Total of administrative expenses incurred including professional, contract, advisory and management fees	2015-12-31	$26,752
Total interest from all sources	2015-12-31	$3,922
Total dividends received (eg from common stock, registered investment company shares)	2015-12-31	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2015-12-31	No
Was this plan covered by a fidelity bond	2015-12-31	Yes
Value of fidelity bond cover	2015-12-31	$100,000
If this is an individual account plan, was there a blackout period	2015-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2015-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2015-12-31	No
Contributions received from participants	2015-12-31	$1,202,604
Participant contributions at end of year	2015-12-31	$100,702
Participant contributions at beginning of year	2015-12-31	$47,160
Income. Received or receivable in cash from other sources (including rollovers)	2015-12-31	$339,534
Other income not declared elsewhere	2015-12-31	$-4,123
Administrative expenses (other) incurred	2015-12-31	$18,907
Total non interest bearing cash at end of year	2015-12-31	$12,484
Total non interest bearing cash at beginning of year	2015-12-31	$21,459
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2015-12-31	No
Value of net income/loss	2015-12-31	$1,431,186
Value of net assets at end of year (total assets less liabilities)	2015-12-31	$8,119,401
Value of net assets at beginning of year (total assets less liabilities)	2015-12-31	$6,688,215
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2015-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2015-12-31	No
Were any leases to which the plan was party in default or uncollectible	2015-12-31	No
Investment advisory and management fees	2015-12-31	$7,549
Value of interest in pooled separate accounts at end of year	2015-12-31	$8,006,215
Value of interest in pooled separate accounts at beginning of year	2015-12-31	$6,619,596
Interest on participant loans	2015-12-31	$3,922
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2015-12-31	$-140,388
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2015-12-31	No
Was there a failure to transmit to the plan any participant contributions	2015-12-31	No
Has the plan failed to provide any benefit when due under the plan	2015-12-31	No
Contributions received in cash from employer	2015-12-31	$732,936
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2015-12-31	$676,547
Contract administrator fees	2015-12-31	$296
Did the plan have assets held for investment	2015-12-31	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	2015-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2015-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2015-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2015-12-31	Disclaimer
Accountancy firm name	2015-12-31	SCOTT SKIBBIE INCORPORATED
Accountancy firm EIN	2015-12-31	270851321
2014 : THE PLATINUM 401(K) RETIREMENT SAVINGS PLAN FBO PATRICK K. NEAL & ASSOCIATES, INC. 2014 401k financial data
Total unrealized appreciation/depreciation of assets	2014-12-31	$0
Total transfer of assets to this plan	2014-12-31	$5,955,640
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2014-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2014-12-31	$0
Total income from all sources (including contributions)	2014-12-31	$981,449
Total loss/gain on sale of assets	2014-12-31	$0
Total of all expenses incurred	2014-12-31	$248,874
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2014-12-31	$244,542
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2014-12-31	$757,723
Value of total assets at end of year	2014-12-31	$6,688,215
Value of total assets at beginning of year	2014-12-31	$0
Total of administrative expenses incurred including professional, contract, advisory and management fees	2014-12-31	$4,332
Total interest from all sources	2014-12-31	$939
Total dividends received (eg from common stock, registered investment company shares)	2014-12-31	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2014-12-31	No
Administrative expenses professional fees incurred	2014-12-31	$4,236
Was this plan covered by a fidelity bond	2014-12-31	Yes
Value of fidelity bond cover	2014-12-31	$100,000
If this is an individual account plan, was there a blackout period	2014-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2014-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2014-12-31	No
Contributions received from participants	2014-12-31	$456,018
Participant contributions at end of year	2014-12-31	$47,160
Participant contributions at beginning of year	2014-12-31	$0
Total non interest bearing cash at end of year	2014-12-31	$21,459
Total non interest bearing cash at beginning of year	2014-12-31	$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	2014-12-31	No
Value of net income/loss	2014-12-31	$732,575
Value of net assets at end of year (total assets less liabilities)	2014-12-31	$6,688,215
Value of net assets at beginning of year (total assets less liabilities)	2014-12-31	$0
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2014-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2014-12-31	No
Were any leases to which the plan was party in default or uncollectible	2014-12-31	No
Value of interest in pooled separate accounts at end of year	2014-12-31	$6,619,596
Value of interest in pooled separate accounts at beginning of year	2014-12-31	$0
Interest on participant loans	2014-12-31	$939
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2014-12-31	$222,787
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2014-12-31	No
Was there a failure to transmit to the plan any participant contributions	2014-12-31	No
Has the plan failed to provide any benefit when due under the plan	2014-12-31	No
Contributions received in cash from employer	2014-12-31	$301,705
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2014-12-31	$244,542
Contract administrator fees	2014-12-31	$96
Did the plan have assets held for investment	2014-12-31	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	2014-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2014-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2014-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2014-12-31	Disclaimer
Accountancy firm name	2014-12-31	SCOTT SKIBBIE INCORPORATED
Accountancy firm EIN	2014-12-31	270851321

Form 5500 Responses for THE PLATINUM 401(K) RETIREMENT SAVINGS PLAN FBO PATRICK K. NEAL & ASSOCIATES, INC.

2020: THE PLATINUM 401(K) RETIREMENT SAVINGS PLAN FBO PATRICK K. NEAL & ASSOCIATES, INC. 2020 form 5500 responses
2020-01-01	Type of plan entity	Mulitple 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 – Insurance	Yes
2020-01-01	Plan funding arrangement – Trust	Yes
2020-01-01	Plan benefit arrangement – Insurance	Yes
2020-01-01	Plan benefit arrangement - Trust	Yes
2019: THE PLATINUM 401(K) RETIREMENT SAVINGS PLAN FBO PATRICK K. NEAL & ASSOCIATES, INC. 2019 form 5500 responses
2019-01-01	Type of plan entity	Mulitple employer plan
2019-01-01	Submission has been amended	No
2019-01-01	This submission is the final filing	No
2019-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2019-01-01	Plan is a collectively bargained plan	No
2019-01-01	Plan funding arrangement – Insurance	Yes
2019-01-01	Plan funding arrangement – Trust	Yes
2019-01-01	Plan benefit arrangement – Insurance	Yes
2019-01-01	Plan benefit arrangement - Trust	Yes
2018: THE PLATINUM 401(K) RETIREMENT SAVINGS PLAN FBO PATRICK K. NEAL & ASSOCIATES, INC. 2018 form 5500 responses
2018-01-01	Type of plan entity	Mulitple employer plan
2018-01-01	Submission has been amended	No
2018-01-01	This submission is the final filing	No
2018-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2018-01-01	Plan is a collectively bargained plan	No
2018-01-01	Plan funding arrangement – Insurance	Yes
2018-01-01	Plan funding arrangement – Trust	Yes
2018-01-01	Plan benefit arrangement – Insurance	Yes
2018-01-01	Plan benefit arrangement - Trust	Yes
2017: THE PLATINUM 401(K) RETIREMENT SAVINGS PLAN FBO PATRICK K. NEAL & ASSOCIATES, INC. 2017 form 5500 responses
2017-01-01	Type of plan entity	Mulitple employer plan
2017-01-01	Submission has been amended	No
2017-01-01	This submission is the final filing	No
2017-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2017-01-01	Plan is a collectively bargained plan	No
2017-01-01	Plan funding arrangement – Insurance	Yes
2017-01-01	Plan funding arrangement – Trust	Yes
2017-01-01	Plan benefit arrangement – Insurance	Yes
2017-01-01	Plan benefit arrangement - Trust	Yes
2016: THE PLATINUM 401(K) RETIREMENT SAVINGS PLAN FBO PATRICK K. NEAL & ASSOCIATES, INC. 2016 form 5500 responses
2016-01-01	Type of plan entity	Mulitple employer plan
2016-01-01	Submission has been amended	No
2016-01-01	This submission is the final filing	No
2016-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2016-01-01	Plan is a collectively bargained plan	No
2016-01-01	Plan funding arrangement – Insurance	Yes
2016-01-01	Plan funding arrangement – Trust	Yes
2016-01-01	Plan benefit arrangement – Insurance	Yes
2016-01-01	Plan benefit arrangement - Trust	Yes
2015: THE PLATINUM 401(K) RETIREMENT SAVINGS PLAN FBO PATRICK K. NEAL & ASSOCIATES, INC. 2015 form 5500 responses
2015-01-01	Type of plan entity	Mulitple employer plan
2015-01-01	Submission has been amended	No
2015-01-01	This submission is the final filing	No
2015-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2015-01-01	Plan is a collectively bargained plan	No
2015-01-01	Plan funding arrangement – Insurance	Yes
2015-01-01	Plan funding arrangement – Trust	Yes
2015-01-01	Plan benefit arrangement – Insurance	Yes
2015-01-01	Plan benefit arrangement - Trust	Yes
2014: THE PLATINUM 401(K) RETIREMENT SAVINGS PLAN FBO PATRICK K. NEAL & ASSOCIATES, INC. 2014 form 5500 responses
2014-01-01	Type of plan entity	Mulitple employer plan
2014-01-01	First time form 5500 has been submitted	Yes
2014-01-01	Submission has been amended	No
2014-01-01	This submission is the final filing	No
2014-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2014-01-01	Plan is a collectively bargained plan	No
2014-01-01	Plan funding arrangement – Insurance	Yes
2014-01-01	Plan funding arrangement – Trust	Yes
2014-01-01	Plan benefit arrangement – Insurance	Yes
2014-01-01	Plan benefit arrangement - Trust	Yes

Insurance Providers Used on plan

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

Policy contract number

114285

Policy instance

Insurance contract or identification number	114285
Number of Individuals Covered	295
Insurance policy start date	2020-01-01
Insurance policy end date	2020-12-31
Total amount of commissions paid to insurance broker	USD $9,358
Total amount of fees paid to insurance company	USD $34,145
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 plan	No
Contracts With Unallocated Funds Deposit Administration	0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?	No
Are there contracts with unallocated funds for contracts of type guaranteed investment?	No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	Yes
Health Insurance Welfare Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
Were dividends or retroactive rate refunds paid in cash?	No
Were dividends or retroactive rate refunds paid as a credit?	No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No
Commission paid to Insurance Broker	USD $9,358
Amount paid for insurance broker fees	34145
Additional information about fees paid to insurance broker	TPA FEES/COMMISSIONS
Insurance broker organization code?	5

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

Policy contract number

114285

Policy instance

Insurance contract or identification number	114285
Number of Individuals Covered	291
Insurance policy start date	2019-01-01
Insurance policy end date	2019-12-31
Total amount of commissions paid to insurance broker	USD $8,101
Total amount of fees paid to insurance company	USD $31,562
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 plan	No
Contracts With Unallocated Funds Deposit Administration	0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?	No
Are there contracts with unallocated funds for contracts of type guaranteed investment?	No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	Yes
Health Insurance Welfare Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
Were dividends or retroactive rate refunds paid in cash?	No
Were dividends or retroactive rate refunds paid as a credit?	No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No
Commission paid to Insurance Broker	USD $8,101
Amount paid for insurance broker fees	31562
Additional information about fees paid to insurance broker	TPA FEES/COMMISSIONS
Insurance broker organization code?	5

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

Policy contract number

114285

Policy instance

Insurance contract or identification number	114285
Number of Individuals Covered	295
Insurance policy start date	2018-01-01
Insurance policy end date	2018-12-31
Total amount of commissions paid to insurance broker	USD $12,454
Total amount of fees paid to insurance company	USD $33,646
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 plan	No
Contracts With Unallocated Funds Deposit Administration	0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?	No
Are there contracts with unallocated funds for contracts of type guaranteed investment?	No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	Yes
Health Insurance Welfare Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
Were dividends or retroactive rate refunds paid in cash?	No
Were dividends or retroactive rate refunds paid as a credit?	No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No
Amount paid for insurance broker fees	0
Additional information about fees paid to insurance broker	RIA FEES
Insurance broker organization code?	5
Commission paid to Insurance Broker	USD $12,454

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

Policy contract number

114285

Policy instance

Insurance contract or identification number	114285
Number of Individuals Covered	282
Insurance policy start date	2017-01-01
Insurance policy end date	2017-12-31
Total amount of commissions paid to insurance broker	USD $5,979
Total amount of fees paid to insurance company	USD $32,246
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 plan	No
Contracts With Unallocated Funds Deposit Administration	0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?	No
Are there contracts with unallocated funds for contracts of type guaranteed investment?	No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	Yes
Health Insurance Welfare Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
Were dividends or retroactive rate refunds paid in cash?	No
Were dividends or retroactive rate refunds paid as a credit?	No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No
Commission paid to Insurance Broker	USD $5,979
Amount paid for insurance broker fees	32144
Additional information about fees paid to insurance broker	TPA FEES/COMMISSIONS
Insurance broker organization code?	5
Insurance broker name	INDEPENDENT FINANCIAL PARTNERS

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

Policy contract number

114285

Policy instance

Insurance contract or identification number	114285
Number of Individuals Covered	242
Insurance policy start date	2015-01-01
Insurance policy end date	2015-12-31
Total amount of commissions paid to insurance broker	USD $9,928
Total amount of fees paid to insurance company	USD $26,804
Are there contracts with allocated funds for individual policies?	No
Are there contracts with allocated funds for group deferred annuity?	No
Are there contracts with allocated funds for types other than group deferred annuity or individual?	No
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Contracts With Unallocated Funds Deposit Administration	0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?	No
Are there contracts with unallocated funds for contracts of type guaranteed investment?	No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	Yes
Health Insurance Welfare Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
Were dividends or retroactive rate refunds paid in cash?	No
Were dividends or retroactive rate refunds paid as a credit?	No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No
Commission paid to Insurance Broker	USD $9,928
Amount paid for insurance broker fees	19102
Additional information about fees paid to insurance broker	TPA FEES/COMMISSIONS
Insurance broker organization code?	5
Insurance broker name	INDEPENDENT FINANCIAL PARTNERS

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

Policy contract number

114285

Policy instance

Insurance contract or identification number	114285
Number of Individuals Covered	209
Insurance policy start date	2014-01-01
Insurance policy end date	2014-12-31
Total amount of commissions paid to insurance broker	USD $16,197
Total amount of fees paid to insurance company	USD $15,109
Are there contracts with allocated funds for individual policies?	No
Are there contracts with allocated funds for group deferred annuity?	No
Are there contracts with allocated funds for types other than group deferred annuity or individual?	No
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Contracts With Unallocated Funds Deposit Administration	0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?	No
Are there contracts with unallocated funds for contracts of type guaranteed investment?	No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	No
Health Insurance Welfare Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
Were dividends or retroactive rate refunds paid in cash?	No
Were dividends or retroactive rate refunds paid as a credit?	No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No
Commission paid to Insurance Broker	USD $16,197
Amount paid for insurance broker fees	10852
Additional information about fees paid to insurance broker	TPA FEES/COMMISSIONS
Insurance broker organization code?	5
Insurance broker name	INDEPENDENT FINANCIAL PARTNERS

Potentially related plans

Was this data useful?

If you found the data here useful, PLEASE HELP US. We are a start-up and believe in making information freely available. By linking to us, posting on twitter, facebook and linkedin about us and generally spreading the word, you'll help us to grow. Our vision is to provide high quality data about the activities of all the companies in the world and where possible make it free to use and view. Finding and integrating data from thousands of data sources is time consuming and needs lots of effort. By simply spreading the word about us, you will help us. Please use the share buttons. It will only take a few seconds of your time. Thanks for helping

Information Disclaimer

The information provided on this website is not advice, endorsement or recommendation
The information published is supplied by third parties so we make no warranty on the accuracy, completeness etc. This information is provided "as-is". The information is subject to change as we obtain updates and corrections from the primary information sources.
You are free to use the information for your own personal research on the understanding to do so is at your own risk.

See full terms and conditions

Company Name:	NC EMPLOYMENT GROUP, INC.
Employer identification number (EIN):	591462889
NAIC Classification:	236110