401k Plan data: CAPITAL REGION FINANCIAL GROUP 401(K) AND PROFIT SHARING PLAN plan

CAPITAL REGION FINANCIAL GROUP 401(K) AND PROFIT SHARING PLAN 401k Plan overview

Plan Name	CAPITAL REGION FINANCIAL GROUP 401(K) AND PROFIT SHARING PLAN
Plan identification number	001

CAPITAL REGION FINANCIAL GROUP 401(K) AND PROFIT SHARING PLAN Benefits

401k Plan Type

Defined Contribution Pension

Plan Features/Benefits

Age/Service Weighted or new comparability or similar plan - Age/Service Weighted Plan: Allocations are based on age, service, or age and service. New comparability or similar plan: Allocations are based on participant classifications and a classification(s) consists entirely or predominantly of highly compensated employees; or the plan provides an additional allocation rate on compensation above a specified threshold, and the theshold or additional rate exceeds the maximum threshold or rate allowed under the permitted disparity rules of section 401(l).
Profit-sharing
ERISA section 404(c) Plan - This plan, or any part of it is intended to meet the conditions of 29 CFR 2550.404c-1.
Total participant-directed account plan - Participants have the opportunity to direct the investment of all the assets allocated to their individual accounts, regardless of whether 29 CFR 2550.404c-1 is intended to be met.
Code section 401(k) feature - A cash or deferred arrangement described in Code section 401(k) that is part of a qualified defined contribution plan that provides for an election by employees to defer part of their compensation or receive these amounts in cash.
Code section 401(m) arrangement - Employee contributions are allocated to separate accounts under the plan or employer contributions are based, in whole or in part, on employee deferrals or contribtions to the plan. Not applicable if plan is 401(k) plan with only QNECs and/or QMACs. Also not applicable if Code section 403(b)(1), 403(b)(7) or 408 arrangements/accounts/annuities.
Total or partial participant-directed account plan - plan uses default investment account for participants who fail to direct assets in their account.
Master plan - A pension plan that is made available by a sponsor for adoption by employers; that is the subject of a favorable opinion letter; and for which a single funding medium (for example, a trust or custodial account) is established for the joint use of all adopting employers.

401k Sponsoring company profile

CAPITAL REGION FINANCIAL GROUP, LLC has sponsored the creation of one or more 401k plans.

Company Name: CAPITAL REGION FINANCIAL GROUP, LLC

Employer identification number (EIN): 680456235

NAIC Classification: 523900

Additional information about CAPITAL REGION FINANCIAL GROUP, LLC

Jurisdiction of Incorporation: California Secretary of State

Incorporation Date: 2000-07-05

Company Identification Number: 200018710085

Legal Registered Office Address: 620 COOLIDGE DR STE 180

FOLSOM
United States of America (USA)
95630-3183

More information about CAPITAL REGION FINANCIAL GROUP, LLC

Form 5500 Filing Information

Submission information for form 5500 for 401k plan CAPITAL REGION FINANCIAL GROUP 401(K) AND PROFIT SHARING PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2022-01-01
001 2021-01-01
001 2020-01-01 ELLWOOD JONES 2021-04-20
001 2019-01-01 ELLWOOD JONES 2020-02-14
001 2018-01-01 ELLWOOD JONES 2019-01-29
001 2017-01-01 ELLWOOD JONES 2018-02-06
001 2016-01-01 ELLWOOD JONES 2017-02-27
001 2015-01-01 ELLWOOD JONES 2016-03-31
001 2014-01-01 ELLWOOD JONES 2015-03-11
001 2013-01-01 ELLWOOD JONES 2014-05-01
001 2012-01-01 ELLWOOD JONES
001 2011-01-01 ELLWOOD JONES
001 2010-01-01 ELLWOOD JONES
001 2009-01-01 ELLWOOD JONES
001 2008-01-01 ELLWOOD JONES

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed
001	2022-01-01
001	2021-01-01
001	2020-01-01	ELLWOOD JONES	2021-04-20
001	2019-01-01	ELLWOOD JONES	2020-02-14
001	2018-01-01	ELLWOOD JONES	2019-01-29
001	2017-01-01	ELLWOOD JONES	2018-02-06
001	2016-01-01	ELLWOOD JONES	2017-02-27
001	2015-01-01	ELLWOOD JONES	2016-03-31
001	2014-01-01	ELLWOOD JONES	2015-03-11
001	2013-01-01	ELLWOOD JONES	2014-05-01
001	2012-01-01	ELLWOOD JONES
001	2011-01-01	ELLWOOD JONES
001	2010-01-01	ELLWOOD JONES
001	2009-01-01	ELLWOOD JONES
001	2008-01-01	ELLWOOD JONES

Plan Statistics for CAPITAL REGION FINANCIAL GROUP 401(K) AND PROFIT SHARING PLAN

401k plan membership statisitcs for CAPITAL REGION FINANCIAL GROUP 401(K) AND PROFIT SHARING PLAN

Measure Date Value
2012: CAPITAL REGION FINANCIAL GROUP 401(K) AND PROFIT SHARING PLAN 2012 401k membership
Total participants, beginning-of-year 2012-01-01 725
Total number of active participants reported on line 7a of the Form 5500 2012-01-01 507
Number of retired or separated participants receiving benefits 2012-01-01 0
Number of other retired or separated participants entitled to future benefits 2012-01-01 23
Total of all active and inactive participants 2012-01-01 530
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2012-01-01 1
Total participants 2012-01-01 531
Number of participants with account balances 2012-01-01 248
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2012-01-01 8
2011: CAPITAL REGION FINANCIAL GROUP 401(K) AND PROFIT SHARING PLAN 2011 401k membership
Total participants, beginning-of-year 2011-01-01 692
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 626
Number of retired or separated participants receiving benefits 2011-01-01 0
Number of other retired or separated participants entitled to future benefits 2011-01-01 40
Total of all active and inactive participants 2011-01-01 666
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-01-01 0
Total participants 2011-01-01 666
Number of participants with account balances 2011-01-01 288
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-01-01 19
2010: CAPITAL REGION FINANCIAL GROUP 401(K) AND PROFIT SHARING PLAN 2010 401k membership
Total participants, beginning-of-year 2010-01-01 709
Total number of active participants reported on line 7a of the Form 5500 2010-01-01 642
Number of retired or separated participants receiving benefits 2010-01-01 0
Number of other retired or separated participants entitled to future benefits 2010-01-01 51
Total of all active and inactive participants 2010-01-01 693
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2010-01-01 0
Total participants 2010-01-01 693
Number of participants with account balances 2010-01-01 293
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2010-01-01 13
2009: CAPITAL REGION FINANCIAL GROUP 401(K) AND PROFIT SHARING PLAN 2009 401k membership
Total participants, beginning-of-year 2009-01-01 701
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 566
Number of retired or separated participants receiving benefits 2009-01-01 0
Number of other retired or separated participants entitled to future benefits 2009-01-01 102
Total of all active and inactive participants 2009-01-01 668
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-01-01 0
Total participants 2009-01-01 668
Number of participants with account balances 2009-01-01 355
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-01-01 41
2008: CAPITAL REGION FINANCIAL GROUP 401(K) AND PROFIT SHARING PLAN 2008 401k membership
Total participants, beginning-of-year 2008-01-01 509
Total number of active participants reported on line 7a of the Form 5500 2008-01-01 469
Number of retired or separated participants receiving benefits 2008-01-01 0
Number of other retired or separated participants entitled to future benefits 2008-01-01 96
Total of all active and inactive participants 2008-01-01 565
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2008-01-01 0
Total participants 2008-01-01 565
Number of participants with account balances 2008-01-01 334
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2008-01-01 17
Number of employers contributing to the scheme 2008-01-01 20

Measure	Date	Value
2012: CAPITAL REGION FINANCIAL GROUP 401(K) AND PROFIT SHARING PLAN 2012 401k membership
Total participants, beginning-of-year	2012-01-01	725
Total number of active participants reported on line 7a of the Form 5500	2012-01-01	507
Number of retired or separated participants receiving benefits	2012-01-01	0
Number of other retired or separated participants entitled to future benefits	2012-01-01	23
Total of all active and inactive participants	2012-01-01	530
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2012-01-01	1
Total participants	2012-01-01	531
Number of participants with account balances	2012-01-01	248
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2012-01-01	8
2011: CAPITAL REGION FINANCIAL GROUP 401(K) AND PROFIT SHARING PLAN 2011 401k membership
Total participants, beginning-of-year	2011-01-01	692
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	626
Number of retired or separated participants receiving benefits	2011-01-01	0
Number of other retired or separated participants entitled to future benefits	2011-01-01	40
Total of all active and inactive participants	2011-01-01	666
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-01-01	0
Total participants	2011-01-01	666
Number of participants with account balances	2011-01-01	288
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-01-01	19
2010: CAPITAL REGION FINANCIAL GROUP 401(K) AND PROFIT SHARING PLAN 2010 401k membership
Total participants, beginning-of-year	2010-01-01	709
Total number of active participants reported on line 7a of the Form 5500	2010-01-01	642
Number of retired or separated participants receiving benefits	2010-01-01	0
Number of other retired or separated participants entitled to future benefits	2010-01-01	51
Total of all active and inactive participants	2010-01-01	693
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2010-01-01	0
Total participants	2010-01-01	693
Number of participants with account balances	2010-01-01	293
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2010-01-01	13
2009: CAPITAL REGION FINANCIAL GROUP 401(K) AND PROFIT SHARING PLAN 2009 401k membership
Total participants, beginning-of-year	2009-01-01	701
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	566
Number of retired or separated participants receiving benefits	2009-01-01	0
Number of other retired or separated participants entitled to future benefits	2009-01-01	102
Total of all active and inactive participants	2009-01-01	668
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-01-01	0
Total participants	2009-01-01	668
Number of participants with account balances	2009-01-01	355
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-01-01	41
2008: CAPITAL REGION FINANCIAL GROUP 401(K) AND PROFIT SHARING PLAN 2008 401k membership
Total participants, beginning-of-year	2008-01-01	509
Total number of active participants reported on line 7a of the Form 5500	2008-01-01	469
Number of retired or separated participants receiving benefits	2008-01-01	0
Number of other retired or separated participants entitled to future benefits	2008-01-01	96
Total of all active and inactive participants	2008-01-01	565
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2008-01-01	0
Total participants	2008-01-01	565
Number of participants with account balances	2008-01-01	334
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2008-01-01	17
Number of employers contributing to the scheme	2008-01-01	20

Financial Data on CAPITAL REGION FINANCIAL GROUP 401(K) AND PROFIT SHARING PLAN

Measure	Date	Value
2012 : CAPITAL REGION FINANCIAL GROUP 401(K) AND PROFIT SHARING PLAN 2012 401k financial data
Total unrealized appreciation/depreciation of assets	2012-12-31	$0
Total transfer of assets to this plan	2012-12-31	$484,598
Total transfer of assets from this plan	2012-12-31	$2,631,462
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2012-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2012-12-31	$0
Total income from all sources (including contributions)	2012-12-31	$3,131,094
Total loss/gain on sale of assets	2012-12-31	$0
Total of all expenses incurred	2012-12-31	$983,716
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2012-12-31	$840,917
Value of total corrective distributions	2012-12-31	$24,392
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2012-12-31	$1,723,357
Value of total assets at end of year	2012-12-31	$12,263,700
Value of total assets at beginning of year	2012-12-31	$12,263,186
Total of administrative expenses incurred including professional, contract, advisory and management fees	2012-12-31	$118,407
Total interest from all sources	2012-12-31	$12,380
Total dividends received (eg from common stock, registered investment company shares)	2012-12-31	$307,604
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2012-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2012-12-31	$307,604
Was this plan covered by a fidelity bond	2012-12-31	Yes
Value of fidelity bond cover	2012-12-31	$500,000
If this is an individual account plan, was there a blackout period	2012-12-31	Yes
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2012-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2012-12-31	No
Contributions received from participants	2012-12-31	$1,041,979
Participant contributions at end of year	2012-12-31	$370,409
Participant contributions at beginning of year	2012-12-31	$348,056
Income. Received or receivable in cash from other sources (including rollovers)	2012-12-31	$143,164
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2012-12-31	No
Value of net income/loss	2012-12-31	$2,147,378
Value of net assets at end of year (total assets less liabilities)	2012-12-31	$12,263,700
Value of net assets at beginning of year (total assets less liabilities)	2012-12-31	$12,263,186
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2012-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2012-12-31	No
Were any leases to which the plan was party in default or uncollectible	2012-12-31	No
Investment advisory and management fees	2012-12-31	$98,133
Value of interest in registered invesment companies (eg mutual funds) at end of year	2012-12-31	$10,724,667
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2012-12-31	$10,833,106
Interest on participant loans	2012-12-31	$12,380
Value of interest in common/collective trusts at end of year	2012-12-31	$1,168,624
Value of interest in common/collective trusts at beginning of year	2012-12-31	$1,082,024
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2012-12-31	$1,078,906
Net investment gain or loss from common/collective trusts	2012-12-31	$8,847
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2012-12-31	No
Was there a failure to transmit to the plan any participant contributions	2012-12-31	Yes
Has the plan failed to provide any benefit when due under the plan	2012-12-31	No
Contributions received in cash from employer	2012-12-31	$538,214
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2012-12-31	$840,917
Contract administrator fees	2012-12-31	$20,274
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	2012-12-31	Yes
Did the plan have assets held for investment	2012-12-31	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	2012-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2012-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2012-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2012-12-31	Disclaimer
Accountancy firm name	2012-12-31	METZ CPA, PC
Accountancy firm EIN	2012-12-31	860847252
2011 : CAPITAL REGION FINANCIAL GROUP 401(K) AND PROFIT SHARING PLAN 2011 401k financial data
Total unrealized appreciation/depreciation of assets	2011-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2011-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2011-12-31	$0
Total income from all sources (including contributions)	2011-12-31	$1,337,751
Total loss/gain on sale of assets	2011-12-31	$0
Total of all expenses incurred	2011-12-31	$2,283,017
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2011-12-31	$2,105,608
Value of total corrective distributions	2011-12-31	$55,070
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2011-12-31	$1,633,344
Value of total assets at end of year	2011-12-31	$12,263,186
Value of total assets at beginning of year	2011-12-31	$13,208,452
Total of administrative expenses incurred including professional, contract, advisory and management fees	2011-12-31	$122,339
Total interest from all sources	2011-12-31	$12,303
Total dividends received (eg from common stock, registered investment company shares)	2011-12-31	$225,080
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2011-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2011-12-31	$225,080
Was this plan covered by a fidelity bond	2011-12-31	Yes
Value of fidelity bond cover	2011-12-31	$500,000
If this is an individual account plan, was there a blackout period	2011-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2011-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2011-12-31	No
Contributions received from participants	2011-12-31	$1,116,737
Participant contributions at end of year	2011-12-31	$348,056
Participant contributions at beginning of year	2011-12-31	$298,466
Income. Received or receivable in cash from other sources (including rollovers)	2011-12-31	$106,189
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2011-12-31	No
Value of net income/loss	2011-12-31	$-945,266
Value of net assets at end of year (total assets less liabilities)	2011-12-31	$12,263,186
Value of net assets at beginning of year (total assets less liabilities)	2011-12-31	$13,208,452
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2011-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2011-12-31	No
Were any leases to which the plan was party in default or uncollectible	2011-12-31	No
Investment advisory and management fees	2011-12-31	$104,361
Value of interest in registered invesment companies (eg mutual funds) at end of year	2011-12-31	$10,833,106
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2011-12-31	$11,422,225
Interest on participant loans	2011-12-31	$12,303
Value of interest in common/collective trusts at end of year	2011-12-31	$1,082,024
Value of interest in common/collective trusts at beginning of year	2011-12-31	$1,487,761
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2011-12-31	$-551,749
Net investment gain or loss from common/collective trusts	2011-12-31	$18,773
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2011-12-31	No
Was there a failure to transmit to the plan any participant contributions	2011-12-31	Yes
Has the plan failed to provide any benefit when due under the plan	2011-12-31	No
Contributions received in cash from employer	2011-12-31	$410,418
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2011-12-31	$2,105,608
Contract administrator fees	2011-12-31	$17,978
Did the plan have assets held for investment	2011-12-31	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	2011-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2011-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2011-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2011-12-31	Disclaimer
Accountancy firm name	2011-12-31	METZ CPA, PC
Accountancy firm EIN	2011-12-31	860847252
2010 : CAPITAL REGION FINANCIAL GROUP 401(K) AND PROFIT SHARING PLAN 2010 401k financial data
Total unrealized appreciation/depreciation of assets	2010-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2010-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2010-12-31	$6,621
Total income from all sources (including contributions)	2010-12-31	$2,727,062
Total loss/gain on sale of assets	2010-12-31	$0
Total of all expenses incurred	2010-12-31	$927,837
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2010-12-31	$804,034
Value of total corrective distributions	2010-12-31	$2,870
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2010-12-31	$1,291,942
Value of total assets at end of year	2010-12-31	$13,208,452
Value of total assets at beginning of year	2010-12-31	$11,415,848
Total of administrative expenses incurred including professional, contract, advisory and management fees	2010-12-31	$120,933
Total interest from all sources	2010-12-31	$10,179
Total dividends received (eg from common stock, registered investment company shares)	2010-12-31	$208,871
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2010-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2010-12-31	$208,871
Was this plan covered by a fidelity bond	2010-12-31	Yes
Value of fidelity bond cover	2010-12-31	$500,000
If this is an individual account plan, was there a blackout period	2010-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2010-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2010-12-31	No
Contributions received from participants	2010-12-31	$967,951
Participant contributions at end of year	2010-12-31	$298,466
Participant contributions at beginning of year	2010-12-31	$166,733
Participant contributions at beginning of year	2010-12-31	$18,819
Income. Received or receivable in cash from other sources (including rollovers)	2010-12-31	$145,741
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2010-12-31	$6,621
Total non interest bearing cash at beginning of year	2010-12-31	$2,385
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2010-12-31	No
Value of net income/loss	2010-12-31	$1,799,225
Value of net assets at end of year (total assets less liabilities)	2010-12-31	$13,208,452
Value of net assets at beginning of year (total assets less liabilities)	2010-12-31	$11,409,227
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2010-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2010-12-31	No
Were any leases to which the plan was party in default or uncollectible	2010-12-31	No
Investment advisory and management fees	2010-12-31	$99,709
Value of interest in registered invesment companies (eg mutual funds) at end of year	2010-12-31	$11,422,225
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2010-12-31	$9,831,004
Interest on participant loans	2010-12-31	$10,179
Value of interest in common/collective trusts at end of year	2010-12-31	$1,487,761
Value of interest in common/collective trusts at beginning of year	2010-12-31	$1,159,832
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2010-12-31	$1,188,931
Net investment gain or loss from common/collective trusts	2010-12-31	$27,139
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2010-12-31	No
Was there a failure to transmit to the plan any participant contributions	2010-12-31	Yes
Has the plan failed to provide any benefit when due under the plan	2010-12-31	No
Contributions received in cash from employer	2010-12-31	$178,250
Employer contributions (assets) at beginning of year	2010-12-31	$237,075
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2010-12-31	$804,034
Contract administrator fees	2010-12-31	$21,224
Did the plan have assets held for investment	2010-12-31	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	2010-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2010-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2010-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2010-12-31	Disclaimer
Accountancy firm name	2010-12-31	PORTER & HUNT LLP
Accountancy firm EIN	2010-12-31	260526165
2009 : CAPITAL REGION FINANCIAL GROUP 401(K) AND PROFIT SHARING PLAN 2009 401k financial data
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2009-12-31	$0
2008 : CAPITAL REGION FINANCIAL GROUP 401(K) AND PROFIT SHARING PLAN 2008 401k financial data
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2008-12-31	$0

Form 5500 Responses for CAPITAL REGION FINANCIAL GROUP 401(K) AND PROFIT SHARING PLAN

2012: CAPITAL REGION FINANCIAL GROUP 401(K) AND PROFIT SHARING PLAN 2012 form 5500 responses
2012-01-01	Type of plan entity	Mulitple employer plan
2012-01-01	Submission has been amended	No
2012-01-01	This submission is the final filing	No
2012-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2012-01-01	Plan is a collectively bargained plan	No
2012-01-01	Plan funding arrangement – Trust	Yes
2012-01-01	Plan benefit arrangement - Trust	Yes
2011: CAPITAL REGION FINANCIAL GROUP 401(K) AND PROFIT SHARING PLAN 2011 form 5500 responses
2011-01-01	Type of plan entity	Mulitple employer plan
2011-01-01	Submission has been amended	No
2011-01-01	This submission is the final filing	No
2011-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2011-01-01	Plan is a collectively bargained plan	No
2011-01-01	Plan funding arrangement – Trust	Yes
2011-01-01	Plan benefit arrangement - Trust	Yes
2010: CAPITAL REGION FINANCIAL GROUP 401(K) AND PROFIT SHARING PLAN 2010 form 5500 responses
2010-01-01	Type of plan entity	Mulitple employer plan
2010-01-01	Submission has been amended	Yes
2010-01-01	This submission is the final filing	No
2010-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2010-01-01	Plan is a collectively bargained plan	No
2010-01-01	Plan funding arrangement – Trust	Yes
2010-01-01	Plan benefit arrangement - Trust	Yes
2009: CAPITAL REGION FINANCIAL GROUP 401(K) AND PROFIT SHARING PLAN 2009 form 5500 responses
2009-01-01	Type of plan entity	Mulitple employer plan
2009-01-01	Submission has been amended	No
2009-01-01	This submission is the final filing	No
2009-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2009-01-01	Plan is a collectively bargained plan	No
2009-01-01	Plan funding arrangement – Trust	Yes
2009-01-01	Plan benefit arrangement - Trust	Yes
2008: CAPITAL REGION FINANCIAL GROUP 401(K) AND PROFIT SHARING PLAN 2008 form 5500 responses
2008-01-01	Type of plan entity	Mulitple employer plan
2008-01-01	Submission has been amended	Yes
2008-01-01	This submission is the final filing	No
2008-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2008-01-01	Plan is a collectively bargained plan	No
2008-01-01	Plan funding arrangement – Trust	Yes
2008-01-01	Plan benefit arrangement - Trust	Yes

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Company Name:	CAPITAL REGION FINANCIAL GROUP, LLC
Employer identification number (EIN):	680456235
NAIC Classification:	523900

Jurisdiction of Incorporation:	California Secretary of State
Incorporation Date:	2000-07-05
Company Identification Number:	200018710085
Legal Registered Office Address:	620 COOLIDGE DR STE 180 FOLSOM United States of America (USA) 95630-3183