401k Plan data: FIRST SOUTHWEST INSURANCE AGENCY 401(K) PROFIT SHARING PLAN plan

FIRST SOUTHWEST INSURANCE AGENCY 401(K) PROFIT SHARING PLAN 401k Plan overview

Plan Name	FIRST SOUTHWEST INSURANCE AGENCY 401(K) PROFIT SHARING PLAN
Plan identification number	001

FIRST SOUTHWEST INSURANCE AGENCY 401(K) PROFIT SHARING PLAN Benefits

401k Plan Type

Defined Contribution Pension

Plan Features/Benefits

Profit-sharing
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.
Partial participant-directed account plan - Participants have the opportunity to direct the investment of a portion of 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.

401k Sponsoring company profile

FIRST SOUTHWEST INSURANCE AGENCY, INC. has sponsored the creation of one or more 401k plans.

Company Name: FIRST SOUTHWEST INSURANCE AGENCY, INC.

Employer identification number (EIN): 752001316

NAIC Classification: 524210
NAIC Description: Insurance Agencies and Brokerages

Form 5500 Filing Information

Submission information for form 5500 for 401k plan FIRST SOUTHWEST INSURANCE AGENCY 401(K) PROFIT SHARING PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2015-01-01 KEN BAKER 2016-09-14
001 2014-01-01 KEN BAKER
001 2013-01-01 KEN BAKER
001 2012-01-01 KEN BAKER
001 2011-01-01 KEN BAKER
001 2009-01-01 KEN BAKER
001 2009-01-01 KEN BAKER

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed
001	2015-01-01	KEN BAKER	2016-09-14
001	2014-01-01	KEN BAKER
001	2013-01-01	KEN BAKER
001	2012-01-01	KEN BAKER
001	2011-01-01	KEN BAKER
001	2009-01-01	KEN BAKER
001	2009-01-01	KEN BAKER

Plan Statistics for FIRST SOUTHWEST INSURANCE AGENCY 401(K) PROFIT SHARING PLAN

401k plan membership statisitcs for FIRST SOUTHWEST INSURANCE AGENCY 401(K) PROFIT SHARING PLAN

Measure Date Value
2014: FIRST SOUTHWEST INSURANCE AGENCY 401(K) PROFIT SHARING PLAN 2014 401k membership
Total participants, beginning-of-year 2014-01-01 2
Total number of active participants reported on line 7a of the Form 5500 2014-01-01 1
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 0
Total of all active and inactive participants 2014-01-01 1
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2014-01-01 0
Total participants 2014-01-01 1
Number of participants with account balances 2014-01-01 1
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2014-01-01 0
2013: FIRST SOUTHWEST INSURANCE AGENCY 401(K) PROFIT SHARING PLAN 2013 401k membership
Total participants, beginning-of-year 2013-01-01 2
Total number of active participants reported on line 7a of the Form 5500 2013-01-01 2
Number of retired or separated participants receiving benefits 2013-01-01 0
Number of other retired or separated participants entitled to future benefits 2013-01-01 0
Total of all active and inactive participants 2013-01-01 2
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2013-01-01 0
Total participants 2013-01-01 2
Number of participants with account balances 2013-01-01 2
2012: FIRST SOUTHWEST INSURANCE AGENCY 401(K) PROFIT SHARING PLAN 2012 401k membership
Total participants, beginning-of-year 2012-01-01 2
Total number of active participants reported on line 7a of the Form 5500 2012-01-01 2
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 0
Total of all active and inactive participants 2012-01-01 2
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2012-01-01 0
Total participants 2012-01-01 2
Number of participants with account balances 2012-01-01 2
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2012-01-01 0
2011: FIRST SOUTHWEST INSURANCE AGENCY 401(K) PROFIT SHARING PLAN 2011 401k membership
Total participants, beginning-of-year 2011-01-01 2
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 2
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 0
Total of all active and inactive participants 2011-01-01 2
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-01-01 0
Total participants 2011-01-01 2
Number of participants with account balances 2011-01-01 2
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-01-01 0
2009: FIRST SOUTHWEST INSURANCE AGENCY 401(K) PROFIT SHARING PLAN 2009 401k membership
Total participants, beginning-of-year 2009-01-01 3
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 2
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 0
Total of all active and inactive participants 2009-01-01 2
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-01-01 0
Total participants 2009-01-01 2
Number of participants with account balances 2009-01-01 2
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-01-01 0

Measure	Date	Value
2014: FIRST SOUTHWEST INSURANCE AGENCY 401(K) PROFIT SHARING PLAN 2014 401k membership
Total participants, beginning-of-year	2014-01-01	2
Total number of active participants reported on line 7a of the Form 5500	2014-01-01	1
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	0
Total of all active and inactive participants	2014-01-01	1
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2014-01-01	0
Total participants	2014-01-01	1
Number of participants with account balances	2014-01-01	1
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2014-01-01	0
2013: FIRST SOUTHWEST INSURANCE AGENCY 401(K) PROFIT SHARING PLAN 2013 401k membership
Total participants, beginning-of-year	2013-01-01	2
Total number of active participants reported on line 7a of the Form 5500	2013-01-01	2
Number of retired or separated participants receiving benefits	2013-01-01	0
Number of other retired or separated participants entitled to future benefits	2013-01-01	0
Total of all active and inactive participants	2013-01-01	2
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2013-01-01	0
Total participants	2013-01-01	2
Number of participants with account balances	2013-01-01	2
2012: FIRST SOUTHWEST INSURANCE AGENCY 401(K) PROFIT SHARING PLAN 2012 401k membership
Total participants, beginning-of-year	2012-01-01	2
Total number of active participants reported on line 7a of the Form 5500	2012-01-01	2
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	0
Total of all active and inactive participants	2012-01-01	2
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2012-01-01	0
Total participants	2012-01-01	2
Number of participants with account balances	2012-01-01	2
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2012-01-01	0
2011: FIRST SOUTHWEST INSURANCE AGENCY 401(K) PROFIT SHARING PLAN 2011 401k membership
Total participants, beginning-of-year	2011-01-01	2
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	2
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	0
Total of all active and inactive participants	2011-01-01	2
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-01-01	0
Total participants	2011-01-01	2
Number of participants with account balances	2011-01-01	2
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-01-01	0
2009: FIRST SOUTHWEST INSURANCE AGENCY 401(K) PROFIT SHARING PLAN 2009 401k membership
Total participants, beginning-of-year	2009-01-01	3
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	2
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	0
Total of all active and inactive participants	2009-01-01	2
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-01-01	0
Total participants	2009-01-01	2
Number of participants with account balances	2009-01-01	2
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-01-01	0

Financial Data on FIRST SOUTHWEST INSURANCE AGENCY 401(K) PROFIT SHARING PLAN

Measure	Date	Value
2014 : FIRST SOUTHWEST INSURANCE AGENCY 401(K) PROFIT SHARING PLAN 2014 401k financial data
Transfers to/from the plan	2014-12-31	$0
Total income from all sources	2014-12-31	$170,754
Expenses. Total of all expenses incurred	2014-12-31	$966,447
Benefits paid (including direct rollovers)	2014-12-31	$961,510
Total plan assets at end of year	2014-12-31	$880,042
Total plan assets at beginning of year	2014-12-31	$1,675,735
Value of fidelity bond covering the plan	2014-12-31	$125,000
Total contributions received or receivable from participants	2014-12-31	$46,000
Expenses. Other expenses not covered elsewhere	2014-12-31	$4,937
Other income received	2014-12-31	$124,754
Net income (gross income less expenses)	2014-12-31	$-795,693
Net plan assets at end of year (total assets less liabilities)	2014-12-31	$880,042
Net plan assets at beginning of year (total assets less liabilities)	2014-12-31	$1,675,735
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2014-12-31	$0
2013 : FIRST SOUTHWEST INSURANCE AGENCY 401(K) PROFIT SHARING PLAN 2013 401k financial data
Total income from all sources	2013-12-31	$262,734
Expenses. Total of all expenses incurred	2013-12-31	$3,960
Total plan assets at end of year	2013-12-31	$1,675,735
Total plan assets at beginning of year	2013-12-31	$1,416,961
Value of fidelity bond covering the plan	2013-12-31	$125,000
Total contributions received or receivable from participants	2013-12-31	$46,000
Other income received	2013-12-31	$216,734
Net income (gross income less expenses)	2013-12-31	$258,774
Net plan assets at end of year (total assets less liabilities)	2013-12-31	$1,675,735
Net plan assets at beginning of year (total assets less liabilities)	2013-12-31	$1,416,961
Expenses. Administrative service providers (salaries,fees and commissions)	2013-12-31	$3,960
2012 : FIRST SOUTHWEST INSURANCE AGENCY 401(K) PROFIT SHARING PLAN 2012 401k financial data
Total income from all sources	2012-12-31	$172,202
Expenses. Total of all expenses incurred	2012-12-31	$0
Total plan assets at end of year	2012-12-31	$1,416,961
Total plan assets at beginning of year	2012-12-31	$1,244,759
Value of fidelity bond covering the plan	2012-12-31	$125,000
Total contributions received or receivable from participants	2012-12-31	$45,000
Other income received	2012-12-31	$127,202
Net income (gross income less expenses)	2012-12-31	$172,202
Net plan assets at end of year (total assets less liabilities)	2012-12-31	$1,416,961
Net plan assets at beginning of year (total assets less liabilities)	2012-12-31	$1,244,759
Assets. Value of participant loans	2012-12-31	$0
2011 : FIRST SOUTHWEST INSURANCE AGENCY 401(K) PROFIT SHARING PLAN 2011 401k financial data
Total income from all sources	2011-12-31	$72,381
Expenses. Total of all expenses incurred	2011-12-31	$3,109
Total plan assets at end of year	2011-12-31	$1,244,759
Total plan assets at beginning of year	2011-12-31	$1,175,487
Value of fidelity bond covering the plan	2011-12-31	$125,000
Total contributions received or receivable from participants	2011-12-31	$66,000
Contributions received from other sources (not participants or employers)	2011-12-31	$-78
Other income received	2011-12-31	$6,459
Net income (gross income less expenses)	2011-12-31	$69,272
Net plan assets at end of year (total assets less liabilities)	2011-12-31	$1,244,759
Net plan assets at beginning of year (total assets less liabilities)	2011-12-31	$1,175,487
Assets. Value of participant loans	2011-12-31	$8,267
Expenses. Administrative service providers (salaries,fees and commissions)	2011-12-31	$3,109
2010 : FIRST SOUTHWEST INSURANCE AGENCY 401(K) PROFIT SHARING PLAN 2010 401k financial data
Total income from all sources	2010-12-31	$183,397
Expenses. Total of all expenses incurred	2010-12-31	$2,657
Total plan assets at end of year	2010-12-31	$1,175,487
Total plan assets at beginning of year	2010-12-31	$994,747
Value of fidelity bond covering the plan	2010-12-31	$125,000
Total contributions received or receivable from participants	2010-12-31	$22,000
Other income received	2010-12-31	$161,397
Net income (gross income less expenses)	2010-12-31	$180,740
Net plan assets at end of year (total assets less liabilities)	2010-12-31	$1,175,487
Net plan assets at beginning of year (total assets less liabilities)	2010-12-31	$994,747
Assets. Value of participant loans	2010-12-31	$17,098
Expenses. Administrative service providers (salaries,fees and commissions)	2010-12-31	$2,657
2009 : FIRST SOUTHWEST INSURANCE AGENCY 401(K) 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

Form 5500 Responses for FIRST SOUTHWEST INSURANCE AGENCY 401(K) PROFIT SHARING PLAN

2014: FIRST SOUTHWEST INSURANCE AGENCY 401(K) PROFIT SHARING PLAN 2014 form 5500 responses
2014-01-01	Type of plan entity	Single employer plan
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 – Trust	Yes
2014-01-01	Plan benefit arrangement - Trust	Yes
2013: FIRST SOUTHWEST INSURANCE AGENCY 401(K) PROFIT SHARING PLAN 2013 form 5500 responses
2013-01-01	Type of plan entity	Single employer plan
2013-01-01	Submission has been amended	No
2013-01-01	This submission is the final filing	No
2013-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2013-01-01	Plan is a collectively bargained plan	No
2013-01-01	Plan funding arrangement – Trust	Yes
2013-01-01	Plan benefit arrangement - Trust	Yes
2012: FIRST SOUTHWEST INSURANCE AGENCY 401(K) PROFIT SHARING PLAN 2012 form 5500 responses
2012-01-01	Type of plan entity	Single 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: FIRST SOUTHWEST INSURANCE AGENCY 401(K) PROFIT SHARING PLAN 2011 form 5500 responses
2011-01-01	Type of plan entity	Single 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
2009: FIRST SOUTHWEST INSURANCE AGENCY 401(K) PROFIT SHARING PLAN 2009 form 5500 responses
2009-01-01	Type of plan entity	Single 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

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Company Name:	FIRST SOUTHWEST INSURANCE AGENCY, INC.
Employer identification number (EIN):	752001316
NAIC Classification:	524210
NAIC Description:	Insurance Agencies and Brokerages