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RETINAL CONSULTANTS OF ARIZONA, LTD. 401(K) AND PROFIT SHARING PLAN 401k Plan overview

Plan NameRETINAL CONSULTANTS OF ARIZONA, LTD. 401(K) AND PROFIT SHARING PLAN
Plan identification number 003

RETINAL CONSULTANTS OF ARIZONA, LTD. 401(K) AND PROFIT SHARING PLAN Benefits

401k Plan TypeDefined 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

RETINAL CONSULTANTS OF ARIZONA, LTD. has sponsored the creation of one or more 401k plans.

Company Name:RETINAL CONSULTANTS OF ARIZONA, LTD.
Employer identification number (EIN):860708606
NAIC Classification:621320
NAIC Description:Offices of Optometrists

Form 5500 Filing Information

Submission information for form 5500 for 401k plan RETINAL CONSULTANTS OF ARIZONA, LTD. 401(K) AND PROFIT SHARING PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator SignedName of Company SponsorDate Sponsor Signed
0032021-01-01ARTHUR BROOKFIELD2021-11-04 ARTHUR BROOKFIELD2021-11-04
0032020-01-01ARTHUR BROOKFIELD2021-10-14 ARTHUR BROOKFIELD2021-10-14
0032019-01-01DARSIE EMCH2020-10-14 CRAIG T. LEBLANC2020-10-14
0032018-01-01EDWARD J QUINLAN2019-10-15 EDWARD J QUINLAN2019-10-15
0032018-01-01PRAVIN U DUGEL2019-01-06 PRAVIN U DUGAL2019-01-06
0032017-01-01
0032016-01-01
0032015-01-01
0032014-01-01JOCELYN RANDALL2015-07-20
0032013-01-01EDWARD QUINLAN2014-06-20
0032012-01-01PRAVIN DUGEL
0032011-01-01PRAVIN DUGEL
0032009-01-01 PRAVIN DUGEL2010-07-26
0032009-01-01PRAVIN DUGEL

Plan Statistics for RETINAL CONSULTANTS OF ARIZONA, LTD. 401(K) AND PROFIT SHARING PLAN

401k plan membership statisitcs for RETINAL CONSULTANTS OF ARIZONA, LTD. 401(K) AND PROFIT SHARING PLAN

Measure Date Value
2021: RETINAL CONSULTANTS OF ARIZONA, LTD. 401(K) AND PROFIT SHARING PLAN 2021 401k membership
Total participants, beginning-of-year2021-01-01152
Total number of active participants reported on line 7a of the Form 55002021-01-010
Number of retired or separated participants receiving benefits2021-01-010
Number of other retired or separated participants entitled to future benefits2021-01-010
Total of all active and inactive participants2021-01-010
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2021-01-010
Total participants2021-01-010
Number of participants with account balances2021-01-010
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2021-01-010
2020: RETINAL CONSULTANTS OF ARIZONA, LTD. 401(K) AND PROFIT SHARING PLAN 2020 401k membership
Total participants, beginning-of-year2020-01-01162
Total number of active participants reported on line 7a of the Form 55002020-01-0185
Number of retired or separated participants receiving benefits2020-01-010
Number of other retired or separated participants entitled to future benefits2020-01-0167
Total of all active and inactive participants2020-01-01152
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2020-01-010
Total participants2020-01-01152
Number of participants with account balances2020-01-01152
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2020-01-011
2019: RETINAL CONSULTANTS OF ARIZONA, LTD. 401(K) AND PROFIT SHARING PLAN 2019 401k membership
Total participants, beginning-of-year2019-01-01157
Total number of active participants reported on line 7a of the Form 55002019-01-0190
Number of retired or separated participants receiving benefits2019-01-010
Number of other retired or separated participants entitled to future benefits2019-01-0163
Total of all active and inactive participants2019-01-01153
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2019-01-010
Total participants2019-01-01153
Number of participants with account balances2019-01-01153
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2019-01-012
2018: RETINAL CONSULTANTS OF ARIZONA, LTD. 401(K) AND PROFIT SHARING PLAN 2018 401k membership
Total participants, beginning-of-year2018-01-01141
Total number of active participants reported on line 7a of the Form 55002018-01-0188
Number of retired or separated participants receiving benefits2018-01-010
Number of other retired or separated participants entitled to future benefits2018-01-0153
Total of all active and inactive participants2018-01-01141
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2018-01-010
Total participants2018-01-01141
Number of participants with account balances2018-01-01141
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2018-01-012
2012: RETINAL CONSULTANTS OF ARIZONA, LTD. 401(K) AND PROFIT SHARING PLAN 2012 401k membership
Total participants, beginning-of-year2012-01-01101
Total number of active participants reported on line 7a of the Form 55002012-01-0169
Number of retired or separated participants receiving benefits2012-01-010
Number of other retired or separated participants entitled to future benefits2012-01-0117
Total of all active and inactive participants2012-01-0186
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2012-01-010
Total participants2012-01-0186
Number of participants with account balances2012-01-0186
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2012-01-019
2011: RETINAL CONSULTANTS OF ARIZONA, LTD. 401(K) AND PROFIT SHARING PLAN 2011 401k membership
Total participants, beginning-of-year2011-01-0198
Total number of active participants reported on line 7a of the Form 55002011-01-0170
Number of retired or separated participants receiving benefits2011-01-010
Number of other retired or separated participants entitled to future benefits2011-01-0126
Total of all active and inactive participants2011-01-0196
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2011-01-010
Total participants2011-01-0196
Number of participants with account balances2011-01-0196
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2011-01-019
2009: RETINAL CONSULTANTS OF ARIZONA, LTD. 401(K) AND PROFIT SHARING PLAN 2009 401k membership
Total participants, beginning-of-year2009-01-0193
Total number of active participants reported on line 7a of the Form 55002009-01-0177
Number of retired or separated participants receiving benefits2009-01-010
Number of other retired or separated participants entitled to future benefits2009-01-017
Total of all active and inactive participants2009-01-0184
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2009-01-010
Total participants2009-01-0184
Number of participants with account balances2009-01-0184
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2009-01-013

Financial Data on RETINAL CONSULTANTS OF ARIZONA, LTD. 401(K) AND PROFIT SHARING PLAN

Measure Date Value
2021 : RETINAL CONSULTANTS OF ARIZONA, LTD. 401(K) AND PROFIT SHARING PLAN 2021 401k financial data
Total unrealized appreciation/depreciation of assets2021-01-01$0
Total transfer of assets from this plan2021-01-01$8,146,762
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2021-01-01$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2021-01-01$16,800
Total income from all sources (including contributions)2021-01-01$0
Total loss/gain on sale of assets2021-01-01$0
Total of all expenses incurred2021-01-01$0
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2021-01-01$0
Total contributions o plan (from employers,participants, others, non cash contrinutions)2021-01-01$0
Value of total assets at end of year2021-01-01$0
Value of total assets at beginning of year2021-01-01$8,163,562
Total of administrative expenses incurred including professional, contract, advisory and management fees2021-01-01$0
Total interest from all sources2021-01-01$0
Total dividends received (eg from common stock, registered investment company shares)2021-01-01$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2021-01-01Yes
Value of any plan assets that reverted to the employer resulting from resoluton to terminate the plan2021-01-01$0
Was this plan covered by a fidelity bond2021-01-01Yes
Value of fidelity bond cover2021-01-01$500,000
If this is an individual account plan, was there a blackout period2021-01-01Yes
Were there any nonexempt tranactions with any party-in-interest2021-01-01No
Participant contributions at end of year2021-01-01$0
Participant contributions at beginning of year2021-01-01$64,616
Participant contributions at end of year2021-01-01$0
Participant contributions at beginning of year2021-01-01$0
Value of other receiveables (less allowance for doubtful accounts) at end of year2021-01-01$0
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2021-01-01$16,800
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year2021-01-01$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year2021-01-01$16,800
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2021-01-01No
Value of net income/loss2021-01-01$0
Value of net assets at end of year (total assets less liabilities)2021-01-01$0
Value of net assets at beginning of year (total assets less liabilities)2021-01-01$8,146,762
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2021-01-01No
Were any loans by the plan or fixed income obligations due to the plan in default2021-01-01No
Were any leases to which the plan was party in default or uncollectible2021-01-01No
Value of interest in registered invesment companies (eg mutual funds) at end of year2021-01-01$0
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2021-01-01$7,499,129
Value of interest in common/collective trusts at end of year2021-01-01$0
Value of interest in common/collective trusts at beginning of year2021-01-01$387,856
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2021-01-01No
Was there a failure to transmit to the plan any participant contributions2021-01-01No
Has the plan failed to provide any benefit when due under the plan2021-01-01No
Employer contributions (assets) at end of year2021-01-01$0
Employer contributions (assets) at beginning of year2021-01-01$195,161
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-32021-01-01Yes
Did the plan have assets held for investment2021-01-01No
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2021-01-01No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2021-01-01Yes
Opinion of an independent qualified public accountant for this plan2021-01-01Disclaimer
Accountancy firm name2021-01-01CLIFTONLARSONALLEN LLP
Accountancy firm EIN2021-01-01410746749
2020 : RETINAL CONSULTANTS OF ARIZONA, LTD. 401(K) AND PROFIT SHARING PLAN 2020 401k financial data
Total unrealized appreciation/depreciation of assets2020-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2020-12-31$16,800
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$1,299,279
Total loss/gain on sale of assets2020-12-31$0
Total of all expenses incurred2020-12-31$3,580,088
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2020-12-31$3,577,713
Total contributions o plan (from employers,participants, others, non cash contrinutions)2020-12-31$455,011
Value of total assets at end of year2020-12-31$8,163,562
Value of total assets at beginning of year2020-12-31$10,427,571
Total of administrative expenses incurred including professional, contract, advisory and management fees2020-12-31$2,375
Total interest from all sources2020-12-31$5,581
Total dividends received (eg from common stock, registered investment company shares)2020-12-31$186,570
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2020-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2020-12-31$186,570
Was this plan covered by a fidelity bond2020-12-31Yes
Value of fidelity bond cover2020-12-31$500,000
If this is an individual account plan, was there a blackout period2020-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2020-12-31$0
Were there any nonexempt tranactions with any party-in-interest2020-12-31No
Contributions received from participants2020-12-31$259,850
Participant contributions at end of year2020-12-31$64,616
Participant contributions at beginning of year2020-12-31$94,393
Participant contributions at end of year2020-12-31$0
Participant contributions at beginning of year2020-12-31$16,057
Value of other receiveables (less allowance for doubtful accounts) at end of year2020-12-31$16,800
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2020-12-31$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year2020-12-31$16,800
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year2020-12-31$0
Other income not declared elsewhere2020-12-31$57
Administrative expenses (other) incurred2020-12-31$2,375
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2020-12-31No
Value of net income/loss2020-12-31$-2,280,809
Value of net assets at end of year (total assets less liabilities)2020-12-31$8,146,762
Value of net assets at beginning of year (total assets less liabilities)2020-12-31$10,427,571
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2020-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2020-12-31No
Were any leases to which the plan was party in default or uncollectible2020-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2020-12-31$7,499,129
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2020-12-31$9,970,432
Interest on participant loans2020-12-31$5,581
Value of interest in common/collective trusts at end of year2020-12-31$387,856
Value of interest in common/collective trusts at beginning of year2020-12-31$0
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2020-12-31$0
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2020-12-31$136,836
Net investment gain/loss from registered investment companies (e.g. mutual funds)2020-12-31$648,023
Net investment gain or loss from common/collective trusts2020-12-31$4,037
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2020-12-31No
Was there a failure to transmit to the plan any participant contributions2020-12-31Yes
Has the plan failed to provide any benefit when due under the plan2020-12-31No
Contributions received in cash from employer2020-12-31$195,161
Employer contributions (assets) at end of year2020-12-31$195,161
Employer contributions (assets) at beginning of year2020-12-31$209,853
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2020-12-31$3,577,713
Did the plan have assets held for investment2020-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2020-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2020-12-31No
Opinion of an independent qualified public accountant for this plan2020-12-31Disclaimer
Accountancy firm name2020-12-31CLIFTONLARSONALLEN LLP
Accountancy firm EIN2020-12-31410746749
2019 : RETINAL CONSULTANTS OF ARIZONA, LTD. 401(K) AND PROFIT SHARING PLAN 2019 401k financial data
Total unrealized appreciation/depreciation of assets2019-12-31$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$2,369,319
Total loss/gain on sale of assets2019-12-31$0
Total of all expenses incurred2019-12-31$470,865
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2019-12-31$467,486
Expenses. Certain deemed distributions of participant loans2019-12-31$1,001
Total contributions o plan (from employers,participants, others, non cash contrinutions)2019-12-31$481,890
Value of total assets at end of year2019-12-31$10,427,571
Value of total assets at beginning of year2019-12-31$8,529,117
Total of administrative expenses incurred including professional, contract, advisory and management fees2019-12-31$2,378
Total interest from all sources2019-12-31$7,302
Total dividends received (eg from common stock, registered investment company shares)2019-12-31$249,114
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2019-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2019-12-31$249,114
Was this plan covered by a fidelity bond2019-12-31Yes
Value of fidelity bond cover2019-12-31$500,000
If this is an individual account plan, was there a blackout period2019-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2019-12-31$0
Were there any nonexempt tranactions with any party-in-interest2019-12-31No
Contributions received from participants2019-12-31$272,037
Participant contributions at end of year2019-12-31$94,393
Participant contributions at beginning of year2019-12-31$131,877
Participant contributions at end of year2019-12-31$16,057
Participant contributions at beginning of year2019-12-31$0
Other income not declared elsewhere2019-12-31$-691
Administrative expenses (other) incurred2019-12-31$2,378
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2019-12-31No
Value of net income/loss2019-12-31$1,898,454
Value of net assets at end of year (total assets less liabilities)2019-12-31$10,427,571
Value of net assets at beginning of year (total assets less liabilities)2019-12-31$8,529,117
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2019-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2019-12-31No
Were any leases to which the plan was party in default or uncollectible2019-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2019-12-31$9,970,432
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2019-12-31$8,227,139
Interest on participant loans2019-12-31$7,302
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2019-12-31$136,836
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2019-12-31$115,727
Net investment gain/loss from registered investment companies (e.g. mutual funds)2019-12-31$1,631,704
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2019-12-31No
Was there a failure to transmit to the plan any participant contributions2019-12-31Yes
Has the plan failed to provide any benefit when due under the plan2019-12-31No
Contributions received in cash from employer2019-12-31$209,853
Employer contributions (assets) at end of year2019-12-31$209,853
Employer contributions (assets) at beginning of year2019-12-31$54,374
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2019-12-31$467,486
Did the plan have assets held for investment2019-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2019-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2019-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2019-12-31Yes
Opinion of an independent qualified public accountant for this plan2019-12-31Disclaimer
Accountancy firm name2019-12-31CLIFTONLARSONALLEN LLP
Accountancy firm EIN2019-12-31410746749
2018 : RETINAL CONSULTANTS OF ARIZONA, LTD. 401(K) AND PROFIT SHARING PLAN 2018 401k financial data
Total unrealized appreciation/depreciation of assets2018-12-31$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$135,122
Total loss/gain on sale of assets2018-12-31$0
Total of all expenses incurred2018-12-31$255,061
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2018-12-31$249,226
Expenses. Certain deemed distributions of participant loans2018-12-31$3,800
Total contributions o plan (from employers,participants, others, non cash contrinutions)2018-12-31$587,282
Value of total assets at end of year2018-12-31$8,529,117
Value of total assets at beginning of year2018-12-31$8,649,056
Total of administrative expenses incurred including professional, contract, advisory and management fees2018-12-31$2,035
Total interest from all sources2018-12-31$6,513
Total dividends received (eg from common stock, registered investment company shares)2018-12-31$614,163
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2018-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2018-12-31$614,163
Was this plan covered by a fidelity bond2018-12-31Yes
Value of fidelity bond cover2018-12-31$500,000
If this is an individual account plan, was there a blackout period2018-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2018-12-31$0
Were there any nonexempt tranactions with any party-in-interest2018-12-31No
Contributions received from participants2018-12-31$288,408
Participant contributions at end of year2018-12-31$131,877
Participant contributions at beginning of year2018-12-31$94,452
Administrative expenses (other) incurred2018-12-31$2,035
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2018-12-31No
Value of net income/loss2018-12-31$-119,939
Value of net assets at end of year (total assets less liabilities)2018-12-31$8,529,117
Value of net assets at beginning of year (total assets less liabilities)2018-12-31$8,649,056
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2018-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2018-12-31No
Were any leases to which the plan was party in default or uncollectible2018-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2018-12-31$8,342,866
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2018-12-31$8,472,487
Interest on participant loans2018-12-31$6,513
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2018-12-31$115,727
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2018-12-31$88,991
Net investment gain/loss from registered investment companies (e.g. mutual funds)2018-12-31$-1,072,836
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2018-12-31No
Was there a failure to transmit to the plan any participant contributions2018-12-31No
Has the plan failed to provide any benefit when due under the plan2018-12-31No
Contributions received in cash from employer2018-12-31$298,874
Employer contributions (assets) at end of year2018-12-31$54,374
Employer contributions (assets) at beginning of year2018-12-31$82,117
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2018-12-31$249,226
Did the plan have assets held for investment2018-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2018-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2018-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2018-12-31Yes
Opinion of an independent qualified public accountant for this plan2018-12-31Disclaimer
Accountancy firm name2018-12-31SCHMIDT WESTERGARD & COMPANY, PLLC
Accountancy firm EIN2018-12-31860271207
2012 : RETINAL CONSULTANTS OF ARIZONA, LTD. 401(K) AND PROFIT SHARING PLAN 2012 401k financial data
Transfers to/from the plan2012-12-31$0
Total plan liabilities at end of year2012-12-31$6,969
Total plan liabilities at beginning of year2012-12-31$70,519
Total income from all sources2012-12-31$949,275
Expenses. Total of all expenses incurred2012-12-31$1,032,717
Benefits paid (including direct rollovers)2012-12-31$1,032,197
Total plan assets at end of year2012-12-31$4,294,542
Total plan assets at beginning of year2012-12-31$4,441,534
Value of fidelity bond covering the plan2012-12-31$437,102
Total contributions received or receivable from participants2012-12-31$233,859
Expenses. Other expenses not covered elsewhere2012-12-31$520
Contributions received from other sources (not participants or employers)2012-12-31$0
Other income received2012-12-31$567,825
Noncash contributions received2012-12-31$0
Net income (gross income less expenses)2012-12-31$-83,442
Net plan assets at end of year (total assets less liabilities)2012-12-31$4,287,573
Net plan assets at beginning of year (total assets less liabilities)2012-12-31$4,371,015
Assets. Value of participant loans2012-12-31$26,898
Total contributions received or receivable from employer(s)2012-12-31$147,591
Value of certain deemed distributions of participant loans2012-12-31$0
Value of corrective distributions2012-12-31$0
Expenses. Administrative service providers (salaries,fees and commissions)2012-12-31$0
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2012-12-31$0
2011 : RETINAL CONSULTANTS OF ARIZONA, LTD. 401(K) AND PROFIT SHARING PLAN 2011 401k financial data
Transfers to/from the plan2011-12-31$0
Total plan liabilities at end of year2011-12-31$70,519
Total plan liabilities at beginning of year2011-12-31$1,604
Total income from all sources2011-12-31$314,466
Expenses. Total of all expenses incurred2011-12-31$106,225
Benefits paid (including direct rollovers)2011-12-31$105,775
Total plan assets at end of year2011-12-31$4,441,534
Total plan assets at beginning of year2011-12-31$4,164,378
Value of fidelity bond covering the plan2011-12-31$437,102
Total contributions received or receivable from participants2011-12-31$223,936
Expenses. Other expenses not covered elsewhere2011-12-31$450
Contributions received from other sources (not participants or employers)2011-12-31$0
Other income received2011-12-31$-58,205
Noncash contributions received2011-12-31$0
Net income (gross income less expenses)2011-12-31$208,241
Net plan assets at end of year (total assets less liabilities)2011-12-31$4,371,015
Net plan assets at beginning of year (total assets less liabilities)2011-12-31$4,162,774
Assets. Value of participant loans2011-12-31$53,361
Total contributions received or receivable from employer(s)2011-12-31$148,735
Value of certain deemed distributions of participant loans2011-12-31$0
Value of corrective distributions2011-12-31$0
Expenses. Administrative service providers (salaries,fees and commissions)2011-12-31$0
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2011-12-31$0
2010 : RETINAL CONSULTANTS OF ARIZONA, LTD. 401(K) AND PROFIT SHARING PLAN 2010 401k financial data
Transfers to/from the plan2010-12-31$0
Total plan liabilities at end of year2010-12-31$1,604
Total plan liabilities at beginning of year2010-12-31$1,604
Total income from all sources2010-12-31$892,714
Expenses. Total of all expenses incurred2010-12-31$1,081,040
Benefits paid (including direct rollovers)2010-12-31$1,081,040
Total plan assets at end of year2010-12-31$4,164,378
Total plan assets at beginning of year2010-12-31$4,352,704
Value of fidelity bond covering the plan2010-12-31$416,277
Total contributions received or receivable from participants2010-12-31$196,444
Expenses. Other expenses not covered elsewhere2010-12-31$0
Contributions received from other sources (not participants or employers)2010-12-31$0
Other income received2010-12-31$474,559
Noncash contributions received2010-12-31$0
Net income (gross income less expenses)2010-12-31$-188,326
Net plan assets at end of year (total assets less liabilities)2010-12-31$4,162,774
Net plan assets at beginning of year (total assets less liabilities)2010-12-31$4,351,100
Assets. Value of participant loans2010-12-31$40,241
Total contributions received or receivable from employer(s)2010-12-31$221,711
Value of certain deemed distributions of participant loans2010-12-31$0
Value of corrective distributions2010-12-31$0
Expenses. Administrative service providers (salaries,fees and commissions)2010-12-31$0
2009 : RETINAL CONSULTANTS OF ARIZONA, LTD. 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 securities2009-12-31$0

Form 5500 Responses for RETINAL CONSULTANTS OF ARIZONA, LTD. 401(K) AND PROFIT SHARING PLAN

2021: RETINAL CONSULTANTS OF ARIZONA, LTD. 401(K) AND PROFIT SHARING PLAN 2021 form 5500 responses
2021-01-01Type of plan entitySingle employer plan
2021-01-01Submission has been amendedNo
2021-01-01This submission is the final filingYes
2021-01-01This return/report is a short plan year return/report (less than 12 months)Yes
2021-01-01Plan is a collectively bargained planNo
2021-01-01Plan funding arrangement – InsuranceYes
2021-01-01Plan funding arrangement – TrustYes
2021-01-01Plan benefit arrangement – InsuranceYes
2021-01-01Plan benefit arrangement - TrustYes
2020: RETINAL CONSULTANTS OF ARIZONA, LTD. 401(K) AND PROFIT SHARING PLAN 2020 form 5500 responses
2020-01-01Type of plan entitySingle employer plan
2020-01-01Submission has been amendedNo
2020-01-01This submission is the final filingNo
2020-01-01This return/report is a short plan year return/report (less than 12 months)No
2020-01-01Plan is a collectively bargained planNo
2020-01-01Plan funding arrangement – InsuranceYes
2020-01-01Plan funding arrangement – TrustYes
2020-01-01Plan benefit arrangement – InsuranceYes
2020-01-01Plan benefit arrangement - TrustYes
2019: RETINAL CONSULTANTS OF ARIZONA, LTD. 401(K) AND PROFIT SHARING PLAN 2019 form 5500 responses
2019-01-01Type of plan entitySingle employer plan
2019-01-01Submission has been amendedNo
2019-01-01This submission is the final filingNo
2019-01-01This return/report is a short plan year return/report (less than 12 months)No
2019-01-01Plan is a collectively bargained planNo
2019-01-01Plan funding arrangement – InsuranceYes
2019-01-01Plan funding arrangement – TrustYes
2019-01-01Plan benefit arrangement – InsuranceYes
2019-01-01Plan benefit arrangement - TrustYes
2018: RETINAL CONSULTANTS OF ARIZONA, LTD. 401(K) AND PROFIT SHARING PLAN 2018 form 5500 responses
2018-01-01Type of plan entitySingle employer plan
2018-01-01Submission has been amendedNo
2018-01-01This submission is the final filingNo
2018-01-01This return/report is a short plan year return/report (less than 12 months)No
2018-01-01Plan is a collectively bargained planNo
2018-01-01Plan funding arrangement – TrustYes
2018-01-01Plan benefit arrangement - TrustYes
2012: RETINAL CONSULTANTS OF ARIZONA, LTD. 401(K) AND PROFIT SHARING PLAN 2012 form 5500 responses
2012-01-01Type of plan entitySingle employer plan
2012-01-01Submission has been amendedNo
2012-01-01This submission is the final filingNo
2012-01-01This return/report is a short plan year return/report (less than 12 months)No
2012-01-01Plan is a collectively bargained planNo
2012-01-01Plan funding arrangement – TrustYes
2012-01-01Plan benefit arrangement - TrustYes
2011: RETINAL CONSULTANTS OF ARIZONA, LTD. 401(K) AND PROFIT SHARING PLAN 2011 form 5500 responses
2011-01-01Type of plan entitySingle employer plan
2011-01-01Submission has been amendedNo
2011-01-01This submission is the final filingNo
2011-01-01This return/report is a short plan year return/report (less than 12 months)No
2011-01-01Plan is a collectively bargained planNo
2011-01-01Plan funding arrangement – TrustYes
2011-01-01Plan benefit arrangement - TrustYes
2009: RETINAL CONSULTANTS OF ARIZONA, LTD. 401(K) AND PROFIT SHARING PLAN 2009 form 5500 responses
2009-01-01Type of plan entitySingle employer plan
2009-01-01Submission has been amendedNo
2009-01-01This submission is the final filingNo
2009-01-01This return/report is a short plan year return/report (less than 12 months)No
2009-01-01Plan is a collectively bargained planNo
2009-01-01Plan funding arrangement – TrustYes
2009-01-01Plan benefit arrangement - TrustYes

Insurance Providers Used on plan

GREAT-WEST LIFE & ANNUITY INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 68322 )
Policy contract number336361-01
Policy instance 1
Insurance contract or identification number336361-01
Number of Individuals Covered0
Insurance policy start date2021-01-01
Insurance policy end date2021-01-01
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 planNo
Contracts With Unallocated Funds Deposit Administration0
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 BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
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
GREAT-WEST LIFE & ANNUITY INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 68322 )
Policy contract number336361-01
Policy instance 1
Insurance contract or identification number336361-01
Number of Individuals Covered128
Insurance policy start date2020-01-01
Insurance policy end date2020-12-31
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?Yes
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
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 BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
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
Other information about contractGROUP ANNUITY
GREAT-WEST LIFE & ANNUITY INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 68322 )
Policy contract number336361-01
Policy instance 1
Insurance contract or identification number336361-01
Number of Individuals Covered118
Insurance policy start date2019-01-01
Insurance policy end date2019-12-31
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?Yes
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
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 BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
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
Other information about contractGROUP ANNUITY
GREAT-WEST LIFE & ANNUITY INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 68322 )
Policy contract number336361-01
Policy instance 1
Insurance contract or identification number336361-01
Number of Individuals Covered117
Insurance policy start date2018-01-01
Insurance policy end date2018-12-31
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?Yes
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
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 BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
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
Other information about contractGROUP ANNUITY

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