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NORTHEAST DERMATOLOGY ASSOCIATES 401K PROFIT SHARING PLAN 401k Plan overview

Plan NameNORTHEAST DERMATOLOGY ASSOCIATES 401K PROFIT SHARING PLAN
Plan identification number 003

NORTHEAST DERMATOLOGY ASSOCIATES 401K PROFIT SHARING PLAN Benefits

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

NORTHEAST DERMATOLOGY ASSOCIATES has sponsored the creation of one or more 401k plans.

Company Name:NORTHEAST DERMATOLOGY ASSOCIATES
Employer identification number (EIN):043138013
NAIC Classification:621111
NAIC Description:Offices of Physicians (except Mental Health Specialists)

Form 5500 Filing Information

Submission information for form 5500 for 401k plan NORTHEAST DERMATOLOGY ASSOCIATES 401K PROFIT SHARING PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator SignedName of Company SponsorDate Sponsor Signed
0032020-01-01
0032019-01-01BRIAN ARNDS2020-09-08
0032018-01-01BRIAN ARNDS2020-01-31
0032017-01-01
0032016-01-01
0032015-01-01
0032014-01-01LEILA BELL
0032013-01-01LEILA BELL LEILA BELL2014-09-18
0032012-01-01LEILA BELL LEILA BELL2013-09-20
0032011-01-01LEILA BELL
0032009-01-01JULIE OLEARY

Plan Statistics for NORTHEAST DERMATOLOGY ASSOCIATES 401K PROFIT SHARING PLAN

401k plan membership statisitcs for NORTHEAST DERMATOLOGY ASSOCIATES 401K PROFIT SHARING PLAN

Measure Date Value
2019: NORTHEAST DERMATOLOGY ASSOCIATES 401K PROFIT SHARING PLAN 2019 401k membership
Total participants, beginning-of-year2019-01-01191
Total number of active participants reported on line 7a of the Form 55002019-01-010
Number of retired or separated participants receiving benefits2019-01-010
Number of other retired or separated participants entitled to future benefits2019-01-014
Total of all active and inactive participants2019-01-014
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2019-01-010
Total participants2019-01-014
Number of participants with account balances2019-01-014
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2019-01-010
2018: NORTHEAST DERMATOLOGY ASSOCIATES 401K PROFIT SHARING PLAN 2018 401k membership
Total participants, beginning-of-year2018-01-01183
Total number of active participants reported on line 7a of the Form 55002018-01-0138
Number of retired or separated participants receiving benefits2018-01-010
Number of other retired or separated participants entitled to future benefits2018-01-01153
Total of all active and inactive participants2018-01-01191
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2018-01-010
Total participants2018-01-01191
Number of participants with account balances2018-01-01191
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2018-01-010
2017: NORTHEAST DERMATOLOGY ASSOCIATES 401K PROFIT SHARING PLAN 2017 401k membership
Total participants, beginning-of-year2017-01-01154
Total number of active participants reported on line 7a of the Form 55002017-01-01118
Number of retired or separated participants receiving benefits2017-01-010
Number of other retired or separated participants entitled to future benefits2017-01-0165
Total of all active and inactive participants2017-01-01183
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2017-01-010
Total participants2017-01-01183
Number of participants with account balances2017-01-01154
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2017-01-012
2016: NORTHEAST DERMATOLOGY ASSOCIATES 401K PROFIT SHARING PLAN 2016 401k membership
Total participants, beginning-of-year2016-01-01134
Total number of active participants reported on line 7a of the Form 55002016-01-0194
Number of retired or separated participants receiving benefits2016-01-010
Number of other retired or separated participants entitled to future benefits2016-01-0153
Total of all active and inactive participants2016-01-01147
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2016-01-010
Total participants2016-01-01147
Number of participants with account balances2016-01-01138
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2016-01-013
2015: NORTHEAST DERMATOLOGY ASSOCIATES 401K PROFIT SHARING PLAN 2015 401k membership
Total participants, beginning-of-year2015-01-01129
Total number of active participants reported on line 7a of the Form 55002015-01-0181
Number of retired or separated participants receiving benefits2015-01-010
Number of other retired or separated participants entitled to future benefits2015-01-0141
Total of all active and inactive participants2015-01-01122
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2015-01-010
Total participants2015-01-01122
Number of participants with account balances2015-01-01113
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2015-01-013
2014: NORTHEAST DERMATOLOGY ASSOCIATES 401K PROFIT SHARING PLAN 2014 401k membership
Total participants, beginning-of-year2014-01-01114
Total number of active participants reported on line 7a of the Form 55002014-01-01112
Number of retired or separated participants receiving benefits2014-01-010
Number of other retired or separated participants entitled to future benefits2014-01-018
Total of all active and inactive participants2014-01-01120
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2014-01-010
Total participants2014-01-01120
Number of participants with account balances2014-01-0197
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2014-01-011
2013: NORTHEAST DERMATOLOGY ASSOCIATES 401K PROFIT SHARING PLAN 2013 401k membership
Total participants, beginning-of-year2013-01-0194
Total number of active participants reported on line 7a of the Form 55002013-01-0189
Number of retired or separated participants receiving benefits2013-01-010
Number of other retired or separated participants entitled to future benefits2013-01-018
Total of all active and inactive participants2013-01-0197
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2013-01-011
Total participants2013-01-0198
Number of participants with account balances2013-01-0198
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2013-01-010
2012: NORTHEAST DERMATOLOGY ASSOCIATES 401K PROFIT SHARING PLAN 2012 401k membership
Total participants, beginning-of-year2012-01-01100
Total number of active participants reported on line 7a of the Form 55002012-01-0183
Number of retired or separated participants receiving benefits2012-01-010
Number of other retired or separated participants entitled to future benefits2012-01-0110
Total of all active and inactive participants2012-01-0193
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2012-01-011
Total participants2012-01-0194
Number of participants with account balances2012-01-0194
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2012-01-013
2011: NORTHEAST DERMATOLOGY ASSOCIATES 401K PROFIT SHARING PLAN 2011 401k membership
Total participants, beginning-of-year2011-01-0196
Total number of active participants reported on line 7a of the Form 55002011-01-0184
Number of retired or separated participants receiving benefits2011-01-010
Number of other retired or separated participants entitled to future benefits2011-01-0115
Total of all active and inactive participants2011-01-0199
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2011-01-011
Total participants2011-01-01100
Number of participants with account balances2011-01-0196
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2011-01-012
2009: NORTHEAST DERMATOLOGY ASSOCIATES 401K PROFIT SHARING PLAN 2009 401k membership
Total participants, beginning-of-year2009-01-0189
Total number of active participants reported on line 7a of the Form 55002009-01-0179
Number of retired or separated participants receiving benefits2009-01-010
Number of other retired or separated participants entitled to future benefits2009-01-0114
Total of all active and inactive participants2009-01-0193
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2009-01-011
Total participants2009-01-0194
Number of participants with account balances2009-01-0189
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2009-01-010

Financial Data on NORTHEAST DERMATOLOGY ASSOCIATES 401K PROFIT SHARING PLAN

Measure Date Value
2019 : NORTHEAST DERMATOLOGY ASSOCIATES 401K PROFIT SHARING PLAN 2019 401k financial data
Total unrealized appreciation/depreciation of assets2019-12-31$0
Total transfer of assets from this plan2019-12-31$18,132,951
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$2,051,688
Total loss/gain on sale of assets2019-12-31$0
Total of all expenses incurred2019-12-31$1,253,029
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2019-12-31$1,252,779
Total contributions o plan (from employers,participants, others, non cash contrinutions)2019-12-31$227,582
Value of total assets at end of year2019-12-31$2,462,197
Value of total assets at beginning of year2019-12-31$19,796,489
Total of administrative expenses incurred including professional, contract, advisory and management fees2019-12-31$250
Total interest from all sources2019-12-31$16,760
Total dividends received (eg from common stock, registered investment company shares)2019-12-31$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2019-12-31Yes
Value of any plan assets that reverted to the employer resulting from resoluton to terminate the plan2019-12-31$0
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$160,818
Participant contributions at end of year2019-12-31$0
Participant contributions at beginning of year2019-12-31$12,507
Assets. Other investments not covered elsewhere at end of year2019-12-31$986,572
Assets. Other investments not covered elsewhere at beginning of year2019-12-31$2,094,866
Income. Received or receivable in cash from other sources (including rollovers)2019-12-31$66,764
Other income not declared elsewhere2019-12-31$281,548
Administrative expenses (other) incurred2019-12-31$250
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$798,659
Value of net assets at end of year (total assets less liabilities)2019-12-31$2,462,197
Value of net assets at beginning of year (total assets less liabilities)2019-12-31$19,796,489
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 pooled separate accounts at end of year2019-12-31$1,475,455
Value of interest in pooled separate accounts at beginning of year2019-12-31$15,123,304
Interest on participant loans2019-12-31$108
Interest earned on other investments2019-12-31$16,652
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2019-12-31$170
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2019-12-31$2,565,812
Net investment gain/loss from pooled separate accounts2019-12-31$1,525,798
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
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2019-12-31$1,252,779
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 name2019-12-31ROSS LANE AND COMPANY LLC
Accountancy firm EIN2019-12-31581686745
2018 : NORTHEAST DERMATOLOGY ASSOCIATES 401K 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$0
Total income from all sources (including contributions)2018-12-31$-12,540
Total loss/gain on sale of assets2018-12-31$0
Total of all expenses incurred2018-12-31$1,913,864
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2018-12-31$1,910,836
Expenses. Certain deemed distributions of participant loans2018-12-31$691
Total contributions o plan (from employers,participants, others, non cash contrinutions)2018-12-31$882,145
Value of total assets at end of year2018-12-31$19,796,489
Value of total assets at beginning of year2018-12-31$21,722,893
Total of administrative expenses incurred including professional, contract, advisory and management fees2018-12-31$2,337
Total interest from all sources2018-12-31$78,456
Total dividends received (eg from common stock, registered investment company shares)2018-12-31$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2018-12-31No
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$618,909
Participant contributions at end of year2018-12-31$12,507
Participant contributions at beginning of year2018-12-31$18,154
Assets. Other investments not covered elsewhere at end of year2018-12-31$2,094,866
Assets. Other investments not covered elsewhere at beginning of year2018-12-31$1,698,050
Other income not declared elsewhere2018-12-31$-108,946
Administrative expenses (other) incurred2018-12-31$2,337
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2018-12-31No
Value of net income/loss2018-12-31$-1,926,404
Value of net assets at end of year (total assets less liabilities)2018-12-31$19,796,489
Value of net assets at beginning of year (total assets less liabilities)2018-12-31$21,722,893
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 pooled separate accounts at end of year2018-12-31$15,123,304
Value of interest in pooled separate accounts at beginning of year2018-12-31$17,407,220
Interest on participant loans2018-12-31$400
Interest earned on other investments2018-12-31$78,056
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2018-12-31$2,565,812
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2018-12-31$2,599,469
Net investment gain/loss from pooled separate accounts2018-12-31$-864,195
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 contributions2018-12-31Yes
Has the plan failed to provide any benefit when due under the plan2018-12-31No
Contributions received in cash from employer2018-12-31$263,236
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2018-12-31$1,910,836
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-32018-12-31No
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 name2018-12-31ROSS LANE AND COMPANY LLC
Accountancy firm EIN2018-12-31581686745
2017 : NORTHEAST DERMATOLOGY ASSOCIATES 401K PROFIT SHARING PLAN 2017 401k financial data
Total unrealized appreciation/depreciation of assets2017-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2017-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2017-12-31$0
Total income from all sources (including contributions)2017-12-31$5,103,349
Total loss/gain on sale of assets2017-12-31$0
Total of all expenses incurred2017-12-31$3,044,355
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2017-12-31$3,039,226
Total contributions o plan (from employers,participants, others, non cash contrinutions)2017-12-31$2,025,338
Value of total assets at end of year2017-12-31$21,722,893
Value of total assets at beginning of year2017-12-31$19,663,899
Total of administrative expenses incurred including professional, contract, advisory and management fees2017-12-31$5,129
Total interest from all sources2017-12-31$103,215
Total dividends received (eg from common stock, registered investment company shares)2017-12-31$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2017-12-31No
Was this plan covered by a fidelity bond2017-12-31Yes
Value of fidelity bond cover2017-12-31$500,000
If this is an individual account plan, was there a blackout period2017-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2017-12-31$0
Were there any nonexempt tranactions with any party-in-interest2017-12-31No
Contributions received from participants2017-12-31$598,299
Participant contributions at end of year2017-12-31$18,154
Participant contributions at beginning of year2017-12-31$26,124
Assets. Other investments not covered elsewhere at end of year2017-12-31$1,698,050
Assets. Other investments not covered elsewhere at beginning of year2017-12-31$1,454,021
Income. Received or receivable in cash from other sources (including rollovers)2017-12-31$1,027,039
Other income not declared elsewhere2017-12-31$244,030
Administrative expenses (other) incurred2017-12-31$5,129
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2017-12-31No
Value of net income/loss2017-12-31$2,058,994
Value of net assets at end of year (total assets less liabilities)2017-12-31$21,722,893
Value of net assets at beginning of year (total assets less liabilities)2017-12-31$19,663,899
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2017-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2017-12-31No
Were any leases to which the plan was party in default or uncollectible2017-12-31No
Value of interest in pooled separate accounts at end of year2017-12-31$17,407,220
Value of interest in pooled separate accounts at beginning of year2017-12-31$14,951,525
Interest on participant loans2017-12-31$1,175
Interest earned on other investments2017-12-31$102,040
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2017-12-31$2,599,469
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2017-12-31$3,232,229
Net investment gain/loss from pooled separate accounts2017-12-31$2,730,766
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2017-12-31No
Was there a failure to transmit to the plan any participant contributions2017-12-31No
Has the plan failed to provide any benefit when due under the plan2017-12-31No
Contributions received in cash from employer2017-12-31$400,000
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2017-12-31$3,039,226
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-32017-12-31No
Did the plan have assets held for investment2017-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2017-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2017-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2017-12-31Yes
Opinion of an independent qualified public accountant for this plan2017-12-31Disclaimer
Accountancy firm name2017-12-31ROSS LANE AND COMPANY LLC
Accountancy firm EIN2017-12-31581686745
2016 : NORTHEAST DERMATOLOGY ASSOCIATES 401K PROFIT SHARING PLAN 2016 401k financial data
Total unrealized appreciation/depreciation of assets2016-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2016-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2016-12-31$0
Total income from all sources (including contributions)2016-12-31$2,073,717
Total loss/gain on sale of assets2016-12-31$0
Total of all expenses incurred2016-12-31$120,259
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2016-12-31$115,476
Total contributions o plan (from employers,participants, others, non cash contrinutions)2016-12-31$881,704
Value of total assets at end of year2016-12-31$19,663,899
Value of total assets at beginning of year2016-12-31$17,710,441
Total of administrative expenses incurred including professional, contract, advisory and management fees2016-12-31$4,783
Total interest from all sources2016-12-31$141,124
Total dividends received (eg from common stock, registered investment company shares)2016-12-31$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2016-12-31No
Was this plan covered by a fidelity bond2016-12-31Yes
Value of fidelity bond cover2016-12-31$500,000
If this is an individual account plan, was there a blackout period2016-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2016-12-31$0
Were there any nonexempt tranactions with any party-in-interest2016-12-31No
Contributions received from participants2016-12-31$474,605
Participant contributions at end of year2016-12-31$26,124
Participant contributions at beginning of year2016-12-31$30,719
Assets. Other investments not covered elsewhere at end of year2016-12-31$1,454,021
Assets. Other investments not covered elsewhere at beginning of year2016-12-31$1,411,994
Administrative expenses (other) incurred2016-12-31$4,783
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2016-12-31No
Value of net income/loss2016-12-31$1,953,458
Value of net assets at end of year (total assets less liabilities)2016-12-31$19,663,899
Value of net assets at beginning of year (total assets less liabilities)2016-12-31$17,710,441
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2016-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2016-12-31No
Were any leases to which the plan was party in default or uncollectible2016-12-31No
Value of interest in pooled separate accounts at end of year2016-12-31$14,951,525
Value of interest in pooled separate accounts at beginning of year2016-12-31$13,100,830
Interest on participant loans2016-12-31$1,195
Interest earned on other investments2016-12-31$139,929
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2016-12-31$3,232,229
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2016-12-31$3,166,898
Net investment gain/loss from pooled separate accounts2016-12-31$1,050,889
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2016-12-31No
Was there a failure to transmit to the plan any participant contributions2016-12-31No
Has the plan failed to provide any benefit when due under the plan2016-12-31No
Contributions received in cash from employer2016-12-31$407,099
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2016-12-31$115,476
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-32016-12-31No
Did the plan have assets held for investment2016-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2016-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2016-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2016-12-31Yes
Opinion of an independent qualified public accountant for this plan2016-12-31Disclaimer
Accountancy firm name2016-12-31COWAN BOLDUC DOHERTY LLC
Accountancy firm EIN2016-12-31043070916
2015 : NORTHEAST DERMATOLOGY ASSOCIATES 401K PROFIT SHARING PLAN 2015 401k financial data
Total unrealized appreciation/depreciation of assets2015-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2015-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2015-12-31$0
Total income from all sources (including contributions)2015-12-31$901,041
Total loss/gain on sale of assets2015-12-31$0
Total of all expenses incurred2015-12-31$319,536
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2015-12-31$303,321
Expenses. Certain deemed distributions of participant loans2015-12-31$9,023
Total contributions o plan (from employers,participants, others, non cash contrinutions)2015-12-31$881,795
Value of total assets at end of year2015-12-31$17,710,441
Value of total assets at beginning of year2015-12-31$17,128,936
Total of administrative expenses incurred including professional, contract, advisory and management fees2015-12-31$7,192
Total interest from all sources2015-12-31$92,958
Total dividends received (eg from common stock, registered investment company shares)2015-12-31$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2015-12-31No
Was this plan covered by a fidelity bond2015-12-31Yes
Value of fidelity bond cover2015-12-31$500,000
If this is an individual account plan, was there a blackout period2015-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2015-12-31$0
Were there any nonexempt tranactions with any party-in-interest2015-12-31No
Contributions received from participants2015-12-31$506,837
Participant contributions at end of year2015-12-31$30,719
Participant contributions at beginning of year2015-12-31$22,788
Assets. Other investments not covered elsewhere at end of year2015-12-31$1,411,994
Assets. Other investments not covered elsewhere at beginning of year2015-12-31$1,452,468
Administrative expenses (other) incurred2015-12-31$7,192
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2015-12-31No
Value of net income/loss2015-12-31$581,505
Value of net assets at end of year (total assets less liabilities)2015-12-31$17,710,441
Value of net assets at beginning of year (total assets less liabilities)2015-12-31$17,128,936
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2015-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2015-12-31No
Were any leases to which the plan was party in default or uncollectible2015-12-31No
Value of interest in pooled separate accounts at end of year2015-12-31$13,100,830
Value of interest in pooled separate accounts at beginning of year2015-12-31$12,597,424
Interest on participant loans2015-12-31$1,021
Interest earned on other investments2015-12-31$91,937
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2015-12-31$3,166,898
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2015-12-31$3,056,256
Net investment gain/loss from pooled separate accounts2015-12-31$-73,712
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2015-12-31No
Was there a failure to transmit to the plan any participant contributions2015-12-31No
Has the plan failed to provide any benefit when due under the plan2015-12-31No
Contributions received in cash from employer2015-12-31$374,958
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2015-12-31$303,321
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-32015-12-31No
Did the plan have assets held for investment2015-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2015-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2015-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2015-12-31Yes
Opinion of an independent qualified public accountant for this plan2015-12-31Disclaimer
Accountancy firm name2015-12-31COWAN BOLDUC DOHERTY LLC
Accountancy firm EIN2015-12-31043070916
2014 : NORTHEAST DERMATOLOGY ASSOCIATES 401K PROFIT SHARING PLAN 2014 401k financial data
Total income from all sources2014-12-31$1,782,297
Expenses. Total of all expenses incurred2014-12-31$1,256,125
Benefits paid (including direct rollovers)2014-12-31$1,225,966
Total plan assets at end of year2014-12-31$17,128,936
Total plan assets at beginning of year2014-12-31$16,602,764
Value of fidelity bond covering the plan2014-12-31$500,000
Total contributions received or receivable from participants2014-12-31$416,076
Other income received2014-12-31$986,421
Net income (gross income less expenses)2014-12-31$526,172
Net plan assets at end of year (total assets less liabilities)2014-12-31$17,128,936
Net plan assets at beginning of year (total assets less liabilities)2014-12-31$16,602,764
Assets. Value of participant loans2014-12-31$22,788
Total contributions received or receivable from employer(s)2014-12-31$379,800
Value of corrective distributions2014-12-31$24,759
Expenses. Administrative service providers (salaries,fees and commissions)2014-12-31$5,400
2013 : NORTHEAST DERMATOLOGY ASSOCIATES 401K PROFIT SHARING PLAN 2013 401k financial data
Total income from all sources2013-12-31$2,624,204
Expenses. Total of all expenses incurred2013-12-31$111,402
Benefits paid (including direct rollovers)2013-12-31$107,152
Total plan assets at end of year2013-12-31$16,602,764
Total plan assets at beginning of year2013-12-31$14,089,962
Value of fidelity bond covering the plan2013-12-31$500,000
Total contributions received or receivable from participants2013-12-31$441,070
Other income received2013-12-31$1,807,716
Net income (gross income less expenses)2013-12-31$2,512,802
Net plan assets at end of year (total assets less liabilities)2013-12-31$16,602,764
Net plan assets at beginning of year (total assets less liabilities)2013-12-31$14,089,962
Assets. Value of participant loans2013-12-31$32,199
Total contributions received or receivable from employer(s)2013-12-31$375,418
Expenses. Administrative service providers (salaries,fees and commissions)2013-12-31$4,250
2012 : NORTHEAST DERMATOLOGY ASSOCIATES 401K PROFIT SHARING PLAN 2012 401k financial data
Total income from all sources2012-12-31$2,280,305
Expenses. Total of all expenses incurred2012-12-31$479,632
Benefits paid (including direct rollovers)2012-12-31$477,732
Total plan assets at end of year2012-12-31$14,089,962
Total plan assets at beginning of year2012-12-31$12,289,289
Value of fidelity bond covering the plan2012-12-31$500,000
Total contributions received or receivable from participants2012-12-31$450,126
Expenses. Other expenses not covered elsewhere2012-12-31$1,900
Contributions received from other sources (not participants or employers)2012-12-31$8,000
Other income received2012-12-31$1,410,971
Net income (gross income less expenses)2012-12-31$1,800,673
Net plan assets at end of year (total assets less liabilities)2012-12-31$14,089,962
Net plan assets at beginning of year (total assets less liabilities)2012-12-31$12,289,289
Assets. Value of participant loans2012-12-31$27,857
Total contributions received or receivable from employer(s)2012-12-31$411,208
2011 : NORTHEAST DERMATOLOGY ASSOCIATES 401K PROFIT SHARING PLAN 2011 401k financial data
Total income from all sources2011-12-31$534,943
Expenses. Total of all expenses incurred2011-12-31$112,471
Benefits paid (including direct rollovers)2011-12-31$97,870
Total plan assets at end of year2011-12-31$12,289,289
Total plan assets at beginning of year2011-12-31$11,866,817
Value of fidelity bond covering the plan2011-12-31$500,000
Total contributions received or receivable from participants2011-12-31$452,659
Other income received2011-12-31$-272,060
Net income (gross income less expenses)2011-12-31$422,472
Net plan assets at end of year (total assets less liabilities)2011-12-31$12,289,289
Net plan assets at beginning of year (total assets less liabilities)2011-12-31$11,866,817
Assets. Value of participant loans2011-12-31$27,790
Total contributions received or receivable from employer(s)2011-12-31$354,344
Value of corrective distributions2011-12-31$12,551
Expenses. Administrative service providers (salaries,fees and commissions)2011-12-31$2,050
2010 : NORTHEAST DERMATOLOGY ASSOCIATES 401K PROFIT SHARING PLAN 2010 401k financial data
Total income from all sources2010-12-31$2,131,012
Expenses. Total of all expenses incurred2010-12-31$131,016
Benefits paid (including direct rollovers)2010-12-31$129,941
Total plan assets at end of year2010-12-31$11,866,817
Total plan assets at beginning of year2010-12-31$9,866,821
Value of fidelity bond covering the plan2010-12-31$500,000
Total contributions received or receivable from participants2010-12-31$375,178
Expenses. Other expenses not covered elsewhere2010-12-31$1,075
Contributions received from other sources (not participants or employers)2010-12-31$5,658
Other income received2010-12-31$1,408,513
Net income (gross income less expenses)2010-12-31$1,999,996
Net plan assets at end of year (total assets less liabilities)2010-12-31$11,866,817
Net plan assets at beginning of year (total assets less liabilities)2010-12-31$9,866,821
Assets. Value of participant loans2010-12-31$8,048
Total contributions received or receivable from employer(s)2010-12-31$341,663

Form 5500 Responses for NORTHEAST DERMATOLOGY ASSOCIATES 401K PROFIT SHARING PLAN

2019: NORTHEAST DERMATOLOGY ASSOCIATES 401K 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: NORTHEAST DERMATOLOGY ASSOCIATES 401K 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 – InsuranceYes
2018-01-01Plan funding arrangement – TrustYes
2018-01-01Plan benefit arrangement – InsuranceYes
2018-01-01Plan benefit arrangement - TrustYes
2017: NORTHEAST DERMATOLOGY ASSOCIATES 401K PROFIT SHARING PLAN 2017 form 5500 responses
2017-01-01Type of plan entitySingle employer plan
2017-01-01Submission has been amendedNo
2017-01-01This submission is the final filingNo
2017-01-01This return/report is a short plan year return/report (less than 12 months)No
2017-01-01Plan is a collectively bargained planNo
2017-01-01Plan funding arrangement – InsuranceYes
2017-01-01Plan funding arrangement – TrustYes
2017-01-01Plan benefit arrangement – InsuranceYes
2017-01-01Plan benefit arrangement - TrustYes
2016: NORTHEAST DERMATOLOGY ASSOCIATES 401K PROFIT SHARING PLAN 2016 form 5500 responses
2016-01-01Type of plan entitySingle employer plan
2016-01-01Submission has been amendedNo
2016-01-01This submission is the final filingNo
2016-01-01This return/report is a short plan year return/report (less than 12 months)No
2016-01-01Plan is a collectively bargained planNo
2016-01-01Plan funding arrangement – InsuranceYes
2016-01-01Plan funding arrangement – TrustYes
2016-01-01Plan benefit arrangement – InsuranceYes
2016-01-01Plan benefit arrangement - TrustYes
2015: NORTHEAST DERMATOLOGY ASSOCIATES 401K PROFIT SHARING PLAN 2015 form 5500 responses
2015-01-01Type of plan entitySingle employer plan
2015-01-01Submission has been amendedNo
2015-01-01This submission is the final filingNo
2015-01-01This return/report is a short plan year return/report (less than 12 months)No
2015-01-01Plan is a collectively bargained planNo
2015-01-01Plan funding arrangement – InsuranceYes
2015-01-01Plan funding arrangement – TrustYes
2015-01-01Plan benefit arrangement – InsuranceYes
2015-01-01Plan benefit arrangement - TrustYes
2014: NORTHEAST DERMATOLOGY ASSOCIATES 401K PROFIT SHARING PLAN 2014 form 5500 responses
2014-01-01Type of plan entitySingle employer plan
2014-01-01Submission has been amendedNo
2014-01-01This submission is the final filingNo
2014-01-01This return/report is a short plan year return/report (less than 12 months)No
2014-01-01Plan is a collectively bargained planNo
2014-01-01Plan funding arrangement – InsuranceYes
2014-01-01Plan funding arrangement – TrustYes
2014-01-01Plan benefit arrangement – InsuranceYes
2014-01-01Plan benefit arrangement - TrustYes
2013: NORTHEAST DERMATOLOGY ASSOCIATES 401K PROFIT SHARING PLAN 2013 form 5500 responses
2013-01-01Type of plan entitySingle employer plan
2013-01-01Submission has been amendedYes
2013-01-01This submission is the final filingNo
2013-01-01This return/report is a short plan year return/report (less than 12 months)No
2013-01-01Plan is a collectively bargained planNo
2013-01-01Plan funding arrangement – InsuranceYes
2013-01-01Plan funding arrangement – TrustYes
2013-01-01Plan benefit arrangement – InsuranceYes
2013-01-01Plan benefit arrangement - TrustYes
2012: NORTHEAST DERMATOLOGY ASSOCIATES 401K 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 – InsuranceYes
2012-01-01Plan funding arrangement – TrustYes
2012-01-01Plan benefit arrangement – InsuranceYes
2012-01-01Plan benefit arrangement - TrustYes
2011: NORTHEAST DERMATOLOGY ASSOCIATES 401K 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 – InsuranceYes
2011-01-01Plan funding arrangement – TrustYes
2011-01-01Plan benefit arrangement – InsuranceYes
2011-01-01Plan benefit arrangement - TrustYes
2009: NORTHEAST DERMATOLOGY ASSOCIATES 401K 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 – InsuranceYes
2009-01-01Plan funding arrangement – TrustYes
2009-01-01Plan benefit arrangement – InsuranceYes
2009-01-01Plan benefit arrangement - TrustYes

Insurance Providers Used on plan

VOYA RETIRIEMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 86509 )
Policy contract numberZH9052
Policy instance 1
Insurance contract or identification numberZH9052
Number of Individuals Covered4
Insurance policy start date2019-01-01
Insurance policy end date2019-12-31
Total amount of commissions paid to insurance brokerUSD $7,438
Total amount of fees paid to insurance companyUSD $0
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?Yes
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
Commission paid to Insurance BrokerUSD $7,438
Insurance broker organization code?3
VOYA RETIRIEMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 86509 )
Policy contract numberZH9052
Policy instance 1
Insurance contract or identification numberZH9052
Number of Individuals Covered191
Insurance policy start date2018-01-01
Insurance policy end date2018-12-31
Total amount of commissions paid to insurance brokerUSD $43,314
Total amount of fees paid to insurance companyUSD $0
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?Yes
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
Commission paid to Insurance BrokerUSD $43,314
Insurance broker organization code?3
VOYA RETIRIEMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 86509 )
Policy contract numberZH9052
Policy instance 1
Insurance contract or identification numberZH9052
Number of Individuals Covered154
Insurance policy start date2017-01-01
Insurance policy end date2017-12-31
Total amount of commissions paid to insurance brokerUSD $45,485
Total amount of fees paid to insurance companyUSD $0
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?Yes
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
Commission paid to Insurance BrokerUSD $45,485
Insurance broker organization code?3
Insurance broker nameNORTHWESTERN MUTUAL INVESTMENT SERV
VOYA RETIRIEMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 86509 )
Policy contract numberZH9052
Policy instance 1
Insurance contract or identification numberZH9052
Number of Individuals Covered113
Insurance policy start date2015-01-01
Insurance policy end date2015-12-31
Total amount of commissions paid to insurance brokerUSD $40,299
Total amount of fees paid to insurance companyUSD $0
Are there contracts with allocated funds for individual policies?No
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating 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?Yes
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
Commission paid to Insurance BrokerUSD $40,299
Insurance broker organization code?3
Insurance broker nameNORTHWESTERN MUTUAL INVESTMENT SERV
VOYA RETIRIEMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 86509 )
Policy contract numberZH9052
Policy instance 1
Insurance contract or identification numberZH9052
Number of Individuals Covered120
Insurance policy start date2014-01-01
Insurance policy end date2014-12-31
Total amount of commissions paid to insurance brokerUSD $39,458
Total amount of fees paid to insurance companyUSD $0
Are there contracts with allocated funds for individual policies?No
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating 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?Yes
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
Commission paid to Insurance BrokerUSD $39,458
Insurance broker organization code?3
Insurance broker nameNORTHWESTERN MUTUAL INVESTMENT SERV
VOYA RETIRIEMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 86509 )
Policy contract numberZH9052
Policy instance 1
Insurance contract or identification numberZH9052
Number of Individuals Covered97
Insurance policy start date2013-01-01
Insurance policy end date2013-12-31
Total amount of commissions paid to insurance brokerUSD $44,588
Total amount of fees paid to insurance companyUSD $0
Are there contracts with allocated funds for individual policies?No
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating 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?Yes
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
Commission paid to Insurance BrokerUSD $44,588
Insurance broker organization code?3
Insurance broker nameNORTHWESTERN MUTUAL INVESTMENT SERV
VOYA RETIRIEMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 86509 )
Policy contract numberZH9052
Policy instance 1
Insurance contract or identification numberZH9052
Insurance policy start date2012-01-01
Insurance policy end date2012-12-31
Total amount of commissions paid to insurance brokerUSD $42,927
Total amount of fees paid to insurance companyUSD $0
Are there contracts with allocated funds for individual policies?No
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating 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?Yes
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
Commission paid to Insurance BrokerUSD $42,927
Amount paid for insurance broker fees0
Insurance broker organization code?3
Insurance broker nameNORTHWESTERN MUTUAL INVESTMENT SERV
VOYA RETIRIEMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 86509 )
Policy contract numberZH9052
Policy instance 1
Insurance contract or identification numberZH9052
Number of Individuals Covered100
Insurance policy start date2011-01-01
Insurance policy end date2011-12-31
Total amount of commissions paid to insurance brokerUSD $41,075
Total amount of fees paid to insurance companyUSD $0
Are there contracts with allocated funds for individual policies?No
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating 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?Yes
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
VOYA RETIRIEMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 86509 )
Policy contract numberZH9052
Policy instance 1
Insurance contract or identification numberZH9052
Number of Individuals Covered91
Insurance policy start date2010-01-01
Insurance policy end date2010-12-31
Total amount of commissions paid to insurance brokerUSD $39,610
Total amount of fees paid to insurance companyUSD $0
Are there contracts with allocated funds for individual policies?No
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating 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?Yes
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
Commission paid to Insurance BrokerUSD $39,610
Insurance broker organization code?3
Insurance broker nameNORTHWESTERN MUTUAL INVESTMENT SERV

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