401k Plan data: BERMAN BLAKE ASSOCIATES 401(K) RETIREMENT PLAN plan

BERMAN BLAKE ASSOCIATES 401(K) RETIREMENT PLAN 401k Plan overview

Plan Name	BERMAN BLAKE ASSOCIATES 401(K) RETIREMENT PLAN
Plan identification number	001

BERMAN BLAKE ASSOCIATES 401(K) RETIREMENT PLAN Benefits

401k Plan Type

Defined Contribution Pension

Plan Features/Benefits

Profit-sharing
ERISA section 404(c) Plan - This plan, or any part of it is intended to meet the conditions of 29 CFR 2550.404c-1.
Total participant-directed account plan - Participants have the opportunity to direct the investment of all the assets allocated to their individual accounts, regardless of whether 29 CFR 2550.404c-1 is intended to be met.
Code section 401(k) feature - A cash or deferred arrangement described in Code section 401(k) that is part of a qualified defined contribution plan that provides for an election by employees to defer part of their compensation or receive these amounts in cash.
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.
Plan sponsor(s) is (are) a member(s) of a controlled group (Code sections 414(b), (c), or (m)).

401k Sponsoring company profile

BERMAN BLAKE ASSOCIATES, INC. has sponsored the creation of one or more 401k plans.

Company Name: BERMAN BLAKE ASSOCIATES, INC.

Employer identification number (EIN): 112277035

NAIC Classification: 561490

Form 5500 Filing Information

Submission information for form 5500 for 401k plan BERMAN BLAKE ASSOCIATES 401(K) RETIREMENT PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2019-01-01
001 2018-01-01
001 2017-01-01 HAROLD BALDAUF HAROLD BALDAUF 2018-10-10
001 2016-01-01 HAROLD BALDAUF HAROLD BALDAUF 2017-10-12
001 2015-01-01 HAROLD BALDAUF HAROLD BALDAUF 2016-10-06
001 2014-01-01 HAROLD BALDAUF HAROLD BALDAUF 2015-10-15
001 2013-01-01 HAROLD BALDAUF HAROLD BALDAUF 2014-10-09
001 2012-01-01 HAROLD BALDAUF HAROLD BALDAUF 2013-10-04
001 2011-01-01 HAROLD BALDAUF HAROLD BALDAUF 2012-10-10
001 2010-01-01 HAROLD BALDAUF HAROLD BALDAUF 2011-09-26
001 2009-01-01 HAROLD BALDAUF HAROLD BALDAUF 2010-09-27

Plan id#	Filing Submission Date	Name of Administrator	Name of Company Sponsor	Date Sponsor Signed
001	2019-01-01
001	2018-01-01
001	2017-01-01	HAROLD BALDAUF	HAROLD BALDAUF	2018-10-10
001	2016-01-01	HAROLD BALDAUF	HAROLD BALDAUF	2017-10-12
001	2015-01-01	HAROLD BALDAUF	HAROLD BALDAUF	2016-10-06
001	2014-01-01	HAROLD BALDAUF	HAROLD BALDAUF	2015-10-15
001	2013-01-01	HAROLD BALDAUF	HAROLD BALDAUF	2014-10-09
001	2012-01-01	HAROLD BALDAUF	HAROLD BALDAUF	2013-10-04
001	2011-01-01	HAROLD BALDAUF	HAROLD BALDAUF	2012-10-10
001	2010-01-01	HAROLD BALDAUF	HAROLD BALDAUF	2011-09-26
001	2009-01-01	HAROLD BALDAUF	HAROLD BALDAUF	2010-09-27

Plan Statistics for BERMAN BLAKE ASSOCIATES 401(K) RETIREMENT PLAN

401k plan membership statisitcs for BERMAN BLAKE ASSOCIATES 401(K) RETIREMENT PLAN

Measure Date Value
2019: BERMAN BLAKE ASSOCIATES 401(K) RETIREMENT PLAN 2019 401k membership
Total participants, beginning-of-year 2019-01-01 65
Total number of active participants reported on line 7a of the Form 5500 2019-01-01 0
Number of retired or separated participants receiving benefits 2019-01-01 0
Number of other retired or separated participants entitled to future benefits 2019-01-01 0
Total of all active and inactive participants 2019-01-01 0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2019-01-01 0
Total participants 2019-01-01 0
Number of participants with account balances 2019-01-01 0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2019-01-01 0
2018: BERMAN BLAKE ASSOCIATES 401(K) RETIREMENT PLAN 2018 401k membership
Total participants, beginning-of-year 2018-01-01 66
Total number of active participants reported on line 7a of the Form 5500 2018-01-01 57
Number of retired or separated participants receiving benefits 2018-01-01 0
Number of other retired or separated participants entitled to future benefits 2018-01-01 8
Total of all active and inactive participants 2018-01-01 65
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2018-01-01 0
Total participants 2018-01-01 65
Number of participants with account balances 2018-01-01 39
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2018-01-01 0
2017: BERMAN BLAKE ASSOCIATES 401(K) RETIREMENT PLAN 2017 401k membership
Total participants, beginning-of-year 2017-01-01 77
Total number of active participants reported on line 7a of the Form 5500 2017-01-01 58
Number of retired or separated participants receiving benefits 2017-01-01 0
Number of other retired or separated participants entitled to future benefits 2017-01-01 8
Total of all active and inactive participants 2017-01-01 66
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2017-01-01 0
Total participants 2017-01-01 66
Number of participants with account balances 2017-01-01 38
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2017-01-01 0
2016: BERMAN BLAKE ASSOCIATES 401(K) RETIREMENT PLAN 2016 401k membership
Total participants, beginning-of-year 2016-01-01 70
Total number of active participants reported on line 7a of the Form 5500 2016-01-01 71
Number of retired or separated participants receiving benefits 2016-01-01 0
Number of other retired or separated participants entitled to future benefits 2016-01-01 6
Total of all active and inactive participants 2016-01-01 77
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2016-01-01 0
Total participants 2016-01-01 77
Number of participants with account balances 2016-01-01 37
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2016-01-01 0
2015: BERMAN BLAKE ASSOCIATES 401(K) RETIREMENT PLAN 2015 401k membership
Total participants, beginning-of-year 2015-01-01 60
Total number of active participants reported on line 7a of the Form 5500 2015-01-01 60
Number of retired or separated participants receiving benefits 2015-01-01 0
Number of other retired or separated participants entitled to future benefits 2015-01-01 8
Total of all active and inactive participants 2015-01-01 68
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2015-01-01 0
Total participants 2015-01-01 68
Number of participants with account balances 2015-01-01 36
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2015-01-01 0
2014: BERMAN BLAKE ASSOCIATES 401(K) RETIREMENT PLAN 2014 401k membership
Total participants, beginning-of-year 2014-01-01 67
Total number of active participants reported on line 7a of the Form 5500 2014-01-01 52
Number of retired or separated participants receiving benefits 2014-01-01 0
Number of other retired or separated participants entitled to future benefits 2014-01-01 8
Total of all active and inactive participants 2014-01-01 60
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2014-01-01 0
Total participants 2014-01-01 60
Number of participants with account balances 2014-01-01 36
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2014-01-01 0
2013: BERMAN BLAKE ASSOCIATES 401(K) RETIREMENT PLAN 2013 401k membership
Total participants, beginning-of-year 2013-01-01 62
Total number of active participants reported on line 7a of the Form 5500 2013-01-01 56
Number of retired or separated participants receiving benefits 2013-01-01 0
Number of other retired or separated participants entitled to future benefits 2013-01-01 11
Total of all active and inactive participants 2013-01-01 67
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2013-01-01 0
Total participants 2013-01-01 67
Number of participants with account balances 2013-01-01 40
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2013-01-01 0
2012: BERMAN BLAKE ASSOCIATES 401(K) RETIREMENT PLAN 2012 401k membership
Total participants, beginning-of-year 2012-01-01 66
Total number of active participants reported on line 7a of the Form 5500 2012-01-01 51
Number of retired or separated participants receiving benefits 2012-01-01 0
Number of other retired or separated participants entitled to future benefits 2012-01-01 11
Total of all active and inactive participants 2012-01-01 62
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2012-01-01 0
Total participants 2012-01-01 62
Number of participants with account balances 2012-01-01 41
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2012-01-01 0
2011: BERMAN BLAKE ASSOCIATES 401(K) RETIREMENT PLAN 2011 401k membership
Total participants, beginning-of-year 2011-01-01 71
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 57
Number of retired or separated participants receiving benefits 2011-01-01 0
Number of other retired or separated participants entitled to future benefits 2011-01-01 10
Total of all active and inactive participants 2011-01-01 67
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-01-01 0
Total participants 2011-01-01 67
Number of participants with account balances 2011-01-01 45
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-01-01 0
2010: BERMAN BLAKE ASSOCIATES 401(K) RETIREMENT PLAN 2010 401k membership
Total participants, beginning-of-year 2010-01-01 78
Total number of active participants reported on line 7a of the Form 5500 2010-01-01 63
Number of retired or separated participants receiving benefits 2010-01-01 0
Number of other retired or separated participants entitled to future benefits 2010-01-01 8
Total of all active and inactive participants 2010-01-01 71
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2010-01-01 0
Total participants 2010-01-01 71
Number of participants with account balances 2010-01-01 46
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2010-01-01 0
2009: BERMAN BLAKE ASSOCIATES 401(K) RETIREMENT PLAN 2009 401k membership
Total participants, beginning-of-year 2009-01-01 51
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 72
Number of retired or separated participants receiving benefits 2009-01-01 0
Number of other retired or separated participants entitled to future benefits 2009-01-01 6
Total of all active and inactive participants 2009-01-01 78
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-01-01 0
Total participants 2009-01-01 78
Number of participants with account balances 2009-01-01 48
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-01-01 0

Measure	Date	Value
2019: BERMAN BLAKE ASSOCIATES 401(K) RETIREMENT PLAN 2019 401k membership
Total participants, beginning-of-year	2019-01-01	65
Total number of active participants reported on line 7a of the Form 5500	2019-01-01	0
Number of retired or separated participants receiving benefits	2019-01-01	0
Number of other retired or separated participants entitled to future benefits	2019-01-01	0
Total of all active and inactive participants	2019-01-01	0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2019-01-01	0
Total participants	2019-01-01	0
Number of participants with account balances	2019-01-01	0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2019-01-01	0
2018: BERMAN BLAKE ASSOCIATES 401(K) RETIREMENT PLAN 2018 401k membership
Total participants, beginning-of-year	2018-01-01	66
Total number of active participants reported on line 7a of the Form 5500	2018-01-01	57
Number of retired or separated participants receiving benefits	2018-01-01	0
Number of other retired or separated participants entitled to future benefits	2018-01-01	8
Total of all active and inactive participants	2018-01-01	65
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2018-01-01	0
Total participants	2018-01-01	65
Number of participants with account balances	2018-01-01	39
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2018-01-01	0
2017: BERMAN BLAKE ASSOCIATES 401(K) RETIREMENT PLAN 2017 401k membership
Total participants, beginning-of-year	2017-01-01	77
Total number of active participants reported on line 7a of the Form 5500	2017-01-01	58
Number of retired or separated participants receiving benefits	2017-01-01	0
Number of other retired or separated participants entitled to future benefits	2017-01-01	8
Total of all active and inactive participants	2017-01-01	66
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2017-01-01	0
Total participants	2017-01-01	66
Number of participants with account balances	2017-01-01	38
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2017-01-01	0
2016: BERMAN BLAKE ASSOCIATES 401(K) RETIREMENT PLAN 2016 401k membership
Total participants, beginning-of-year	2016-01-01	70
Total number of active participants reported on line 7a of the Form 5500	2016-01-01	71
Number of retired or separated participants receiving benefits	2016-01-01	0
Number of other retired or separated participants entitled to future benefits	2016-01-01	6
Total of all active and inactive participants	2016-01-01	77
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2016-01-01	0
Total participants	2016-01-01	77
Number of participants with account balances	2016-01-01	37
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2016-01-01	0
2015: BERMAN BLAKE ASSOCIATES 401(K) RETIREMENT PLAN 2015 401k membership
Total participants, beginning-of-year	2015-01-01	60
Total number of active participants reported on line 7a of the Form 5500	2015-01-01	60
Number of retired or separated participants receiving benefits	2015-01-01	0
Number of other retired or separated participants entitled to future benefits	2015-01-01	8
Total of all active and inactive participants	2015-01-01	68
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2015-01-01	0
Total participants	2015-01-01	68
Number of participants with account balances	2015-01-01	36
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2015-01-01	0
2014: BERMAN BLAKE ASSOCIATES 401(K) RETIREMENT PLAN 2014 401k membership
Total participants, beginning-of-year	2014-01-01	67
Total number of active participants reported on line 7a of the Form 5500	2014-01-01	52
Number of retired or separated participants receiving benefits	2014-01-01	0
Number of other retired or separated participants entitled to future benefits	2014-01-01	8
Total of all active and inactive participants	2014-01-01	60
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2014-01-01	0
Total participants	2014-01-01	60
Number of participants with account balances	2014-01-01	36
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2014-01-01	0
2013: BERMAN BLAKE ASSOCIATES 401(K) RETIREMENT PLAN 2013 401k membership
Total participants, beginning-of-year	2013-01-01	62
Total number of active participants reported on line 7a of the Form 5500	2013-01-01	56
Number of retired or separated participants receiving benefits	2013-01-01	0
Number of other retired or separated participants entitled to future benefits	2013-01-01	11
Total of all active and inactive participants	2013-01-01	67
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2013-01-01	0
Total participants	2013-01-01	67
Number of participants with account balances	2013-01-01	40
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2013-01-01	0
2012: BERMAN BLAKE ASSOCIATES 401(K) RETIREMENT PLAN 2012 401k membership
Total participants, beginning-of-year	2012-01-01	66
Total number of active participants reported on line 7a of the Form 5500	2012-01-01	51
Number of retired or separated participants receiving benefits	2012-01-01	0
Number of other retired or separated participants entitled to future benefits	2012-01-01	11
Total of all active and inactive participants	2012-01-01	62
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2012-01-01	0
Total participants	2012-01-01	62
Number of participants with account balances	2012-01-01	41
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2012-01-01	0
2011: BERMAN BLAKE ASSOCIATES 401(K) RETIREMENT PLAN 2011 401k membership
Total participants, beginning-of-year	2011-01-01	71
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	57
Number of retired or separated participants receiving benefits	2011-01-01	0
Number of other retired or separated participants entitled to future benefits	2011-01-01	10
Total of all active and inactive participants	2011-01-01	67
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-01-01	0
Total participants	2011-01-01	67
Number of participants with account balances	2011-01-01	45
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-01-01	0
2010: BERMAN BLAKE ASSOCIATES 401(K) RETIREMENT PLAN 2010 401k membership
Total participants, beginning-of-year	2010-01-01	78
Total number of active participants reported on line 7a of the Form 5500	2010-01-01	63
Number of retired or separated participants receiving benefits	2010-01-01	0
Number of other retired or separated participants entitled to future benefits	2010-01-01	8
Total of all active and inactive participants	2010-01-01	71
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2010-01-01	0
Total participants	2010-01-01	71
Number of participants with account balances	2010-01-01	46
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2010-01-01	0
2009: BERMAN BLAKE ASSOCIATES 401(K) RETIREMENT PLAN 2009 401k membership
Total participants, beginning-of-year	2009-01-01	51
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	72
Number of retired or separated participants receiving benefits	2009-01-01	0
Number of other retired or separated participants entitled to future benefits	2009-01-01	6
Total of all active and inactive participants	2009-01-01	78
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-01-01	0
Total participants	2009-01-01	78
Number of participants with account balances	2009-01-01	48
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-01-01	0

Financial Data on BERMAN BLAKE ASSOCIATES 401(K) RETIREMENT PLAN

Measure	Date	Value
2019 : BERMAN BLAKE ASSOCIATES 401(K) RETIREMENT PLAN 2019 401k financial data
Transfers to/from the plan	2019-12-11	$0
Total income from all sources	2019-12-11	$477,016
Expenses. Total of all expenses incurred	2019-12-11	$3,941,176
Benefits paid (including direct rollovers)	2019-12-11	$3,906,260
Total plan assets at end of year	2019-12-11	$0
Total plan assets at beginning of year	2019-12-11	$3,464,160
Value of fidelity bond covering the plan	2019-12-11	$500,000
Total contributions received or receivable from participants	2019-12-11	$40,028
Other income received	2019-12-11	$436,988
Net income (gross income less expenses)	2019-12-11	$-3,464,160
Net plan assets at end of year (total assets less liabilities)	2019-12-11	$0
Net plan assets at beginning of year (total assets less liabilities)	2019-12-11	$3,464,160
Assets. Value of participant loans	2019-12-11	$0
Value of corrective distributions	2019-12-11	$22,642
Expenses. Administrative service providers (salaries,fees and commissions)	2019-12-11	$12,274
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2019-12-11	$0
2018 : BERMAN BLAKE ASSOCIATES 401(K) RETIREMENT PLAN 2018 401k financial data
Total income from all sources	2018-12-31	$-19,263
Expenses. Total of all expenses incurred	2018-12-31	$17,525
Benefits paid (including direct rollovers)	2018-12-31	$2,347
Total plan assets at end of year	2018-12-31	$3,464,160
Total plan assets at beginning of year	2018-12-31	$3,500,948
Value of fidelity bond covering the plan	2018-12-31	$500,000
Total contributions received or receivable from participants	2018-12-31	$195,640
Contributions received from other sources (not participants or employers)	2018-12-31	$5,932
Other income received	2018-12-31	$-220,835
Net income (gross income less expenses)	2018-12-31	$-36,788
Net plan assets at end of year (total assets less liabilities)	2018-12-31	$3,464,160
Net plan assets at beginning of year (total assets less liabilities)	2018-12-31	$3,500,948
Assets. Value of participant loans	2018-12-31	$3,594
Value of certain deemed distributions of participant loans	2018-12-31	$-2
Value of corrective distributions	2018-12-31	$3,510
Expenses. Administrative service providers (salaries,fees and commissions)	2018-12-31	$11,670
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2018-12-31	$0
2017 : BERMAN BLAKE ASSOCIATES 401(K) RETIREMENT PLAN 2017 401k financial data
Total income from all sources	2017-12-31	$622,748
Expenses. Total of all expenses incurred	2017-12-31	$11,967
Benefits paid (including direct rollovers)	2017-12-31	$2,008
Total plan assets at end of year	2017-12-31	$3,500,948
Total plan assets at beginning of year	2017-12-31	$2,890,167
Value of fidelity bond covering the plan	2017-12-31	$500,000
Total contributions received or receivable from participants	2017-12-31	$146,755
Other income received	2017-12-31	$475,993
Net income (gross income less expenses)	2017-12-31	$610,781
Net plan assets at end of year (total assets less liabilities)	2017-12-31	$3,500,948
Net plan assets at beginning of year (total assets less liabilities)	2017-12-31	$2,890,167
Assets. Value of participant loans	2017-12-31	$25,172
Value of certain deemed distributions of participant loans	2017-12-31	$2
Expenses. Administrative service providers (salaries,fees and commissions)	2017-12-31	$9,957
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2017-12-31	$0
2016 : BERMAN BLAKE ASSOCIATES 401(K) RETIREMENT PLAN 2016 401k financial data
Total income from all sources	2016-12-31	$290,664
Expenses. Total of all expenses incurred	2016-12-31	$247,211
Benefits paid (including direct rollovers)	2016-12-31	$236,799
Total plan assets at end of year	2016-12-31	$2,890,167
Total plan assets at beginning of year	2016-12-31	$2,846,714
Value of fidelity bond covering the plan	2016-12-31	$500,000
Total contributions received or receivable from participants	2016-12-31	$126,623
Other income received	2016-12-31	$164,041
Net income (gross income less expenses)	2016-12-31	$43,453
Net plan assets at end of year (total assets less liabilities)	2016-12-31	$2,890,167
Net plan assets at beginning of year (total assets less liabilities)	2016-12-31	$2,846,714
Assets. Value of participant loans	2016-12-31	$40,277
Value of corrective distributions	2016-12-31	$1,050
Expenses. Administrative service providers (salaries,fees and commissions)	2016-12-31	$9,362
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2016-12-31	$0
2015 : BERMAN BLAKE ASSOCIATES 401(K) RETIREMENT PLAN 2015 401k financial data
Total income from all sources	2015-12-31	$117,138
Expenses. Total of all expenses incurred	2015-12-31	$122,430
Benefits paid (including direct rollovers)	2015-12-31	$113,770
Total plan assets at end of year	2015-12-31	$2,846,714
Total plan assets at beginning of year	2015-12-31	$2,852,006
Value of fidelity bond covering the plan	2015-12-31	$500,000
Total contributions received or receivable from participants	2015-12-31	$118,635
Other income received	2015-12-31	$-1,497
Net income (gross income less expenses)	2015-12-31	$-5,292
Net plan assets at end of year (total assets less liabilities)	2015-12-31	$2,846,714
Net plan assets at beginning of year (total assets less liabilities)	2015-12-31	$2,852,006
Assets. Value of participant loans	2015-12-31	$27,373
Value of corrective distributions	2015-12-31	$3,454
Expenses. Administrative service providers (salaries,fees and commissions)	2015-12-31	$5,206
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2015-12-31	$0
2014 : BERMAN BLAKE ASSOCIATES 401(K) RETIREMENT PLAN 2014 401k financial data
Total income from all sources	2014-12-31	$257,496
Expenses. Total of all expenses incurred	2014-12-31	$84,854
Benefits paid (including direct rollovers)	2014-12-31	$76,397
Total plan assets at end of year	2014-12-31	$2,852,006
Total plan assets at beginning of year	2014-12-31	$2,679,364
Value of fidelity bond covering the plan	2014-12-31	$500,000
Total contributions received or receivable from participants	2014-12-31	$110,740
Other income received	2014-12-31	$146,756
Net income (gross income less expenses)	2014-12-31	$172,642
Net plan assets at end of year (total assets less liabilities)	2014-12-31	$2,852,006
Net plan assets at beginning of year (total assets less liabilities)	2014-12-31	$2,679,364
Assets. Value of participant loans	2014-12-31	$99,085
Expenses. Administrative service providers (salaries,fees and commissions)	2014-12-31	$8,457
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2014-12-31	$0
2013 : BERMAN BLAKE ASSOCIATES 401(K) RETIREMENT PLAN 2013 401k financial data
Total income from all sources	2013-12-31	$518,428
Expenses. Total of all expenses incurred	2013-12-31	$84,354
Benefits paid (including direct rollovers)	2013-12-31	$83,754
Total plan assets at end of year	2013-12-31	$2,679,364
Total plan assets at beginning of year	2013-12-31	$2,245,290
Value of fidelity bond covering the plan	2013-12-31	$1,000,000
Total contributions received or receivable from participants	2013-12-31	$112,294
Expenses. Other expenses not covered elsewhere	2013-12-31	$600
Other income received	2013-12-31	$406,134
Net income (gross income less expenses)	2013-12-31	$434,074
Net plan assets at end of year (total assets less liabilities)	2013-12-31	$2,679,364
Net plan assets at beginning of year (total assets less liabilities)	2013-12-31	$2,245,290
Assets. Value of participant loans	2013-12-31	$93,772
2012 : BERMAN BLAKE ASSOCIATES 401(K) RETIREMENT PLAN 2012 401k financial data
Total income from all sources	2012-12-31	$349,413
Expenses. Total of all expenses incurred	2012-12-31	$245,955
Benefits paid (including direct rollovers)	2012-12-31	$245,180
Total plan assets at end of year	2012-12-31	$2,245,290
Total plan assets at beginning of year	2012-12-31	$2,141,832
Value of fidelity bond covering the plan	2012-12-31	$1,000,000
Total contributions received or receivable from participants	2012-12-31	$114,383
Expenses. Other expenses not covered elsewhere	2012-12-31	$775
Other income received	2012-12-31	$235,030
Net income (gross income less expenses)	2012-12-31	$103,458
Net plan assets at end of year (total assets less liabilities)	2012-12-31	$2,245,290
Net plan assets at beginning of year (total assets less liabilities)	2012-12-31	$2,141,832
Assets. Value of participant loans	2012-12-31	$99,470
2011 : BERMAN BLAKE ASSOCIATES 401(K) RETIREMENT PLAN 2011 401k financial data
Total income from all sources	2011-12-31	$97,593
Expenses. Total of all expenses incurred	2011-12-31	$249,641
Benefits paid (including direct rollovers)	2011-12-31	$248,816
Total plan assets at end of year	2011-12-31	$2,141,832
Total plan assets at beginning of year	2011-12-31	$2,293,880
Value of fidelity bond covering the plan	2011-12-31	$1,000,000
Total contributions received or receivable from participants	2011-12-31	$147,471
Expenses. Other expenses not covered elsewhere	2011-12-31	$825
Other income received	2011-12-31	$-49,878
Net income (gross income less expenses)	2011-12-31	$-152,048
Net plan assets at end of year (total assets less liabilities)	2011-12-31	$2,141,832
Net plan assets at beginning of year (total assets less liabilities)	2011-12-31	$2,293,880
Assets. Value of participant loans	2011-12-31	$90,677
2010 : BERMAN BLAKE ASSOCIATES 401(K) RETIREMENT PLAN 2010 401k financial data
Total income from all sources	2010-12-31	$444,981
Expenses. Total of all expenses incurred	2010-12-31	$279,237
Benefits paid (including direct rollovers)	2010-12-31	$278,587
Total plan assets at end of year	2010-12-31	$2,293,880
Total plan assets at beginning of year	2010-12-31	$2,128,136
Value of fidelity bond covering the plan	2010-12-31	$1,000,000
Total contributions received or receivable from participants	2010-12-31	$159,846
Expenses. Other expenses not covered elsewhere	2010-12-31	$650
Contributions received from other sources (not participants or employers)	2010-12-31	$41,796
Other income received	2010-12-31	$243,339
Net income (gross income less expenses)	2010-12-31	$165,744
Net plan assets at end of year (total assets less liabilities)	2010-12-31	$2,293,880
Net plan assets at beginning of year (total assets less liabilities)	2010-12-31	$2,128,136
Assets. Value of participant loans	2010-12-31	$91,388

Form 5500 Responses for BERMAN BLAKE ASSOCIATES 401(K) RETIREMENT PLAN

2019: BERMAN BLAKE ASSOCIATES 401(K) RETIREMENT PLAN 2019 form 5500 responses
2019-01-01	Type of plan entity	Single employer plan
2019-01-01	Submission has been amended	No
2019-01-01	This submission is the final filing	Yes
2019-01-01	This return/report is a short plan year return/report (less than 12 months)	Yes
2019-01-01	Plan is a collectively bargained plan	No
2019-01-01	Plan funding arrangement – Insurance	Yes
2019-01-01	Plan funding arrangement – Trust	Yes
2019-01-01	Plan benefit arrangement – Insurance	Yes
2019-01-01	Plan benefit arrangement - Trust	Yes
2018: BERMAN BLAKE ASSOCIATES 401(K) RETIREMENT PLAN 2018 form 5500 responses
2018-01-01	Type of plan entity	Single employer plan
2018-01-01	Submission has been amended	No
2018-01-01	This submission is the final filing	No
2018-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2018-01-01	Plan is a collectively bargained plan	No
2018-01-01	Plan funding arrangement – Insurance	Yes
2018-01-01	Plan funding arrangement – Trust	Yes
2018-01-01	Plan benefit arrangement – Insurance	Yes
2018-01-01	Plan benefit arrangement - Trust	Yes
2017: BERMAN BLAKE ASSOCIATES 401(K) RETIREMENT PLAN 2017 form 5500 responses
2017-01-01	Type of plan entity	Single employer plan
2017-01-01	Submission has been amended	No
2017-01-01	This submission is the final filing	No
2017-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2017-01-01	Plan is a collectively bargained plan	No
2017-01-01	Plan funding arrangement – Insurance	Yes
2017-01-01	Plan funding arrangement – Trust	Yes
2017-01-01	Plan benefit arrangement – Insurance	Yes
2017-01-01	Plan benefit arrangement - Trust	Yes
2016: BERMAN BLAKE ASSOCIATES 401(K) RETIREMENT PLAN 2016 form 5500 responses
2016-01-01	Type of plan entity	Single employer plan
2016-01-01	Submission has been amended	No
2016-01-01	This submission is the final filing	No
2016-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2016-01-01	Plan is a collectively bargained plan	No
2016-01-01	Plan funding arrangement – Insurance	Yes
2016-01-01	Plan funding arrangement – Trust	Yes
2016-01-01	Plan benefit arrangement – Insurance	Yes
2016-01-01	Plan benefit arrangement - Trust	Yes
2015: BERMAN BLAKE ASSOCIATES 401(K) RETIREMENT PLAN 2015 form 5500 responses
2015-01-01	Type of plan entity	Single employer plan
2015-01-01	Submission has been amended	No
2015-01-01	This submission is the final filing	No
2015-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2015-01-01	Plan is a collectively bargained plan	No
2015-01-01	Plan funding arrangement – Insurance	Yes
2015-01-01	Plan funding arrangement – Trust	Yes
2015-01-01	Plan benefit arrangement – Insurance	Yes
2015-01-01	Plan benefit arrangement - Trust	Yes
2014: BERMAN BLAKE ASSOCIATES 401(K) RETIREMENT PLAN 2014 form 5500 responses
2014-01-01	Type of plan entity	Single employer plan
2014-01-01	Submission has been amended	No
2014-01-01	This submission is the final filing	No
2014-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2014-01-01	Plan is a collectively bargained plan	No
2014-01-01	Plan funding arrangement – Insurance	Yes
2014-01-01	Plan funding arrangement – Trust	Yes
2014-01-01	Plan benefit arrangement – Insurance	Yes
2014-01-01	Plan benefit arrangement - Trust	Yes
2013: BERMAN BLAKE ASSOCIATES 401(K) RETIREMENT PLAN 2013 form 5500 responses
2013-01-01	Type of plan entity	Single employer plan
2013-01-01	Submission has been amended	No
2013-01-01	This submission is the final filing	No
2013-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2013-01-01	Plan is a collectively bargained plan	No
2013-01-01	Plan funding arrangement – Trust	Yes
2013-01-01	Plan benefit arrangement - Trust	Yes
2012: BERMAN BLAKE ASSOCIATES 401(K) RETIREMENT PLAN 2012 form 5500 responses
2012-01-01	Type of plan entity	Single employer plan
2012-01-01	Submission has been amended	No
2012-01-01	This submission is the final filing	No
2012-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2012-01-01	Plan is a collectively bargained plan	No
2012-01-01	Plan funding arrangement – Trust	Yes
2012-01-01	Plan benefit arrangement - Trust	Yes
2011: BERMAN BLAKE ASSOCIATES 401(K) RETIREMENT PLAN 2011 form 5500 responses
2011-01-01	Type of plan entity	Single employer plan
2011-01-01	Submission has been amended	No
2011-01-01	This submission is the final filing	No
2011-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2011-01-01	Plan is a collectively bargained plan	No
2011-01-01	Plan funding arrangement – Trust	Yes
2011-01-01	Plan benefit arrangement - Trust	Yes
2010: BERMAN BLAKE ASSOCIATES 401(K) RETIREMENT PLAN 2010 form 5500 responses
2010-01-01	Type of plan entity	Single employer plan
2010-01-01	Submission has been amended	No
2010-01-01	This submission is the final filing	No
2010-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2010-01-01	Plan is a collectively bargained plan	No
2010-01-01	Plan funding arrangement – Trust	Yes
2010-01-01	Plan benefit arrangement - Trust	Yes
2009: BERMAN BLAKE ASSOCIATES 401(K) RETIREMENT PLAN 2009 form 5500 responses
2009-01-01	Type of plan entity	Single employer plan
2009-01-01	Submission has been amended	No
2009-01-01	This submission is the final filing	No
2009-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2009-01-01	Plan is a collectively bargained plan	No
2009-01-01	Plan funding arrangement – Trust	Yes
2009-01-01	Plan benefit arrangement - Trust	Yes

Insurance Providers Used on plan

PRUDENTIAL RETIREMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 93629 )

Policy contract number

074243

Policy instance

Insurance contract or identification number	074243
Number of Individuals Covered	0
Insurance policy start date	2019-01-01
Insurance policy end date	2019-12-11
Total amount of commissions paid to insurance broker	USD $0
Total amount of fees paid to insurance company	USD $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 plan	No
Contracts With Unallocated Funds Deposit Administration	0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?	No
Are there contracts with unallocated funds for contracts of type guaranteed investment?	No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	Yes
Health Insurance Welfare Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
Were dividends or retroactive rate refunds paid in cash?	No
Were dividends or retroactive rate refunds paid as a credit?	No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No

PRUDENTIAL RETIREMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 93629 )

Policy contract number

074243

Policy instance

Insurance contract or identification number	074243
Number of Individuals Covered	65
Insurance policy start date	2018-01-01
Insurance policy end date	2018-12-31
Total amount of commissions paid to insurance broker	USD $0
Total amount of fees paid to insurance company	USD $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 plan	No
Contracts With Unallocated Funds Deposit Administration	0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?	No
Are there contracts with unallocated funds for contracts of type guaranteed investment?	No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	Yes
Health Insurance Welfare Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
Were dividends or retroactive rate refunds paid in cash?	No
Were dividends or retroactive rate refunds paid as a credit?	No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No

PRUDENTIAL RETIREMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 93629 )

Policy contract number

074243

Policy instance

Insurance contract or identification number	074243
Number of Individuals Covered	66
Insurance policy start date	2017-01-01
Insurance policy end date	2017-12-31
Total amount of commissions paid to insurance broker	USD $0
Total amount of fees paid to insurance company	USD $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 plan	No
Contracts With Unallocated Funds Deposit Administration	0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?	No
Are there contracts with unallocated funds for contracts of type guaranteed investment?	No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	Yes
Health Insurance Welfare Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
Were dividends or retroactive rate refunds paid in cash?	No
Were dividends or retroactive rate refunds paid as a credit?	No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No

PRUDENTIAL RETIREMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 93629 )

Policy contract number

074243

Policy instance

Insurance contract or identification number	074243
Number of Individuals Covered	68
Insurance policy start date	2015-01-01
Insurance policy end date	2015-12-31
Total amount of commissions paid to insurance broker	USD $0
Total amount of fees paid to insurance company	USD $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 plan	No
Contracts With Unallocated Funds Deposit Administration	0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?	No
Are there contracts with unallocated funds for contracts of type guaranteed investment?	No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	Yes
Health Insurance Welfare Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
Were dividends or retroactive rate refunds paid in cash?	No
Were dividends or retroactive rate refunds paid as a credit?	No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No

PRUDENTIAL RETIREMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 93629 )

Policy contract number

074243

Policy instance

Insurance contract or identification number	074243
Number of Individuals Covered	60
Insurance policy start date	2014-07-09
Insurance policy end date	2014-12-31
Total amount of commissions paid to insurance broker	USD $0
Total amount of fees paid to insurance company	USD $3,040
Are there contracts with allocated funds for individual policies?	No
Are there contracts with allocated funds for group deferred annuity?	No
Are there contracts with allocated funds for types other than group deferred annuity or individual?	No
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Contracts With Unallocated Funds Deposit Administration	0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?	No
Are there contracts with unallocated funds for contracts of type guaranteed investment?	No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	Yes
Health Insurance Welfare Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
Were dividends or retroactive rate refunds paid in cash?	No
Were dividends or retroactive rate refunds paid as a credit?	No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No
Amount paid for insurance broker fees	3040
Additional information about fees paid to insurance broker	SERVICES TO INSURER OR PLAN
Insurance broker organization code?	4
Insurance broker name	MORGAN STANLEY SMITH BARNEY LLC

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Company Name:	BERMAN BLAKE ASSOCIATES, INC.
Employer identification number (EIN):	112277035
NAIC Classification:	561490