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ROTHSCHILD & CO NORTH AMERICA, INC. 401(K) AND PROFIT SHARING PLAN 401k Plan overview

Plan NameROTHSCHILD & CO NORTH AMERICA, INC. 401(K) AND PROFIT SHARING PLAN
Plan identification number 002

ROTHSCHILD & CO NORTH AMERICA, INC. 401(K) AND 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.
  • Plan provides for automatic enrollment in plan that has employee contributions deducted from payroll.
  • 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

ROTHSCHILD & CO. NORTH AMERICA INC. has sponsored the creation of one or more 401k plans.

Company Name:ROTHSCHILD & CO. NORTH AMERICA INC.
Employer identification number (EIN):133438524
NAIC Classification:523900

Form 5500 Filing Information

Submission information for form 5500 for 401k plan ROTHSCHILD & CO NORTH AMERICA, INC. 401(K) AND PROFIT SHARING PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator SignedName of Company SponsorDate Sponsor Signed
0022022-01-01
0022022-01-01
0022021-01-01
0022020-01-01
0022019-01-01
0022018-01-01
0022017-01-01JOHN CARROLL
0022016-01-01JOHN CARROLL
0022015-01-01JOHN CARROLL
0022014-01-01JESSICA HANMER
0022013-01-01JESSICA HANMER
0022012-01-01JESSICA HANMER
0022011-01-01BETH ADAMSON
0022009-01-01BETH ADAMSON

Plan Statistics for ROTHSCHILD & CO NORTH AMERICA, INC. 401(K) AND PROFIT SHARING PLAN

401k plan membership statisitcs for ROTHSCHILD & CO NORTH AMERICA, INC. 401(K) AND PROFIT SHARING PLAN

Measure Date Value
2022: ROTHSCHILD & CO NORTH AMERICA, INC. 401(K) AND PROFIT SHARING PLAN 2022 401k membership
Total participants, beginning-of-year2022-01-01650
Total number of active participants reported on line 7a of the Form 55002022-01-01432
Number of retired or separated participants receiving benefits2022-01-010
Number of other retired or separated participants entitled to future benefits2022-01-01300
Total of all active and inactive participants2022-01-01732
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2022-01-011
Total participants2022-01-01733
Number of participants with account balances2022-01-01694
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2022-01-010
2021: ROTHSCHILD & CO NORTH AMERICA, INC. 401(K) AND PROFIT SHARING PLAN 2021 401k membership
Total participants, beginning-of-year2021-01-01643
Total number of active participants reported on line 7a of the Form 55002021-01-01378
Number of retired or separated participants receiving benefits2021-01-010
Number of other retired or separated participants entitled to future benefits2021-01-01271
Total of all active and inactive participants2021-01-01649
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2021-01-011
Total participants2021-01-01650
Number of participants with account balances2021-01-01607
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2021-01-010
2020: ROTHSCHILD & CO NORTH AMERICA, INC. 401(K) AND PROFIT SHARING PLAN 2020 401k membership
Total participants, beginning-of-year2020-01-01675
Total number of active participants reported on line 7a of the Form 55002020-01-01386
Number of retired or separated participants receiving benefits2020-01-010
Number of other retired or separated participants entitled to future benefits2020-01-01257
Total of all active and inactive participants2020-01-01643
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2020-01-010
Total participants2020-01-01643
Number of participants with account balances2020-01-01585
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2020-01-013
2019: ROTHSCHILD & CO NORTH AMERICA, INC. 401(K) AND PROFIT SHARING PLAN 2019 401k membership
Total participants, beginning-of-year2019-01-01594
Total number of active participants reported on line 7a of the Form 55002019-01-01415
Number of retired or separated participants receiving benefits2019-01-010
Number of other retired or separated participants entitled to future benefits2019-01-01260
Total of all active and inactive participants2019-01-01675
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2019-01-010
Total participants2019-01-01675
Number of participants with account balances2019-01-01563
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2019-01-010
2018: ROTHSCHILD & CO NORTH AMERICA, INC. 401(K) AND PROFIT SHARING PLAN 2018 401k membership
Total participants, beginning-of-year2018-01-01576
Total number of active participants reported on line 7a of the Form 55002018-01-01309
Number of retired or separated participants receiving benefits2018-01-010
Number of other retired or separated participants entitled to future benefits2018-01-01285
Total of all active and inactive participants2018-01-01594
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2018-01-010
Total participants2018-01-01594
Number of participants with account balances2018-01-01580
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2018-01-0138
2017: ROTHSCHILD & CO NORTH AMERICA, INC. 401(K) AND PROFIT SHARING PLAN 2017 401k membership
Total participants, beginning-of-year2017-01-01558
Total number of active participants reported on line 7a of the Form 55002017-01-01298
Number of retired or separated participants receiving benefits2017-01-010
Number of other retired or separated participants entitled to future benefits2017-01-01278
Total of all active and inactive participants2017-01-01576
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2017-01-010
Total participants2017-01-01576
Number of participants with account balances2017-01-01560
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2017-01-0145
2016: ROTHSCHILD & CO NORTH AMERICA, INC. 401(K) AND PROFIT SHARING PLAN 2016 401k membership
Total participants, beginning-of-year2016-01-01490
Total number of active participants reported on line 7a of the Form 55002016-01-01266
Number of retired or separated participants receiving benefits2016-01-010
Number of other retired or separated participants entitled to future benefits2016-01-01279
Total of all active and inactive participants2016-01-01545
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2016-01-010
Total participants2016-01-01545
Number of participants with account balances2016-01-01526
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2016-01-0141
2015: ROTHSCHILD & CO NORTH AMERICA, INC. 401(K) AND PROFIT SHARING PLAN 2015 401k membership
Total participants, beginning-of-year2015-01-01476
Total number of active participants reported on line 7a of the Form 55002015-01-01232
Number of retired or separated participants receiving benefits2015-01-010
Number of other retired or separated participants entitled to future benefits2015-01-01258
Total of all active and inactive participants2015-01-01490
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2015-01-010
Total participants2015-01-01490
Number of participants with account balances2015-01-01476
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2015-01-0136
2014: ROTHSCHILD & CO NORTH AMERICA, INC. 401(K) AND PROFIT SHARING PLAN 2014 401k membership
Total participants, beginning-of-year2014-01-01447
Total number of active participants reported on line 7a of the Form 55002014-01-01206
Number of retired or separated participants receiving benefits2014-01-010
Number of other retired or separated participants entitled to future benefits2014-01-01259
Total of all active and inactive participants2014-01-01465
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2014-01-010
Total participants2014-01-01465
Number of participants with account balances2014-01-01448
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2014-01-0136
2013: ROTHSCHILD & CO NORTH AMERICA, INC. 401(K) AND PROFIT SHARING PLAN 2013 401k membership
Total participants, beginning-of-year2013-01-01439
Total number of active participants reported on line 7a of the Form 55002013-01-01199
Number of retired or separated participants receiving benefits2013-01-010
Number of other retired or separated participants entitled to future benefits2013-01-01248
Total of all active and inactive participants2013-01-01447
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2013-01-010
Total participants2013-01-01447
Number of participants with account balances2013-01-01425
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2013-01-0137
2012: ROTHSCHILD & CO NORTH AMERICA, INC. 401(K) AND PROFIT SHARING PLAN 2012 401k membership
Total participants, beginning-of-year2012-01-01445
Total number of active participants reported on line 7a of the Form 55002012-01-01206
Number of retired or separated participants receiving benefits2012-01-010
Number of other retired or separated participants entitled to future benefits2012-01-01233
Total of all active and inactive participants2012-01-01439
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2012-01-010
Total participants2012-01-01439
Number of participants with account balances2012-01-01435
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2012-01-0135
2011: ROTHSCHILD & CO NORTH AMERICA, INC. 401(K) AND PROFIT SHARING PLAN 2011 401k membership
Total participants, beginning-of-year2011-01-01453
Total number of active participants reported on line 7a of the Form 55002011-01-01223
Number of retired or separated participants receiving benefits2011-01-010
Number of other retired or separated participants entitled to future benefits2011-01-01222
Total of all active and inactive participants2011-01-01445
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2011-01-010
Total participants2011-01-01445
Number of participants with account balances2011-01-01434
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2011-01-0127
2009: ROTHSCHILD & CO NORTH AMERICA, INC. 401(K) AND PROFIT SHARING PLAN 2009 401k membership
Total participants, beginning-of-year2009-01-01463
Total number of active participants reported on line 7a of the Form 55002009-01-01225
Number of retired or separated participants receiving benefits2009-01-010
Number of other retired or separated participants entitled to future benefits2009-01-01206
Total of all active and inactive participants2009-01-01431
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2009-01-011
Total participants2009-01-01432
Number of participants with account balances2009-01-01415
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2009-01-0162

Financial Data on ROTHSCHILD & CO NORTH AMERICA, INC. 401(K) AND PROFIT SHARING PLAN

Measure Date Value
2022 : ROTHSCHILD & CO NORTH AMERICA, INC. 401(K) AND PROFIT SHARING PLAN 2022 401k financial data
Total unrealized appreciation/depreciation of assets2022-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2022-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2022-12-31$0
Total income from all sources (including contributions)2022-12-31$-8,767,418
Total loss/gain on sale of assets2022-12-31$0
Total of all expenses incurred2022-12-31$5,775,536
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2022-12-31$5,705,911
Value of total corrective distributions2022-12-31$618
Total contributions o plan (from employers,participants, others, non cash contrinutions)2022-12-31$11,305,093
Value of total assets at end of year2022-12-31$105,913,967
Value of total assets at beginning of year2022-12-31$120,456,921
Total of administrative expenses incurred including professional, contract, advisory and management fees2022-12-31$69,007
Total interest from all sources2022-12-31$10,239
Total dividends received (eg from common stock, registered investment company shares)2022-12-31$3,318,038
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2022-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2022-12-31$3,318,038
Was this plan covered by a fidelity bond2022-12-31Yes
Value of fidelity bond cover2022-12-31$5,000,000
If this is an individual account plan, was there a blackout period2022-12-31No
Were there any nonexempt tranactions with any party-in-interest2022-12-31No
Contributions received from participants2022-12-31$6,920,971
Participant contributions at end of year2022-12-31$285,381
Participant contributions at beginning of year2022-12-31$158,197
Assets. Other investments not covered elsewhere at end of year2022-12-31$5,661,465
Assets. Other investments not covered elsewhere at beginning of year2022-12-31$7,130,597
Income. Received or receivable in cash from other sources (including rollovers)2022-12-31$1,218,782
Other income not declared elsewhere2022-12-31$-945,161
Administrative expenses (other) incurred2022-12-31$10,171
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2022-12-31No
Value of net income/loss2022-12-31$-14,542,954
Value of net assets at end of year (total assets less liabilities)2022-12-31$105,913,967
Value of net assets at beginning of year (total assets less liabilities)2022-12-31$120,456,921
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2022-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2022-12-31No
Were any leases to which the plan was party in default or uncollectible2022-12-31No
Assets. partnership/joint venture interests at end of year2022-12-31$1,823
Assets. partnership/joint venture interests at beginning of year2022-12-31$3,058
Investment advisory and management fees2022-12-31$58,836
Value of interest in registered invesment companies (eg mutual funds) at end of year2022-12-31$91,159,965
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2022-12-31$104,761,602
Value of interest in pooled separate accounts at end of year2022-12-31$8,184,195
Value of interest in pooled separate accounts at beginning of year2022-12-31$7,860,440
Interest on participant loans2022-12-31$10,239
Net investment gain/loss from registered investment companies (e.g. mutual funds)2022-12-31$-22,618,168
Net investment gain/loss from pooled separate accounts2022-12-31$162,541
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2022-12-31No
Was there a failure to transmit to the plan any participant contributions2022-12-31No
Has the plan failed to provide any benefit when due under the plan2022-12-31No
Contributions received in cash from employer2022-12-31$3,165,340
Employer contributions (assets) at end of year2022-12-31$621,138
Employer contributions (assets) at beginning of year2022-12-31$543,027
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2022-12-31$5,705,911
Did the plan have assets held for investment2022-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2022-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2022-12-31No
Opinion of an independent qualified public accountant for this plan2022-12-31Disclaimer
Accountancy firm name2022-12-31NOVAK FRANCELLA
Accountancy firm EIN2022-12-31611436956
2021 : ROTHSCHILD & CO NORTH AMERICA, INC. 401(K) AND PROFIT SHARING PLAN 2021 401k financial data
Total unrealized appreciation/depreciation of assets2021-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2021-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2021-12-31$0
Total income from all sources (including contributions)2021-12-31$29,180,052
Total loss/gain on sale of assets2021-12-31$0
Total of all expenses incurred2021-12-31$8,607,457
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2021-12-31$8,520,892
Value of total corrective distributions2021-12-31$27,097
Total contributions o plan (from employers,participants, others, non cash contrinutions)2021-12-31$10,638,308
Value of total assets at end of year2021-12-31$120,456,921
Value of total assets at beginning of year2021-12-31$99,884,326
Total of administrative expenses incurred including professional, contract, advisory and management fees2021-12-31$59,468
Total interest from all sources2021-12-31$10,682
Total dividends received (eg from common stock, registered investment company shares)2021-12-31$6,417,870
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2021-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2021-12-31$6,417,870
Was this plan covered by a fidelity bond2021-12-31Yes
Value of fidelity bond cover2021-12-31$5,000,000
If this is an individual account plan, was there a blackout period2021-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2021-12-31$0
Were there any nonexempt tranactions with any party-in-interest2021-12-31No
Contributions received from participants2021-12-31$6,271,693
Participant contributions at end of year2021-12-31$158,197
Participant contributions at beginning of year2021-12-31$273,635
Assets. Other investments not covered elsewhere at end of year2021-12-31$7,130,597
Assets. Other investments not covered elsewhere at beginning of year2021-12-31$5,243,743
Income. Received or receivable in cash from other sources (including rollovers)2021-12-31$1,150,127
Other income not declared elsewhere2021-12-31$718,794
Administrative expenses (other) incurred2021-12-31$7,150
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2021-12-31No
Value of net income/loss2021-12-31$20,572,595
Value of net assets at end of year (total assets less liabilities)2021-12-31$120,456,921
Value of net assets at beginning of year (total assets less liabilities)2021-12-31$99,884,326
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2021-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2021-12-31No
Were any leases to which the plan was party in default or uncollectible2021-12-31No
Assets. partnership/joint venture interests at end of year2021-12-31$3,058
Assets. partnership/joint venture interests at beginning of year2021-12-31$1,945
Investment advisory and management fees2021-12-31$52,318
Value of interest in registered invesment companies (eg mutual funds) at end of year2021-12-31$104,761,602
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2021-12-31$86,057,763
Value of interest in pooled separate accounts at end of year2021-12-31$7,860,440
Value of interest in pooled separate accounts at beginning of year2021-12-31$8,307,240
Interest on participant loans2021-12-31$10,682
Net investment gain/loss from registered investment companies (e.g. mutual funds)2021-12-31$11,232,269
Net investment gain/loss from pooled separate accounts2021-12-31$162,129
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2021-12-31No
Was there a failure to transmit to the plan any participant contributions2021-12-31No
Has the plan failed to provide any benefit when due under the plan2021-12-31No
Contributions received in cash from employer2021-12-31$3,216,488
Employer contributions (assets) at end of year2021-12-31$543,027
Employer contributions (assets) at beginning of year2021-12-31$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2021-12-31$8,520,892
Did the plan have assets held for investment2021-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2021-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2021-12-31No
Opinion of an independent qualified public accountant for this plan2021-12-31Disclaimer
Accountancy firm name2021-12-31NOVAK FRANCELLA
Accountancy firm EIN2021-12-31611436956
2020 : ROTHSCHILD & CO NORTH AMERICA, INC. 401(K) AND PROFIT SHARING PLAN 2020 401k financial data
Total unrealized appreciation/depreciation of assets2020-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2020-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2020-12-31$0
Total income from all sources (including contributions)2020-12-31$21,895,401
Total loss/gain on sale of assets2020-12-31$0
Total of all expenses incurred2020-12-31$9,005,974
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2020-12-31$8,954,780
Value of total corrective distributions2020-12-31$2,385
Total contributions o plan (from employers,participants, others, non cash contrinutions)2020-12-31$7,887,659
Value of total assets at end of year2020-12-31$99,884,326
Value of total assets at beginning of year2020-12-31$86,994,899
Total of administrative expenses incurred including professional, contract, advisory and management fees2020-12-31$48,809
Total interest from all sources2020-12-31$15,550
Total dividends received (eg from common stock, registered investment company shares)2020-12-31$2,688,053
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2020-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2020-12-31$2,688,053
Was this plan covered by a fidelity bond2020-12-31Yes
Value of fidelity bond cover2020-12-31$5,000,000
If this is an individual account plan, was there a blackout period2020-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2020-12-31$0
Were there any nonexempt tranactions with any party-in-interest2020-12-31No
Contributions received from participants2020-12-31$4,816,695
Participant contributions at end of year2020-12-31$273,635
Participant contributions at beginning of year2020-12-31$351,472
Assets. Other investments not covered elsewhere at end of year2020-12-31$5,243,743
Assets. Other investments not covered elsewhere at beginning of year2020-12-31$2,506,740
Income. Received or receivable in cash from other sources (including rollovers)2020-12-31$566,641
Other income not declared elsewhere2020-12-31$608,562
Administrative expenses (other) incurred2020-12-31$4,941
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2020-12-31No
Value of net income/loss2020-12-31$12,889,427
Value of net assets at end of year (total assets less liabilities)2020-12-31$99,884,326
Value of net assets at beginning of year (total assets less liabilities)2020-12-31$86,994,899
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2020-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2020-12-31No
Were any leases to which the plan was party in default or uncollectible2020-12-31No
Assets. partnership/joint venture interests at end of year2020-12-31$1,945
Assets. partnership/joint venture interests at beginning of year2020-12-31$0
Investment advisory and management fees2020-12-31$43,868
Value of interest in registered invesment companies (eg mutual funds) at end of year2020-12-31$86,057,763
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2020-12-31$75,457,295
Value of interest in pooled separate accounts at end of year2020-12-31$8,307,240
Value of interest in pooled separate accounts at beginning of year2020-12-31$8,679,392
Interest on participant loans2020-12-31$15,550
Net investment gain/loss from registered investment companies (e.g. mutual funds)2020-12-31$10,505,154
Net investment gain/loss from pooled separate accounts2020-12-31$190,423
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2020-12-31No
Was there a failure to transmit to the plan any participant contributions2020-12-31No
Has the plan failed to provide any benefit when due under the plan2020-12-31No
Contributions received in cash from employer2020-12-31$2,504,323
Employer contributions (assets) at end of year2020-12-31$0
Employer contributions (assets) at beginning of year2020-12-31$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2020-12-31$8,954,780
Did the plan have assets held for investment2020-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2020-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2020-12-31No
Opinion of an independent qualified public accountant for this plan2020-12-31Disclaimer
Accountancy firm name2020-12-31NOVAK FRANCELLA
Accountancy firm EIN2020-12-31611436956
2019 : ROTHSCHILD & CO NORTH AMERICA, INC. 401(K) AND PROFIT SHARING PLAN 2019 401k financial data
Total unrealized appreciation/depreciation of assets2019-12-31$0
Total unrealized appreciation/depreciation of assets2019-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2019-12-31$0
Total liabilities at 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 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$24,220,287
Total income from all sources (including contributions)2019-12-31$24,220,287
Total loss/gain on sale of assets2019-12-31$0
Total loss/gain on sale of assets2019-12-31$0
Total of all expenses incurred2019-12-31$9,544,626
Total of all expenses incurred2019-12-31$9,544,626
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2019-12-31$9,512,054
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2019-12-31$9,512,054
Total contributions o plan (from employers,participants, others, non cash contrinutions)2019-12-31$7,836,417
Total contributions o plan (from employers,participants, others, non cash contrinutions)2019-12-31$7,836,417
Value of total assets at end of year2019-12-31$86,994,899
Value of total assets at end of year2019-12-31$86,994,899
Value of total assets at beginning of year2019-12-31$72,319,238
Value of total assets at beginning of year2019-12-31$72,319,238
Total of administrative expenses incurred including professional, contract, advisory and management fees2019-12-31$32,572
Total of administrative expenses incurred including professional, contract, advisory and management fees2019-12-31$32,572
Total interest from all sources2019-12-31$14,109
Total interest from all sources2019-12-31$14,109
Total dividends received (eg from common stock, registered investment company shares)2019-12-31$2,837,299
Total dividends received (eg from common stock, registered investment company shares)2019-12-31$2,837,299
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2019-12-31No
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2019-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2019-12-31$2,837,299
Total dividends received from registered investment company shares (eg mutual funds)2019-12-31$2,837,299
Administrative expenses professional fees incurred2019-12-31$12,676
Administrative expenses professional fees incurred2019-12-31$12,676
Was this plan covered by a fidelity bond2019-12-31Yes
Was this plan covered by a fidelity bond2019-12-31Yes
Value of fidelity bond cover2019-12-31$5,000,000
Value of fidelity bond cover2019-12-31$5,000,000
If this is an individual account plan, was there a blackout period2019-12-31No
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
Were there any nonexempt tranactions with any party-in-interest2019-12-31No
Contributions received from participants2019-12-31$4,313,022
Contributions received from participants2019-12-31$4,313,022
Participant contributions at end of year2019-12-31$351,472
Participant contributions at end of year2019-12-31$351,472
Participant contributions at beginning of year2019-12-31$416,484
Participant contributions at beginning of year2019-12-31$416,484
Assets. Other investments not covered elsewhere at end of year2019-12-31$2,506,740
Assets. Other investments not covered elsewhere at end of year2019-12-31$2,506,740
Assets. Other investments not covered elsewhere at beginning of year2019-12-31$1,303,248
Assets. Other investments not covered elsewhere at beginning of year2019-12-31$1,303,248
Income. Received or receivable in cash from other sources (including rollovers)2019-12-31$1,216,674
Income. Received or receivable in cash from other sources (including rollovers)2019-12-31$1,216,674
Other income not declared elsewhere2019-12-31$226,274
Other income not declared elsewhere2019-12-31$226,274
Administrative expenses (other) incurred2019-12-31$419
Administrative expenses (other) incurred2019-12-31$419
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
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$14,675,661
Value of net income/loss2019-12-31$14,675,661
Value of net assets at end of year (total assets less liabilities)2019-12-31$86,994,899
Value of net assets at end of year (total assets less liabilities)2019-12-31$86,994,899
Value of net assets at beginning of year (total assets less liabilities)2019-12-31$72,319,238
Value of net assets at beginning of year (total assets less liabilities)2019-12-31$72,319,238
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2019-12-31No
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 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
Were any leases to which the plan was party in default or uncollectible2019-12-31No
Investment advisory and management fees2019-12-31$19,477
Investment advisory and management fees2019-12-31$19,477
Value of interest in registered invesment companies (eg mutual funds) at end of year2019-12-31$75,457,295
Value of interest in registered invesment companies (eg mutual funds) at end of year2019-12-31$75,457,295
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2019-12-31$60,780,256
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2019-12-31$60,780,256
Value of interest in pooled separate accounts at end of year2019-12-31$8,679,392
Value of interest in pooled separate accounts at end of year2019-12-31$8,679,392
Value of interest in pooled separate accounts at beginning of year2019-12-31$0
Value of interest in pooled separate accounts at beginning of year2019-12-31$0
Interest on participant loans2019-12-31$14,109
Interest on participant loans2019-12-31$14,109
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2019-12-31$0
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2019-12-31$0
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2019-12-31$9,819,250
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2019-12-31$9,819,250
Net investment gain/loss from registered investment companies (e.g. mutual funds)2019-12-31$13,170,799
Net investment gain/loss from registered investment companies (e.g. mutual funds)2019-12-31$13,170,799
Net investment gain/loss from pooled separate accounts2019-12-31$135,389
Net investment gain/loss from pooled separate accounts2019-12-31$135,389
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2019-12-31No
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 contributions2019-12-31No
Was there a failure to transmit to the plan any participant contributions2019-12-31No
Has the plan failed to provide any benefit when due under the plan2019-12-31No
Has the plan failed to provide any benefit when due under the plan2019-12-31No
Contributions received in cash from employer2019-12-31$2,306,721
Contributions received in cash from employer2019-12-31$2,306,721
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2019-12-31$9,512,054
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2019-12-31$9,512,054
Did the plan have assets held for investment2019-12-31Yes
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
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
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
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
Opinion of an independent qualified public accountant for this plan2019-12-31Disclaimer
Accountancy firm name2019-12-31NOVAK FRANCELLA
Accountancy firm name2019-12-31NOVAK FRANCELLA
Accountancy firm EIN2019-12-31611436956
Accountancy firm EIN2019-12-31611436956
2018 : ROTHSCHILD & CO NORTH AMERICA, INC. 401(K) AND PROFIT SHARING PLAN 2018 401k financial data
Total unrealized appreciation/depreciation of assets2018-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2018-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2018-12-31$0
Total income from all sources (including contributions)2018-12-31$3,483,584
Total loss/gain on sale of assets2018-12-31$0
Total of all expenses incurred2018-12-31$10,930,963
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2018-12-31$10,886,237
Total contributions o plan (from employers,participants, others, non cash contrinutions)2018-12-31$7,588,250
Value of total assets at end of year2018-12-31$72,319,238
Value of total assets at beginning of year2018-12-31$79,766,617
Total of administrative expenses incurred including professional, contract, advisory and management fees2018-12-31$44,726
Total interest from all sources2018-12-31$21,118
Total dividends received (eg from common stock, registered investment company shares)2018-12-31$983,330
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2018-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2018-12-31$983,330
Was this plan covered by a fidelity bond2018-12-31Yes
Value of fidelity bond cover2018-12-31$5,000,000
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$4,150,022
Participant contributions at end of year2018-12-31$416,484
Participant contributions at beginning of year2018-12-31$334,547
Assets. Other investments not covered elsewhere at end of year2018-12-31$1,303,248
Assets. Other investments not covered elsewhere at beginning of year2018-12-31$1,442,944
Income. Received or receivable in cash from other sources (including rollovers)2018-12-31$1,654,967
Other income not declared elsewhere2018-12-31$97,407
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2018-12-31No
Value of net income/loss2018-12-31$-7,447,379
Value of net assets at end of year (total assets less liabilities)2018-12-31$72,319,238
Value of net assets at beginning of year (total assets less liabilities)2018-12-31$79,766,617
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
Investment advisory and management fees2018-12-31$39,860
Value of interest in registered invesment companies (eg mutual funds) at end of year2018-12-31$60,780,256
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2018-12-31$62,820,292
Interest on participant loans2018-12-31$21,118
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2018-12-31$9,819,250
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2018-12-31$14,951,875
Net investment gain/loss from registered investment companies (e.g. mutual funds)2018-12-31$-5,206,521
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2018-12-31No
Was there a failure to transmit to the plan any participant contributions2018-12-31No
Has the plan failed to provide any benefit when due under the plan2018-12-31No
Contributions received in cash from employer2018-12-31$1,783,261
Employer contributions (assets) at end of year2018-12-31$0
Employer contributions (assets) at beginning of year2018-12-31$216,959
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2018-12-31$10,886,237
Contract administrator fees2018-12-31$4,866
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 name2018-12-31NOVAK FRANCELLA
Accountancy firm EIN2018-12-31611436956
2017 : ROTHSCHILD & CO NORTH AMERICA, INC. 401(K) AND 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$18,313,840
Total loss/gain on sale of assets2017-12-31$0
Total of all expenses incurred2017-12-31$6,689,169
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2017-12-31$6,645,841
Total contributions o plan (from employers,participants, others, non cash contrinutions)2017-12-31$7,020,422
Value of total assets at end of year2017-12-31$79,766,617
Value of total assets at beginning of year2017-12-31$68,141,946
Total of administrative expenses incurred including professional, contract, advisory and management fees2017-12-31$43,328
Total interest from all sources2017-12-31$10,785
Total dividends received (eg from common stock, registered investment company shares)2017-12-31$214,218
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2017-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2017-12-31$214,218
Was this plan covered by a fidelity bond2017-12-31Yes
Value of fidelity bond cover2017-12-31$5,000,000
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$3,660,234
Participant contributions at end of year2017-12-31$334,547
Participant contributions at beginning of year2017-12-31$311,398
Assets. Other investments not covered elsewhere at end of year2017-12-31$1,442,944
Assets. Other investments not covered elsewhere at beginning of year2017-12-31$1,216,582
Income. Received or receivable in cash from other sources (including rollovers)2017-12-31$1,518,626
Other income not declared elsewhere2017-12-31$545,310
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$11,624,671
Value of net assets at end of year (total assets less liabilities)2017-12-31$79,766,617
Value of net assets at beginning of year (total assets less liabilities)2017-12-31$68,141,946
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
Investment advisory and management fees2017-12-31$35,869
Value of interest in registered invesment companies (eg mutual funds) at end of year2017-12-31$62,820,292
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2017-12-31$51,094,899
Interest on participant loans2017-12-31$10,785
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2017-12-31$14,951,875
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2017-12-31$15,335,392
Net investment gain/loss from registered investment companies (e.g. mutual funds)2017-12-31$10,523,105
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 contributions2017-12-31Yes
Has the plan failed to provide any benefit when due under the plan2017-12-31No
Contributions received in cash from employer2017-12-31$1,841,562
Employer contributions (assets) at end of year2017-12-31$216,959
Employer contributions (assets) at beginning of year2017-12-31$183,675
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2017-12-31$6,645,841
Contract administrator fees2017-12-31$7,459
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 name2017-12-31NOVAK FRANCELLA
Accountancy firm EIN2017-12-31611436956
2016 : ROTHSCHILD & CO NORTH AMERICA, INC. 401(K) AND PROFIT SHARING PLAN 2016 401k financial data
Total unrealized appreciation/depreciation of assets2016-12-31$0
Total transfer of assets to this plan2016-12-31$3,479,061
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$9,300,913
Total loss/gain on sale of assets2016-12-31$0
Total of all expenses incurred2016-12-31$2,923,953
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2016-12-31$2,889,233
Value of total corrective distributions2016-12-31$393
Total contributions o plan (from employers,participants, others, non cash contrinutions)2016-12-31$4,936,505
Value of total assets at end of year2016-12-31$68,141,946
Value of total assets at beginning of year2016-12-31$58,285,925
Total of administrative expenses incurred including professional, contract, advisory and management fees2016-12-31$34,327
Total interest from all sources2016-12-31$14,422
Total dividends received (eg from common stock, registered investment company shares)2016-12-31$813,819
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2016-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2016-12-31$813,819
Was this plan covered by a fidelity bond2016-12-31Yes
Value of fidelity bond cover2016-12-31$5,000,000
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$3,148,110
Participant contributions at end of year2016-12-31$311,398
Participant contributions at beginning of year2016-12-31$359,053
Assets. Other investments not covered elsewhere at end of year2016-12-31$1,216,582
Assets. Other investments not covered elsewhere at beginning of year2016-12-31$868,210
Income. Received or receivable in cash from other sources (including rollovers)2016-12-31$145,670
Other income not declared elsewhere2016-12-31$669,776
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$6,376,960
Value of net assets at end of year (total assets less liabilities)2016-12-31$68,141,946
Value of net assets at beginning of year (total assets less liabilities)2016-12-31$58,285,925
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
Investment advisory and management fees2016-12-31$26,073
Value of interest in registered invesment companies (eg mutual funds) at end of year2016-12-31$51,094,899
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2016-12-31$42,508,168
Interest on participant loans2016-12-31$14,422
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2016-12-31$15,335,392
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2016-12-31$14,451,582
Net investment gain/loss from registered investment companies (e.g. mutual funds)2016-12-31$2,866,391
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$1,642,725
Employer contributions (assets) at end of year2016-12-31$183,675
Employer contributions (assets) at beginning of year2016-12-31$98,912
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2016-12-31$2,889,233
Contract administrator fees2016-12-31$8,254
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 name2016-12-31SAX LLP
Accountancy firm EIN2016-12-31812950760
2015 : ROTHSCHILD & CO NORTH AMERICA, INC. 401(K) AND 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$4,353,296
Total loss/gain on sale of assets2015-12-31$0
Total of all expenses incurred2015-12-31$8,139,355
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2015-12-31$8,103,202
Total contributions o plan (from employers,participants, others, non cash contrinutions)2015-12-31$4,326,612
Value of total assets at end of year2015-12-31$58,285,925
Value of total assets at beginning of year2015-12-31$62,071,984
Total of administrative expenses incurred including professional, contract, advisory and management fees2015-12-31$36,153
Total interest from all sources2015-12-31$16,793
Total dividends received (eg from common stock, registered investment company shares)2015-12-31$592,289
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2015-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2015-12-31$592,289
Was this plan covered by a fidelity bond2015-12-31Yes
Value of fidelity bond cover2015-12-31$5,000,000
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$2,536,358
Participant contributions at end of year2015-12-31$359,053
Participant contributions at beginning of year2015-12-31$312,066
Assets. Other investments not covered elsewhere at end of year2015-12-31$868,210
Assets. Other investments not covered elsewhere at beginning of year2015-12-31$738,964
Income. Received or receivable in cash from other sources (including rollovers)2015-12-31$458,102
Other income not declared elsewhere2015-12-31$333,585
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2015-12-31No
Value of net income/loss2015-12-31$-3,786,059
Value of net assets at end of year (total assets less liabilities)2015-12-31$58,285,925
Value of net assets at beginning of year (total assets less liabilities)2015-12-31$62,071,984
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
Investment advisory and management fees2015-12-31$173
Value of interest in registered invesment companies (eg mutual funds) at end of year2015-12-31$42,508,168
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2015-12-31$44,079,603
Interest on participant loans2015-12-31$16,793
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2015-12-31$14,451,582
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2015-12-31$16,827,650
Net investment gain/loss from registered investment companies (e.g. mutual funds)2015-12-31$-915,983
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$1,332,152
Employer contributions (assets) at end of year2015-12-31$98,912
Employer contributions (assets) at beginning of year2015-12-31$113,701
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2015-12-31$8,103,202
Contract administrator fees2015-12-31$35,980
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 name2015-12-31SAX LLP
Accountancy firm EIN2015-12-31812950760
2014 : ROTHSCHILD & CO NORTH AMERICA, INC. 401(K) AND PROFIT SHARING PLAN 2014 401k financial data
Total unrealized appreciation/depreciation of assets2014-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2014-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2014-12-31$0
Total income from all sources (including contributions)2014-12-31$7,148,001
Total loss/gain on sale of assets2014-12-31$0
Total of all expenses incurred2014-12-31$2,726,241
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2014-12-31$2,695,667
Total contributions o plan (from employers,participants, others, non cash contrinutions)2014-12-31$4,055,886
Value of total assets at end of year2014-12-31$62,071,984
Value of total assets at beginning of year2014-12-31$57,650,224
Total of administrative expenses incurred including professional, contract, advisory and management fees2014-12-31$30,574
Total interest from all sources2014-12-31$10,934
Total dividends received (eg from common stock, registered investment company shares)2014-12-31$728,776
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2014-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2014-12-31$728,776
Was this plan covered by a fidelity bond2014-12-31Yes
Value of fidelity bond cover2014-12-31$5,000,000
If this is an individual account plan, was there a blackout period2014-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2014-12-31$0
Were there any nonexempt tranactions with any party-in-interest2014-12-31No
Contributions received from participants2014-12-31$2,336,106
Participant contributions at end of year2014-12-31$312,066
Participant contributions at beginning of year2014-12-31$216,041
Assets. Other investments not covered elsewhere at end of year2014-12-31$738,964
Assets. Other investments not covered elsewhere at beginning of year2014-12-31$604,078
Income. Received or receivable in cash from other sources (including rollovers)2014-12-31$545,504
Other income not declared elsewhere2014-12-31$385,916
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2014-12-31No
Value of net income/loss2014-12-31$4,421,760
Value of net assets at end of year (total assets less liabilities)2014-12-31$62,071,984
Value of net assets at beginning of year (total assets less liabilities)2014-12-31$57,650,224
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2014-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2014-12-31No
Were any leases to which the plan was party in default or uncollectible2014-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2014-12-31$44,079,603
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2014-12-31$40,507,333
Interest on participant loans2014-12-31$10,934
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2014-12-31$16,827,650
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2014-12-31$15,760,862
Net investment gain/loss from registered investment companies (e.g. mutual funds)2014-12-31$1,966,489
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2014-12-31No
Was there a failure to transmit to the plan any participant contributions2014-12-31No
Has the plan failed to provide any benefit when due under the plan2014-12-31No
Contributions received in cash from employer2014-12-31$1,174,276
Employer contributions (assets) at end of year2014-12-31$113,701
Employer contributions (assets) at beginning of year2014-12-31$561,910
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2014-12-31$2,695,667
Contract administrator fees2014-12-31$30,574
Did the plan have assets held for investment2014-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2014-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2014-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2014-12-31Yes
Opinion of an independent qualified public accountant for this plan2014-12-31Disclaimer
Accountancy firm name2014-12-31BOLLAM, SHEEDY, TORANI & CO, LLP
Accountancy firm EIN2014-12-31141442607
2013 : ROTHSCHILD & CO NORTH AMERICA, INC. 401(K) AND PROFIT SHARING PLAN 2013 401k financial data
Total unrealized appreciation/depreciation of assets2013-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2013-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2013-12-31$0
Total income from all sources (including contributions)2013-12-31$11,376,098
Total loss/gain on sale of assets2013-12-31$0
Total of all expenses incurred2013-12-31$3,177,902
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2013-12-31$3,169,586
Total contributions o plan (from employers,participants, others, non cash contrinutions)2013-12-31$4,163,993
Value of total assets at end of year2013-12-31$57,650,224
Value of total assets at beginning of year2013-12-31$49,452,028
Total of administrative expenses incurred including professional, contract, advisory and management fees2013-12-31$8,316
Total interest from all sources2013-12-31$301,260
Total dividends received (eg from common stock, registered investment company shares)2013-12-31$524,100
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2013-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2013-12-31$524,100
Was this plan covered by a fidelity bond2013-12-31Yes
Value of fidelity bond cover2013-12-31$10,000,000
If this is an individual account plan, was there a blackout period2013-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2013-12-31$0
Were there any nonexempt tranactions with any party-in-interest2013-12-31No
Contributions received from participants2013-12-31$2,350,767
Participant contributions at end of year2013-12-31$216,041
Participant contributions at beginning of year2013-12-31$292,789
Assets. Other investments not covered elsewhere at end of year2013-12-31$604,078
Assets. Other investments not covered elsewhere at beginning of year2013-12-31$470,193
Income. Received or receivable in cash from other sources (including rollovers)2013-12-31$205,918
Other income not declared elsewhere2013-12-31$35,622
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2013-12-31No
Value of net income/loss2013-12-31$8,198,196
Value of net assets at end of year (total assets less liabilities)2013-12-31$57,650,224
Value of net assets at beginning of year (total assets less liabilities)2013-12-31$49,452,028
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2013-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2013-12-31No
Were any leases to which the plan was party in default or uncollectible2013-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2013-12-31$40,507,333
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2013-12-31$32,152,639
Interest on participant loans2013-12-31$11,165
Interest earned on other investments2013-12-31$290,095
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2013-12-31$15,760,862
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2013-12-31$15,742,758
Net investment gain/loss from registered investment companies (e.g. mutual funds)2013-12-31$6,351,123
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2013-12-31No
Was there a failure to transmit to the plan any participant contributions2013-12-31No
Has the plan failed to provide any benefit when due under the plan2013-12-31No
Contributions received in cash from employer2013-12-31$1,607,308
Employer contributions (assets) at end of year2013-12-31$561,910
Employer contributions (assets) at beginning of year2013-12-31$793,649
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2013-12-31$3,169,586
Contract administrator fees2013-12-31$8,316
Did the plan have assets held for investment2013-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2013-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2013-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2013-12-31Yes
Opinion of an independent qualified public accountant for this plan2013-12-31Disclaimer
Accountancy firm name2013-12-31SAXBST, LLP
Accountancy firm EIN2013-12-31464001827
2012 : ROTHSCHILD & CO NORTH AMERICA, INC. 401(K) AND PROFIT SHARING PLAN 2012 401k financial data
Total unrealized appreciation/depreciation of assets2012-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2012-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2012-12-31$0
Total income from all sources (including contributions)2012-12-31$8,708,291
Total loss/gain on sale of assets2012-12-31$0
Total of all expenses incurred2012-12-31$4,761,682
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2012-12-31$4,761,107
Total contributions o plan (from employers,participants, others, non cash contrinutions)2012-12-31$4,592,877
Value of total assets at end of year2012-12-31$49,452,028
Value of total assets at beginning of year2012-12-31$45,505,419
Total of administrative expenses incurred including professional, contract, advisory and management fees2012-12-31$575
Total interest from all sources2012-12-31$207,658
Total dividends received (eg from common stock, registered investment company shares)2012-12-31$545,107
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2012-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2012-12-31$545,107
Was this plan covered by a fidelity bond2012-12-31Yes
Value of fidelity bond cover2012-12-31$10,000,000
If this is an individual account plan, was there a blackout period2012-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2012-12-31$0
Were there any nonexempt tranactions with any party-in-interest2012-12-31No
Contributions received from participants2012-12-31$2,530,995
Participant contributions at end of year2012-12-31$292,789
Participant contributions at beginning of year2012-12-31$309,517
Assets. Other investments not covered elsewhere at end of year2012-12-31$470,193
Assets. Other investments not covered elsewhere at beginning of year2012-12-31$333,628
Income. Received or receivable in cash from other sources (including rollovers)2012-12-31$178,284
Other income not declared elsewhere2012-12-31$28,549
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2012-12-31No
Value of net income/loss2012-12-31$3,946,609
Value of net assets at end of year (total assets less liabilities)2012-12-31$49,452,028
Value of net assets at beginning of year (total assets less liabilities)2012-12-31$45,505,419
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2012-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2012-12-31No
Were any leases to which the plan was party in default or uncollectible2012-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2012-12-31$32,152,639
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2012-12-31$29,020,851
Value of interest in pooled separate accounts at end of year2012-12-31$0
Value of interest in pooled separate accounts at beginning of year2012-12-31$15,086,592
Interest on participant loans2012-12-31$13,734
Interest earned on other investments2012-12-31$193,924
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2012-12-31$15,742,758
Net investment gain/loss from registered investment companies (e.g. mutual funds)2012-12-31$3,181,591
Net investment gain/loss from pooled separate accounts2012-12-31$152,509
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2012-12-31No
Was there a failure to transmit to the plan any participant contributions2012-12-31No
Has the plan failed to provide any benefit when due under the plan2012-12-31No
Contributions received in cash from employer2012-12-31$1,883,598
Employer contributions (assets) at end of year2012-12-31$793,649
Employer contributions (assets) at beginning of year2012-12-31$754,831
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2012-12-31$4,761,107
Contract administrator fees2012-12-31$575
Did the plan have assets held for investment2012-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2012-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2012-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2012-12-31Yes
Opinion of an independent qualified public accountant for this plan2012-12-31Disclaimer
Accountancy firm name2012-12-31BOLLAM, SHEEDY, TORANI & CO., LLP
Accountancy firm EIN2012-12-31141442607
2011 : ROTHSCHILD & CO NORTH AMERICA, INC. 401(K) AND PROFIT SHARING PLAN 2011 401k financial data
Total unrealized appreciation/depreciation of assets2011-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2011-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2011-12-31$0
Total income from all sources (including contributions)2011-12-31$3,474,194
Total loss/gain on sale of assets2011-12-31$0
Total of all expenses incurred2011-12-31$2,539,763
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2011-12-31$2,536,510
Total contributions o plan (from employers,participants, others, non cash contrinutions)2011-12-31$4,640,536
Value of total assets at end of year2011-12-31$45,505,419
Value of total assets at beginning of year2011-12-31$44,570,988
Total of administrative expenses incurred including professional, contract, advisory and management fees2011-12-31$3,253
Total interest from all sources2011-12-31$25,804
Total dividends received (eg from common stock, registered investment company shares)2011-12-31$473,255
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2011-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2011-12-31$473,255
Was this plan covered by a fidelity bond2011-12-31Yes
Value of fidelity bond cover2011-12-31$10,000,000
If this is an individual account plan, was there a blackout period2011-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2011-12-31$0
Were there any nonexempt tranactions with any party-in-interest2011-12-31No
Contributions received from participants2011-12-31$2,427,251
Participant contributions at end of year2011-12-31$309,517
Participant contributions at beginning of year2011-12-31$269,749
Assets. Other investments not covered elsewhere at end of year2011-12-31$333,628
Assets. Other investments not covered elsewhere at beginning of year2011-12-31$243,901
Income. Received or receivable in cash from other sources (including rollovers)2011-12-31$363,192
Other income not declared elsewhere2011-12-31$8,710
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2011-12-31No
Value of net income/loss2011-12-31$934,431
Value of net assets at end of year (total assets less liabilities)2011-12-31$45,505,419
Value of net assets at beginning of year (total assets less liabilities)2011-12-31$44,570,988
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2011-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2011-12-31No
Were any leases to which the plan was party in default or uncollectible2011-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2011-12-31$29,020,851
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2011-12-31$28,909,706
Value of interest in pooled separate accounts at end of year2011-12-31$15,086,592
Value of interest in pooled separate accounts at beginning of year2011-12-31$14,643,220
Interest on participant loans2011-12-31$25,804
Net investment gain/loss from registered investment companies (e.g. mutual funds)2011-12-31$-2,018,679
Net investment gain/loss from pooled separate accounts2011-12-31$344,568
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2011-12-31No
Was there a failure to transmit to the plan any participant contributions2011-12-31No
Has the plan failed to provide any benefit when due under the plan2011-12-31No
Contributions received in cash from employer2011-12-31$1,850,093
Employer contributions (assets) at end of year2011-12-31$754,831
Employer contributions (assets) at beginning of year2011-12-31$504,412
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2011-12-31$2,536,510
Contract administrator fees2011-12-31$3,253
Did the plan have assets held for investment2011-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2011-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2011-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2011-12-31Yes
Opinion of an independent qualified public accountant for this plan2011-12-31Disclaimer
Accountancy firm name2011-12-31BOLLAM, SHEEDY, TORANI & CO., LLP
Accountancy firm EIN2011-12-31141442607
2010 : ROTHSCHILD & CO NORTH AMERICA, INC. 401(K) AND PROFIT SHARING PLAN 2010 401k financial data
Total unrealized appreciation/depreciation of assets2010-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2010-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2010-12-31$0
Total income from all sources (including contributions)2010-12-31$8,694,503
Total loss/gain on sale of assets2010-12-31$0
Total of all expenses incurred2010-12-31$3,747,953
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2010-12-31$3,746,847
Total contributions o plan (from employers,participants, others, non cash contrinutions)2010-12-31$4,045,760
Value of total assets at end of year2010-12-31$44,570,988
Value of total assets at beginning of year2010-12-31$39,624,438
Total of administrative expenses incurred including professional, contract, advisory and management fees2010-12-31$1,106
Total interest from all sources2010-12-31$21,800
Total dividends received (eg from common stock, registered investment company shares)2010-12-31$333,048
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2010-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2010-12-31$333,048
Was this plan covered by a fidelity bond2010-12-31Yes
Value of fidelity bond cover2010-12-31$10,000,000
If this is an individual account plan, was there a blackout period2010-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2010-12-31$0
Were there any nonexempt tranactions with any party-in-interest2010-12-31No
Contributions received from participants2010-12-31$2,436,643
Participant contributions at end of year2010-12-31$269,749
Participant contributions at beginning of year2010-12-31$265,564
Assets. Other investments not covered elsewhere at end of year2010-12-31$243,901
Assets. Other investments not covered elsewhere at beginning of year2010-12-31$454,104
Income. Received or receivable in cash from other sources (including rollovers)2010-12-31$49,273
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2010-12-31No
Value of net income/loss2010-12-31$4,946,550
Value of net assets at end of year (total assets less liabilities)2010-12-31$44,570,988
Value of net assets at beginning of year (total assets less liabilities)2010-12-31$39,624,438
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2010-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2010-12-31No
Were any leases to which the plan was party in default or uncollectible2010-12-31No
Investment advisory and management fees2010-12-31$31
Value of interest in registered invesment companies (eg mutual funds) at end of year2010-12-31$28,909,706
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2010-12-31$24,432,288
Value of interest in pooled separate accounts at end of year2010-12-31$14,643,220
Value of interest in pooled separate accounts at beginning of year2010-12-31$1,813,448
Interest on participant loans2010-12-31$19,088
Interest earned on other investments2010-12-31$2,712
Value of interest in common/collective trusts at beginning of year2010-12-31$11,856,855
Net investment gain/loss from registered investment companies (e.g. mutual funds)2010-12-31$4,293,895
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2010-12-31No
Was there a failure to transmit to the plan any participant contributions2010-12-31No
Has the plan failed to provide any benefit when due under the plan2010-12-31No
Contributions received in cash from employer2010-12-31$1,559,844
Employer contributions (assets) at end of year2010-12-31$504,412
Employer contributions (assets) at beginning of year2010-12-31$802,179
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2010-12-31$3,746,847
Contract administrator fees2010-12-31$1,075
Did the plan have assets held for investment2010-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2010-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2010-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2010-12-31Yes
Opinion of an independent qualified public accountant for this plan2010-12-31Disclaimer
Accountancy firm name2010-12-31BOLLAM, SHEEDY, TORANI & CO., LLP
Accountancy firm EIN2010-12-31141442607
2009 : ROTHSCHILD & CO NORTH AMERICA, INC. 401(K) AND PROFIT SHARING PLAN 2009 401k financial data
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2009-12-31$0

Form 5500 Responses for ROTHSCHILD & CO NORTH AMERICA, INC. 401(K) AND PROFIT SHARING PLAN

2022: ROTHSCHILD & CO NORTH AMERICA, INC. 401(K) AND PROFIT SHARING PLAN 2022 form 5500 responses
2022-01-01Type of plan entitySingle employer plan
2022-01-01Submission has been amendedNo
2022-01-01This submission is the final filingNo
2022-01-01This return/report is a short plan year return/report (less than 12 months)No
2022-01-01Plan is a collectively bargained planNo
2022-01-01Plan funding arrangement – InsuranceYes
2022-01-01Plan funding arrangement – TrustYes
2022-01-01Plan benefit arrangement – InsuranceYes
2022-01-01Plan benefit arrangement - TrustYes
2021: ROTHSCHILD & CO NORTH AMERICA, INC. 401(K) AND PROFIT SHARING PLAN 2021 form 5500 responses
2021-01-01Type of plan entitySingle employer plan
2021-01-01Submission has been amendedNo
2021-01-01This submission is the final filingNo
2021-01-01This return/report is a short plan year return/report (less than 12 months)No
2021-01-01Plan is a collectively bargained planNo
2021-01-01Plan funding arrangement – InsuranceYes
2021-01-01Plan funding arrangement – TrustYes
2021-01-01Plan benefit arrangement – InsuranceYes
2021-01-01Plan benefit arrangement - TrustYes
2020: ROTHSCHILD & CO NORTH AMERICA, INC. 401(K) AND PROFIT SHARING PLAN 2020 form 5500 responses
2020-01-01Type of plan entitySingle employer plan
2020-01-01Submission has been amendedNo
2020-01-01This submission is the final filingNo
2020-01-01This return/report is a short plan year return/report (less than 12 months)No
2020-01-01Plan is a collectively bargained planNo
2020-01-01Plan funding arrangement – InsuranceYes
2020-01-01Plan funding arrangement – TrustYes
2020-01-01Plan benefit arrangement – InsuranceYes
2020-01-01Plan benefit arrangement - TrustYes
2019: ROTHSCHILD & CO NORTH AMERICA, INC. 401(K) AND PROFIT SHARING PLAN 2019 form 5500 responses
2019-01-01Type of plan entitySingle employer plan
2019-01-01Submission has been amendedNo
2019-01-01This submission is the final filingNo
2019-01-01This return/report is a short plan year return/report (less than 12 months)No
2019-01-01Plan is a collectively bargained planNo
2019-01-01Plan funding arrangement – InsuranceYes
2019-01-01Plan funding arrangement – TrustYes
2019-01-01Plan benefit arrangement – InsuranceYes
2019-01-01Plan benefit arrangement - TrustYes
2018: ROTHSCHILD & CO NORTH AMERICA, INC. 401(K) AND PROFIT SHARING PLAN 2018 form 5500 responses
2018-01-01Type of plan entitySingle employer plan
2018-01-01Submission has been amendedNo
2018-01-01This submission is the final filingNo
2018-01-01This return/report is a short plan year return/report (less than 12 months)No
2018-01-01Plan is a collectively bargained planNo
2018-01-01Plan funding arrangement – InsuranceYes
2018-01-01Plan funding arrangement – TrustYes
2018-01-01Plan benefit arrangement – InsuranceYes
2018-01-01Plan benefit arrangement - TrustYes
2017: ROTHSCHILD & CO NORTH AMERICA, INC. 401(K) AND 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: ROTHSCHILD & CO NORTH AMERICA, INC. 401(K) AND 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: ROTHSCHILD & CO NORTH AMERICA, INC. 401(K) AND 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: ROTHSCHILD & CO NORTH AMERICA, INC. 401(K) AND 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: ROTHSCHILD & CO NORTH AMERICA, INC. 401(K) AND PROFIT SHARING PLAN 2013 form 5500 responses
2013-01-01Type of plan entitySingle employer plan
2013-01-01Submission has been amendedNo
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: ROTHSCHILD & CO NORTH AMERICA, INC. 401(K) AND PROFIT SHARING PLAN 2012 form 5500 responses
2012-01-01Type of plan entitySingle employer plan
2012-01-01Submission has been amendedNo
2012-01-01This submission is the final filingNo
2012-01-01This return/report is a short plan year return/report (less than 12 months)No
2012-01-01Plan is a collectively bargained planNo
2012-01-01Plan funding arrangement – InsuranceYes
2012-01-01Plan funding arrangement – TrustYes
2012-01-01Plan benefit arrangement – InsuranceYes
2012-01-01Plan benefit arrangement - TrustYes
2011: ROTHSCHILD & CO NORTH AMERICA, INC. 401(K) AND PROFIT SHARING PLAN 2011 form 5500 responses
2011-01-01Type of plan entitySingle employer plan
2011-01-01Submission has been amendedNo
2011-01-01This submission is the final filingNo
2011-01-01This return/report is a short plan year return/report (less than 12 months)No
2011-01-01Plan is a collectively bargained planNo
2011-01-01Plan funding arrangement – InsuranceYes
2011-01-01Plan funding arrangement – TrustYes
2011-01-01Plan benefit arrangement - TrustYes
2009: ROTHSCHILD & CO NORTH AMERICA, INC. 401(K) AND PROFIT SHARING PLAN 2009 form 5500 responses
2009-01-01Type of plan entitySingle employer plan
2009-01-01Submission has been amendedNo
2009-01-01This submission is the final filingNo
2009-01-01This return/report is a short plan year return/report (less than 12 months)No
2009-01-01Plan is a collectively bargained planNo
2009-01-01Plan funding arrangement – InsuranceYes
2009-01-01Plan funding arrangement – TrustYes
2009-01-01Plan benefit arrangement - TrustYes

Insurance Providers Used on plan

NEW YORK LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 66915 )
Policy contract numberGA28115
Policy instance 1
Insurance contract or identification numberGA28115
Number of Individuals Covered130
Insurance policy start date2022-01-01
Insurance policy end date2022-12-31
Are there contracts with allocated funds for individual policies?0
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?No
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
NEW YORK LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 66915 )
Policy contract numberGA28115
Policy instance 1
Insurance contract or identification numberGA28115
Number of Individuals Covered152
Insurance policy start date2021-01-01
Insurance policy end date2021-12-31
Are there contracts with allocated funds for individual policies?0
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?No
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
NEW YORK LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 66915 )
Policy contract numberGA28115
Policy instance 1
Insurance contract or identification numberGA28115
Number of Individuals Covered153
Insurance policy start date2020-01-01
Insurance policy end date2020-12-31
Are there contracts with allocated funds for individual policies?0
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?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?Yes
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?No
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
NEW YORK LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 66915 )
Policy contract numberGA28115
Policy instance 1
Insurance contract or identification numberGA28115
Number of Individuals Covered127
Insurance policy start date2019-01-01
Insurance policy end date2019-12-31
Are there contracts with allocated funds for individual policies?0
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?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?Yes
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?No
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
NEW YORK LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 66915 )
Policy contract numberGA28115
Policy instance 1
Insurance contract or identification numberGA28115
Number of Individuals Covered580
Insurance policy start date2018-01-01
Insurance policy end date2018-12-31
Are there contracts with allocated funds for individual policies?0
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?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?Yes
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?No
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
NEW YORK LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 66915 )
Policy contract numberGA28115
Policy instance 1
Insurance contract or identification numberGA28115
Number of Individuals Covered560
Insurance policy start date2017-01-01
Insurance policy end date2017-12-31
Are there contracts with allocated funds for individual policies?0
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?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?Yes
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?No
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
NEW YORK LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 66915 )
Policy contract numberGA28115
Policy instance 1
Insurance contract or identification numberGA28115
Number of Individuals Covered476
Insurance policy start date2015-01-01
Insurance policy end date2015-12-31
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?Yes
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?No
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
NEW YORK LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 66915 )
Policy contract numberGA28115
Policy instance 1
Insurance contract or identification numberGA28115
Number of Individuals Covered448
Insurance policy start date2014-01-01
Insurance policy end date2014-12-31
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?Yes
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?No
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
NEW YORK LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 66915 )
Policy contract numberGA28115
Policy instance 1
Insurance contract or identification numberGA28115
Number of Individuals Covered425
Insurance policy start date2013-01-01
Insurance policy end date2013-12-31
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?Yes
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?No
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
NEW YORK LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 66915 )
Policy contract number30500
Policy instance 1
Insurance contract or identification number30500
Number of Individuals Covered0
Insurance policy start date2012-01-01
Insurance policy end date2012-06-15
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?No
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
NEW YORK LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 66915 )
Policy contract numberGA28115
Policy instance 2
Insurance contract or identification numberGA28115
Number of Individuals Covered435
Insurance policy start date2012-03-15
Insurance policy end date2012-12-31
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?Yes
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?No
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
NEW YORK LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 66915 )
Policy contract number30500
Policy instance 1
Insurance contract or identification number30500
Number of Individuals Covered434
Insurance policy start date2011-01-01
Insurance policy end date2011-12-31
Total amount of commissions paid to insurance brokerUSD $0
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?No
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
NEW YORK LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 66915 )
Policy contract number30500
Policy instance 1
Insurance contract or identification number30500
Number of Individuals Covered435
Insurance policy start date2010-01-01
Insurance policy end date2010-12-31
Total amount of commissions paid to insurance brokerUSD $0
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?No
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No

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