401k Plan data: RBM LLP 401K PLAN plan

RBM LLP 401K PLAN 401k Plan overview

Plan Name	RBM LLP 401K PLAN
Plan identification number	001

RBM LLP 401K PLAN Benefits

401k Plan Type

Defined Contribution Pension

Plan Features/Benefits

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

401k Sponsoring company profile

RBM LLP has sponsored the creation of one or more 401k plans.

Company Name: RBM LLP

Employer identification number (EIN): 201260436

NAIC Classification: 541211
NAIC Description: Offices of Certified Public Accountants

Form 5500 Filing Information

Submission information for form 5500 for 401k plan RBM LLP 401K PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2022-01-01 TRENT MILLICAN 2023-08-02
001 2021-01-01 TRENT MILLICAN 2022-06-20 TRENT MILLICAN 2022-06-20
001 2020-01-01 TRENT ALAN MILLICAN 2021-06-27 TRENT ALAN MILLICAN 2021-06-27
001 2019-01-01 TRENT ALAN MILLICAN 2020-07-27 TRENT ALAN MILLICAN 2020-07-27
001 2018-01-01 TRENT ALAN MILLICAN 2019-09-18 TRENT ALAN MILLICAN 2019-09-18
001 2017-01-01 VANCE BAILES 2018-06-18 VANCE BAILES 2018-06-18
001 2016-01-01 TRENT MILLICAN 2017-06-26
001 2015-01-01 TRENT MILLICAN 2016-06-20
001 2014-01-01 TRENT MILLICAN
001 2013-01-01 TRENT MILLICAN
001 2012-01-01 TRENT MILLICAN
001 2011-01-01 TRENT MILLICAN
001 2009-01-01 VANCE R. BAILES VANCE R. BAILES 2010-10-06

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed	Name of Company Sponsor	Date Sponsor Signed
001	2022-01-01	TRENT MILLICAN	2023-08-02
001	2021-01-01	TRENT MILLICAN	2022-06-20	TRENT MILLICAN	2022-06-20
001	2020-01-01	TRENT ALAN MILLICAN	2021-06-27	TRENT ALAN MILLICAN	2021-06-27
001	2019-01-01	TRENT ALAN MILLICAN	2020-07-27	TRENT ALAN MILLICAN	2020-07-27
001	2018-01-01	TRENT ALAN MILLICAN	2019-09-18	TRENT ALAN MILLICAN	2019-09-18
001	2017-01-01	VANCE BAILES	2018-06-18	VANCE BAILES	2018-06-18
001	2016-01-01	TRENT MILLICAN	2017-06-26
001	2015-01-01	TRENT MILLICAN	2016-06-20
001	2014-01-01	TRENT MILLICAN
001	2013-01-01	TRENT MILLICAN
001	2012-01-01	TRENT MILLICAN
001	2011-01-01	TRENT MILLICAN
001	2009-01-01	VANCE R. BAILES		VANCE R. BAILES	2010-10-06

Plan Statistics for RBM LLP 401K PLAN

401k plan membership statisitcs for RBM LLP 401K PLAN

Measure Date Value
2014: RBM LLP 401K PLAN 2014 401k membership
Total participants, beginning-of-year 2014-01-01 34
Total number of active participants reported on line 7a of the Form 5500 2014-01-01 12
Number of retired or separated participants receiving benefits 2014-01-01 0
Number of other retired or separated participants entitled to future benefits 2014-01-01 14
Total of all active and inactive participants 2014-01-01 26
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2014-01-01 0
Total participants 2014-01-01 26
Number of participants with account balances 2014-01-01 26
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2014-01-01 2
2013: RBM LLP 401K PLAN 2013 401k membership
Total participants, beginning-of-year 2013-01-01 16
Total number of active participants reported on line 7a of the Form 5500 2013-01-01 13
Number of retired or separated participants receiving benefits 2013-01-01 0
Number of other retired or separated participants entitled to future benefits 2013-01-01 19
Total of all active and inactive participants 2013-01-01 32
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2013-01-01 0
Total participants 2013-01-01 32
Number of participants with account balances 2013-01-01 30
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2013-01-01 26
2012: RBM LLP 401K PLAN 2012 401k membership
Total participants, beginning-of-year 2012-01-01 20
Total number of active participants reported on line 7a of the Form 5500 2012-01-01 12
Number of retired or separated participants receiving benefits 2012-01-01 0
Number of other retired or separated participants entitled to future benefits 2012-01-01 19
Total of all active and inactive participants 2012-01-01 31
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2012-01-01 0
Total participants 2012-01-01 31
Number of participants with account balances 2012-01-01 12
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2012-01-01 35
2011: RBM LLP 401K PLAN 2011 401k membership
Total participants, beginning-of-year 2011-01-01 20
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 9
Number of other retired or separated participants entitled to future benefits 2011-01-01 18
Total of all active and inactive participants 2011-01-01 27
Total participants 2011-01-01 27
Number of participants with account balances 2011-01-01 27
2009: RBM LLP 401K PLAN 2009 401k membership
Total participants, beginning-of-year 2009-01-01 22
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 22
Number of retired or separated participants receiving benefits 2009-01-01 0
Number of other retired or separated participants entitled to future benefits 2009-01-01 10
Total of all active and inactive participants 2009-01-01 32
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-01-01 0
Total participants 2009-01-01 32
Number of participants with account balances 2009-01-01 21
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-01-01 1

Measure	Date	Value
2014: RBM LLP 401K PLAN 2014 401k membership
Total participants, beginning-of-year	2014-01-01	34
Total number of active participants reported on line 7a of the Form 5500	2014-01-01	12
Number of retired or separated participants receiving benefits	2014-01-01	0
Number of other retired or separated participants entitled to future benefits	2014-01-01	14
Total of all active and inactive participants	2014-01-01	26
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2014-01-01	0
Total participants	2014-01-01	26
Number of participants with account balances	2014-01-01	26
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2014-01-01	2
2013: RBM LLP 401K PLAN 2013 401k membership
Total participants, beginning-of-year	2013-01-01	16
Total number of active participants reported on line 7a of the Form 5500	2013-01-01	13
Number of retired or separated participants receiving benefits	2013-01-01	0
Number of other retired or separated participants entitled to future benefits	2013-01-01	19
Total of all active and inactive participants	2013-01-01	32
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2013-01-01	0
Total participants	2013-01-01	32
Number of participants with account balances	2013-01-01	30
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2013-01-01	26
2012: RBM LLP 401K PLAN 2012 401k membership
Total participants, beginning-of-year	2012-01-01	20
Total number of active participants reported on line 7a of the Form 5500	2012-01-01	12
Number of retired or separated participants receiving benefits	2012-01-01	0
Number of other retired or separated participants entitled to future benefits	2012-01-01	19
Total of all active and inactive participants	2012-01-01	31
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2012-01-01	0
Total participants	2012-01-01	31
Number of participants with account balances	2012-01-01	12
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2012-01-01	35
2011: RBM LLP 401K PLAN 2011 401k membership
Total participants, beginning-of-year	2011-01-01	20
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	9
Number of other retired or separated participants entitled to future benefits	2011-01-01	18
Total of all active and inactive participants	2011-01-01	27
Total participants	2011-01-01	27
Number of participants with account balances	2011-01-01	27
2009: RBM LLP 401K PLAN 2009 401k membership
Total participants, beginning-of-year	2009-01-01	22
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	22
Number of retired or separated participants receiving benefits	2009-01-01	0
Number of other retired or separated participants entitled to future benefits	2009-01-01	10
Total of all active and inactive participants	2009-01-01	32
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-01-01	0
Total participants	2009-01-01	32
Number of participants with account balances	2009-01-01	21
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-01-01	1

Financial Data on RBM LLP 401K PLAN

Measure	Date	Value
2014 : RBM LLP 401K PLAN 2014 401k financial data
Transfers to/from the plan	2014-12-31	$0
Total income from all sources	2014-12-31	$186,887
Expenses. Total of all expenses incurred	2014-12-31	$20,345
Benefits paid (including direct rollovers)	2014-12-31	$20,244
Total plan assets at end of year	2014-12-31	$1,672,194
Total plan assets at beginning of year	2014-12-31	$1,505,652
Total contributions received or receivable from participants	2014-12-31	$75,670
Expenses. Other expenses not covered elsewhere	2014-12-31	$101
Contributions received from other sources (not participants or employers)	2014-12-31	$8,426
Other income received	2014-12-31	$66,080
Net income (gross income less expenses)	2014-12-31	$166,542
Net plan assets at end of year (total assets less liabilities)	2014-12-31	$1,672,194
Net plan assets at beginning of year (total assets less liabilities)	2014-12-31	$1,505,652
Assets. Value of participant loans	2014-12-31	$0
Total contributions received or receivable from employer(s)	2014-12-31	$36,711
Value of certain deemed distributions of participant loans	2014-12-31	$0
Value of corrective distributions	2014-12-31	$0
Funding deficiency by the employer to the plan for this plan year	2014-12-31	$0
Minimum employer required contribution for this plan year	2014-12-31	$0
Amount contributed by the employer to the plan for this plan year	2014-12-31	$0
2013 : RBM LLP 401K PLAN 2013 401k financial data
Transfers to/from the plan	2013-12-31	$0
Total income from all sources	2013-12-31	$289,915
Expenses. Total of all expenses incurred	2013-12-31	$240,391
Benefits paid (including direct rollovers)	2013-12-31	$240,291
Total plan assets at end of year	2013-12-31	$1,505,652
Total plan assets at beginning of year	2013-12-31	$1,456,128
Value of fidelity bond covering the plan	2013-12-31	$100,000
Total contributions received or receivable from participants	2013-12-31	$68,423
Expenses. Other expenses not covered elsewhere	2013-12-31	$100
Contributions received from other sources (not participants or employers)	2013-12-31	$0
Other income received	2013-12-31	$196,105
Net income (gross income less expenses)	2013-12-31	$49,524
Net plan assets at end of year (total assets less liabilities)	2013-12-31	$1,505,652
Net plan assets at beginning of year (total assets less liabilities)	2013-12-31	$1,456,128
Assets. Value of participant loans	2013-12-31	$0
Total contributions received or receivable from employer(s)	2013-12-31	$25,387
Value of certain deemed distributions of participant loans	2013-12-31	$0
Value of corrective distributions	2013-12-31	$0
Funding deficiency by the employer to the plan for this plan year	2013-12-31	$0
Minimum employer required contribution for this plan year	2013-12-31	$0
Amount contributed by the employer to the plan for this plan year	2013-12-31	$0
2012 : RBM LLP 401K PLAN 2012 401k financial data
Transfers to/from the plan	2012-12-31	$0
Total income from all sources	2012-12-31	$301,214
Expenses. Total of all expenses incurred	2012-12-31	$8,328
Benefits paid (including direct rollovers)	2012-12-31	$8,303
Total plan assets at end of year	2012-12-31	$1,456,128
Total plan assets at beginning of year	2012-12-31	$1,163,242
Value of fidelity bond covering the plan	2012-12-31	$100,000
Total contributions received or receivable from participants	2012-12-31	$73,861
Expenses. Other expenses not covered elsewhere	2012-12-31	$25
Contributions received from other sources (not participants or employers)	2012-12-31	$4,543
Other income received	2012-12-31	$178,253
Net income (gross income less expenses)	2012-12-31	$292,886
Net plan assets at end of year (total assets less liabilities)	2012-12-31	$1,456,128
Net plan assets at beginning of year (total assets less liabilities)	2012-12-31	$1,163,242
Total contributions received or receivable from employer(s)	2012-12-31	$44,557
Value of certain deemed distributions of participant loans	2012-12-31	$0
Value of corrective distributions	2012-12-31	$0
Funding deficiency by the employer to the plan for this plan year	2012-12-31	$0
Minimum employer required contribution for this plan year	2012-12-31	$0
Amount contributed by the employer to the plan for this plan year	2012-12-31	$0
2011 : RBM LLP 401K PLAN 2011 401k financial data
Total income from all sources	2011-12-31	$36,263
Expenses. Total of all expenses incurred	2011-12-31	$56,144
Benefits paid (including direct rollovers)	2011-12-31	$52,119
Total plan assets at end of year	2011-12-31	$1,163,242
Total plan assets at beginning of year	2011-12-31	$1,183,123
Total contributions received or receivable from participants	2011-12-31	$73,447
Expenses. Other expenses not covered elsewhere	2011-12-31	$25
Other income received	2011-12-31	$-83,562
Net income (gross income less expenses)	2011-12-31	$-19,881
Net plan assets at end of year (total assets less liabilities)	2011-12-31	$1,163,242
Net plan assets at beginning of year (total assets less liabilities)	2011-12-31	$1,183,123
Total contributions received or receivable from employer(s)	2011-12-31	$46,378
Value of corrective distributions	2011-12-31	$4,000
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2011-12-31	$0
2010 : RBM LLP 401K PLAN 2010 401k financial data
Transfers to/from the plan	2010-12-31	$2
Total income from all sources	2010-12-31	$278,704
Expenses. Total of all expenses incurred	2010-12-31	$229,255
Benefits paid (including direct rollovers)	2010-12-31	$207,213
Total plan assets at end of year	2010-12-31	$1,183,123
Total plan assets at beginning of year	2010-12-31	$1,133,672
Value of fidelity bond covering the plan	2010-12-31	$100,000
Total contributions received or receivable from participants	2010-12-31	$70,552
Expenses. Other expenses not covered elsewhere	2010-12-31	$125
Contributions received from other sources (not participants or employers)	2010-12-31	$0
Other income received	2010-12-31	$152,100
Net income (gross income less expenses)	2010-12-31	$49,449
Net plan assets at end of year (total assets less liabilities)	2010-12-31	$1,183,123
Net plan assets at beginning of year (total assets less liabilities)	2010-12-31	$1,133,672
Assets. Value of participant loans	2010-12-31	$0
Total contributions received or receivable from employer(s)	2010-12-31	$56,052
Value of certain deemed distributions of participant loans	2010-12-31	$0
Value of corrective distributions	2010-12-31	$21,917
Funding deficiency by the employer to the plan for this plan year	2010-12-31	$0
Minimum employer required contribution for this plan year	2010-12-31	$0
Amount contributed by the employer to the plan for this plan year	2010-12-31	$0
2009 : RBM LLP 401K PLAN 2009 401k financial data
Funding deficiency by the employer to the plan for this plan year	2009-12-31	$0
Minimum employer required contribution for this plan year	2009-12-31	$0
Amount contributed by the employer to the plan for this plan year	2009-12-31	$0

Form 5500 Responses for RBM LLP 401K PLAN

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

Insurance Providers Used on plan

HARTFORD LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 88072 )

Policy contract number

GA-821561

Policy instance

Insurance contract or identification number	GA-821561
Number of Individuals Covered	26
Insurance policy start date	2014-01-01
Insurance policy end date	2014-12-31
Total amount of commissions paid to insurance broker	USD $4,090
Total amount of fees paid to insurance company	USD $0
Are there contracts with allocated funds for individual policies?	No
Are there contracts with allocated funds for group deferred annuity?	No
Are there contracts with allocated funds for types other than group deferred annuity or individual?	No
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Contracts With Unallocated Funds Deposit Administration	0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?	No
Are there contracts with unallocated funds for contracts of type guaranteed investment?	No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	Yes
Health Insurance Welfare Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
Were dividends or retroactive rate refunds paid in cash?	No
Were dividends or retroactive rate refunds paid as a credit?	No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No
Commission paid to Insurance Broker	USD $4,090
Insurance broker organization code?	3
Insurance broker name	LPL FINANCIAL CORPORATION

HARTFORD LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 88072 )

Policy contract number

GA-821561

Policy instance

Insurance contract or identification number	GA-821561
Number of Individuals Covered	30
Insurance policy start date	2013-01-01
Insurance policy end date	2013-12-31
Total amount of commissions paid to insurance broker	USD $3,795
Total amount of fees paid to insurance company	USD $54
Are there contracts with allocated funds for individual policies?	No
Are there contracts with allocated funds for group deferred annuity?	No
Are there contracts with allocated funds for types other than group deferred annuity or individual?	No
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Contracts With Unallocated Funds Deposit Administration	0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?	No
Are there contracts with unallocated funds for contracts of type guaranteed investment?	No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	Yes
Health Insurance Welfare Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
Were dividends or retroactive rate refunds paid in cash?	No
Were dividends or retroactive rate refunds paid as a credit?	No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No
Commission paid to Insurance Broker	USD $3,795
Insurance broker organization code?	3
Amount paid for insurance broker fees	54
Additional information about fees paid to insurance broker	SALES/MARKETING
Insurance broker name	LPL FINANCIAL LLC

HARTFORD LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 88072 )

Policy contract number

GA-821561

Policy instance

Insurance contract or identification number	GA-821561
Number of Individuals Covered	12
Insurance policy start date	2012-01-01
Insurance policy end date	2012-12-31
Total amount of commissions paid to insurance broker	USD $3,439
Total amount of fees paid to insurance company	USD $74
Are there contracts with allocated funds for individual policies?	No
Are there contracts with allocated funds for group deferred annuity?	No
Are there contracts with allocated funds for types other than group deferred annuity or individual?	No
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Contracts With Unallocated Funds Deposit Administration	0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?	No
Are there contracts with unallocated funds for contracts of type guaranteed investment?	No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	Yes
Health Insurance Welfare Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
Were dividends or retroactive rate refunds paid in cash?	No
Were dividends or retroactive rate refunds paid as a credit?	No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No
Commission paid to Insurance Broker	USD $3,439
Insurance broker organization code?	3
Amount paid for insurance broker fees	74
Additional information about fees paid to insurance broker	SALES/MARKETING
Insurance broker name	LPL FINANCIAL LLC

HARTFORD LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 88072 )

Policy contract number

GA-821561

Policy instance

Insurance contract or identification number	GA-821561
Number of Individuals Covered	27
Insurance policy start date	2011-01-01
Insurance policy end date	2011-12-31
Total amount of commissions paid to insurance broker	USD $3,067
Total amount of fees paid to insurance company	USD $0
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Contracts With Unallocated Funds Deposit Administration	0
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No

HARTFORD LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 88072 )

Policy contract number

GA-821561

Policy instance

Insurance contract or identification number	GA-821561
Number of Individuals Covered	24
Insurance policy start date	2010-01-01
Insurance policy end date	2010-12-31
Total amount of commissions paid to insurance broker	USD $3,112
Total amount of fees paid to insurance company	USD $0
Are there contracts with allocated funds for individual policies?	No
Are there contracts with allocated funds for group deferred annuity?	No
Are there contracts with allocated funds for types other than group deferred annuity or individual?	No
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Contracts With Unallocated Funds Deposit Administration	0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?	No
Are there contracts with unallocated funds for contracts of type guaranteed investment?	No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	Yes
Health Insurance Welfare Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
Were dividends or retroactive rate refunds paid in cash?	No
Were dividends or retroactive rate refunds paid as a credit?	No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No
Commission paid to Insurance Broker	USD $3,112
Insurance broker organization code?	3
Insurance broker name	LPL FINANCIAL CORPORATION

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Company Name:	RBM LLP
Employer identification number (EIN):	201260436
NAIC Classification:	541211
NAIC Description:	Offices of Certified Public Accountants