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THOMAS, THOMAS & HAFER, LLP RETIREMENT PLAN 401k Plan overview

Plan NameTHOMAS, THOMAS & HAFER, LLP RETIREMENT PLAN
Plan identification number 001

THOMAS, THOMAS & HAFER, LLP RETIREMENT PLAN Benefits

401k Plan TypeDefined Contribution Pension
Plan Features/Benefits
  • Age/Service Weighted or new comparability or similar plan - Age/Service Weighted Plan: Allocations are based on age, service, or age and service. New comparability or similar plan: Allocations are based on participant classifications and a classification(s) consists entirely or predominantly of highly compensated employees; or the plan provides an additional allocation rate on compensation above a specified threshold, and the theshold or additional rate exceeds the maximum threshold or rate allowed under the permitted disparity rules of section 401(l).
  • Profit-sharing
  • ERISA section 404(c) Plan - This plan, or any part of it is intended to meet the conditions of 29 CFR 2550.404c-1.
  • Total participant-directed account plan - Participants have the opportunity to direct the investment of all the assets allocated to their individual accounts, regardless of whether 29 CFR 2550.404c-1 is intended to be met.
  • Code section 401(k) feature - A cash or deferred arrangement described in Code section 401(k) that is part of a qualified defined contribution plan that provides for an election by employees to defer part of their compensation or receive these amounts in cash.
  • 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.
  • Plan covering Self-Employed individuals.
  • 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.
  • Life insurance

401k Sponsoring company profile

THOMAS, THOMAS & HAFER LLP has sponsored the creation of one or more 401k plans.

Company Name:THOMAS, THOMAS & HAFER LLP
Employer identification number (EIN):251643634
NAIC Classification:541110
NAIC Description:Offices of Lawyers

Form 5500 Filing Information

Submission information for form 5500 for 401k plan THOMAS, THOMAS & HAFER, LLP RETIREMENT PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator SignedName of Company SponsorDate Sponsor Signed
0012022-01-01TODD B. NARVOL2023-10-16
0012021-01-01TODD B. NARVOL2022-10-12
0012020-01-01TODD B. NARVOL2021-10-14
0012019-01-01LORI A. GLOUNER2020-10-02
0012018-01-01LORI A. GLOUNER2019-10-15
0012017-01-01
0012016-01-01
0012015-01-01
0012014-01-01LORI A. GLOUNER
0012013-01-01LORI A. GLOUNER
0012012-01-01LORI A. GLOUNER
0012011-01-01LORI A. GLOUNER
0012010-01-01MATTHEW NEISWENDER
0012009-01-01JAMES K THOMAS, II JAMES K THOMAS, II2010-10-08

Plan Statistics for THOMAS, THOMAS & HAFER, LLP RETIREMENT PLAN

401k plan membership statisitcs for THOMAS, THOMAS & HAFER, LLP RETIREMENT PLAN

Measure Date Value
2022: THOMAS, THOMAS & HAFER, LLP RETIREMENT PLAN 2022 401k membership
Total participants, beginning-of-year2022-01-01207
Total number of active participants reported on line 7a of the Form 55002022-01-01129
Number of retired or separated participants receiving benefits2022-01-010
Number of other retired or separated participants entitled to future benefits2022-01-0153
Total of all active and inactive participants2022-01-01182
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2022-01-010
Total participants2022-01-01182
Number of participants with account balances2022-01-01181
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2022-01-0112
2021: THOMAS, THOMAS & HAFER, LLP RETIREMENT PLAN 2021 401k membership
Total participants, beginning-of-year2021-01-01212
Total number of active participants reported on line 7a of the Form 55002021-01-01132
Number of retired or separated participants receiving benefits2021-01-010
Number of other retired or separated participants entitled to future benefits2021-01-0153
Total of all active and inactive participants2021-01-01185
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2021-01-010
Total participants2021-01-01185
Number of participants with account balances2021-01-01185
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2021-01-019
2020: THOMAS, THOMAS & HAFER, LLP RETIREMENT PLAN 2020 401k membership
Total participants, beginning-of-year2020-01-01231
Total number of active participants reported on line 7a of the Form 55002020-01-01131
Number of retired or separated participants receiving benefits2020-01-010
Number of other retired or separated participants entitled to future benefits2020-01-0168
Total of all active and inactive participants2020-01-01199
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2020-01-010
Total participants2020-01-01199
Number of participants with account balances2020-01-01199
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2020-01-0120
2019: THOMAS, THOMAS & HAFER, LLP RETIREMENT PLAN 2019 401k membership
Total participants, beginning-of-year2019-01-01233
Total number of active participants reported on line 7a of the Form 55002019-01-01149
Number of retired or separated participants receiving benefits2019-01-010
Number of other retired or separated participants entitled to future benefits2019-01-0160
Total of all active and inactive participants2019-01-01209
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2019-01-010
Total participants2019-01-01209
Number of participants with account balances2019-01-01208
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2019-01-0120
2018: THOMAS, THOMAS & HAFER, LLP RETIREMENT PLAN 2018 401k membership
Total participants, beginning-of-year2018-01-01220
Total number of active participants reported on line 7a of the Form 55002018-01-01148
Number of retired or separated participants receiving benefits2018-01-010
Number of other retired or separated participants entitled to future benefits2018-01-0152
Total of all active and inactive participants2018-01-01200
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2018-01-010
Total participants2018-01-01200
Number of participants with account balances2018-01-01200
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2018-01-0116
2017: THOMAS, THOMAS & HAFER, LLP RETIREMENT PLAN 2017 401k membership
Total participants, beginning-of-year2017-01-01219
Total number of active participants reported on line 7a of the Form 55002017-01-01145
Number of retired or separated participants receiving benefits2017-01-010
Number of other retired or separated participants entitled to future benefits2017-01-0149
Total of all active and inactive participants2017-01-01194
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2017-01-010
Total participants2017-01-01194
Number of participants with account balances2017-01-01194
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2017-01-0121
2016: THOMAS, THOMAS & HAFER, LLP RETIREMENT PLAN 2016 401k membership
Total participants, beginning-of-year2016-01-01200
Total number of active participants reported on line 7a of the Form 55002016-01-01133
Number of retired or separated participants receiving benefits2016-01-010
Number of other retired or separated participants entitled to future benefits2016-01-0150
Total of all active and inactive participants2016-01-01183
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2016-01-010
Total participants2016-01-01183
Number of participants with account balances2016-01-01183
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2016-01-0114
2015: THOMAS, THOMAS & HAFER, LLP RETIREMENT PLAN 2015 401k membership
Total participants, beginning-of-year2015-01-01188
Total number of active participants reported on line 7a of the Form 55002015-01-01132
Number of retired or separated participants receiving benefits2015-01-010
Number of other retired or separated participants entitled to future benefits2015-01-0139
Total of all active and inactive participants2015-01-01171
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2015-01-010
Total participants2015-01-01171
Number of participants with account balances2015-01-01171
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2015-01-0111
2014: THOMAS, THOMAS & HAFER, LLP RETIREMENT PLAN 2014 401k membership
Total participants, beginning-of-year2014-01-01195
Total number of active participants reported on line 7a of the Form 55002014-01-01133
Number of retired or separated participants receiving benefits2014-01-010
Number of other retired or separated participants entitled to future benefits2014-01-0138
Total of all active and inactive participants2014-01-01171
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2014-01-010
Total participants2014-01-01171
Number of participants with account balances2014-01-01171
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2014-01-0114
2013: THOMAS, THOMAS & HAFER, LLP RETIREMENT PLAN 2013 401k membership
Total participants, beginning-of-year2013-01-01193
Total number of active participants reported on line 7a of the Form 55002013-01-01138
Number of retired or separated participants receiving benefits2013-01-010
Number of other retired or separated participants entitled to future benefits2013-01-0137
Total of all active and inactive participants2013-01-01175
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2013-01-010
Total participants2013-01-01175
Number of participants with account balances2013-01-01175
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2013-01-0119
2012: THOMAS, THOMAS & HAFER, LLP RETIREMENT PLAN 2012 401k membership
Total participants, beginning-of-year2012-01-01190
Total number of active participants reported on line 7a of the Form 55002012-01-01148
Number of retired or separated participants receiving benefits2012-01-010
Number of other retired or separated participants entitled to future benefits2012-01-0124
Total of all active and inactive participants2012-01-01172
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2012-01-010
Total participants2012-01-01172
Number of participants with account balances2012-01-01172
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2012-01-0111
2011: THOMAS, THOMAS & HAFER, LLP RETIREMENT PLAN 2011 401k membership
Total participants, beginning-of-year2011-01-01179
Total number of active participants reported on line 7a of the Form 55002011-01-01136
Number of retired or separated participants receiving benefits2011-01-010
Number of other retired or separated participants entitled to future benefits2011-01-0127
Total of all active and inactive participants2011-01-01163
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2011-01-010
Total participants2011-01-01163
Number of participants with account balances2011-01-01163
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2011-01-0119
2010: THOMAS, THOMAS & HAFER, LLP RETIREMENT PLAN 2010 401k membership
Total participants, beginning-of-year2010-01-01154
Total number of active participants reported on line 7a of the Form 55002010-01-01126
Number of retired or separated participants receiving benefits2010-01-010
Number of other retired or separated participants entitled to future benefits2010-01-0116
Total of all active and inactive participants2010-01-01142
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2010-01-010
Total participants2010-01-01142
Number of participants with account balances2010-01-01142
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2010-01-019
2009: THOMAS, THOMAS & HAFER, LLP RETIREMENT PLAN 2009 401k membership
Total participants, beginning-of-year2009-01-01132
Total number of active participants reported on line 7a of the Form 55002009-01-01122
Number of retired or separated participants receiving benefits2009-01-010
Number of other retired or separated participants entitled to future benefits2009-01-0132
Total of all active and inactive participants2009-01-01154
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2009-01-010
Total participants2009-01-01154
Number of participants with account balances2009-01-01122
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2009-01-013

Financial Data on THOMAS, THOMAS & HAFER, LLP RETIREMENT PLAN

Measure Date Value
2022 : THOMAS, THOMAS & HAFER, LLP RETIREMENT PLAN 2022 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets2022-12-31$16
Total unrealized appreciation/depreciation of assets2022-12-31$16
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$377,575
Total income from all sources (including contributions)2022-12-31$-4,412,138
Total loss/gain on sale of assets2022-12-31$0
Total of all expenses incurred2022-12-31$1,223,685
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2022-12-31$1,195,214
Total contributions o plan (from employers,participants, others, non cash contrinutions)2022-12-31$2,785,824
Value of total assets at end of year2022-12-31$41,370,253
Value of total assets at beginning of year2022-12-31$47,383,651
Total of administrative expenses incurred including professional, contract, advisory and management fees2022-12-31$28,471
Total interest from all sources2022-12-31$10,744
Total dividends received (eg from common stock, registered investment company shares)2022-12-31$1,010,959
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$1,009,277
Administrative expenses professional fees incurred2022-12-31$11,430
Was this plan covered by a fidelity bond2022-12-31Yes
Value of fidelity bond cover2022-12-31$1,000,000
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$1,305,087
Participant contributions at end of year2022-12-31$115,047
Participant contributions at beginning of year2022-12-31$192,467
Participant contributions at end of year2022-12-31$83,224
Participant contributions at beginning of year2022-12-31$90,311
Assets. Other investments not covered elsewhere at end of year2022-12-31$763,658
Assets. Other investments not covered elsewhere at beginning of year2022-12-31$719,887
Income. Received or receivable in cash from other sources (including rollovers)2022-12-31$17,697
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year2022-12-31$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year2022-12-31$120
Other income not declared elsewhere2022-12-31$43,771
Administrative expenses (other) incurred2022-12-31$13,916
Total non interest bearing cash at end of year2022-12-31$13,088
Total non interest bearing cash at beginning of year2022-12-31$12,003
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2022-12-31No
Value of net income/loss2022-12-31$-5,635,823
Value of net assets at end of year (total assets less liabilities)2022-12-31$41,370,253
Value of net assets at beginning of year (total assets less liabilities)2022-12-31$47,006,076
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
Investment advisory and management fees2022-12-31$3,125
Value of interest in registered invesment companies (eg mutual funds) at end of year2022-12-31$38,678,267
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2022-12-31$44,651,872
Interest on participant loans2022-12-31$7,632
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2022-12-31$537,502
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2022-12-31$605,033
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2022-12-31$605,033
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)2022-12-31$3,112
Net investment gain/loss from registered investment companies (e.g. mutual funds)2022-12-31$-8,263,452
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$1,463,040
Employer contributions (assets) at end of year2022-12-31$1,137,460
Employer contributions (assets) at beginning of year2022-12-31$1,069,683
Income. Dividends from common stock2022-12-31$1,682
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2022-12-31$1,195,214
Assets. Corporate common stocks other than exployer securities at end of year2022-12-31$42,007
Assets. Corporate common stocks other than exployer securities at beginning of year2022-12-31$42,395
Liabilities. Value of benefit claims payable at end of year2022-12-31$0
Liabilities. Value of benefit claims payable at beginning of year2022-12-31$377,455
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 plan2022-12-31Unqualified
Accountancy firm name2022-12-31SIMON LEVER LLC
Accountancy firm EIN2022-12-31231692578
2021 : THOMAS, THOMAS & HAFER, LLP RETIREMENT PLAN 2021 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets2021-12-31$153,876
Total unrealized appreciation/depreciation of assets2021-12-31$153,876
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2021-12-31$377,575
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$7,545,640
Total loss/gain on sale of assets2021-12-31$0
Total of all expenses incurred2021-12-31$3,812,507
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2021-12-31$3,781,295
Total contributions o plan (from employers,participants, others, non cash contrinutions)2021-12-31$2,558,039
Value of total assets at end of year2021-12-31$47,383,651
Value of total assets at beginning of year2021-12-31$43,272,943
Total of administrative expenses incurred including professional, contract, advisory and management fees2021-12-31$31,212
Total interest from all sources2021-12-31$9,943
Total dividends received (eg from common stock, registered investment company shares)2021-12-31$1,334,652
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$1,323,345
Administrative expenses professional fees incurred2021-12-31$13,994
Was this plan covered by a fidelity bond2021-12-31Yes
Value of fidelity bond cover2021-12-31$1,000,000
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$1,134,585
Participant contributions at end of year2021-12-31$192,467
Participant contributions at beginning of year2021-12-31$156,928
Participant contributions at end of year2021-12-31$90,311
Participant contributions at beginning of year2021-12-31$56,697
Assets. Other investments not covered elsewhere at end of year2021-12-31$719,887
Assets. Other investments not covered elsewhere at beginning of year2021-12-31$1,084,568
Income. Received or receivable in cash from other sources (including rollovers)2021-12-31$46,630
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year2021-12-31$120
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year2021-12-31$0
Other income not declared elsewhere2021-12-31$54,281
Administrative expenses (other) incurred2021-12-31$14,598
Total non interest bearing cash at end of year2021-12-31$12,003
Total non interest bearing cash at beginning of year2021-12-31$11,911
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$3,733,133
Value of net assets at end of year (total assets less liabilities)2021-12-31$47,006,076
Value of net assets at beginning of year (total assets less liabilities)2021-12-31$43,272,943
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
Investment advisory and management fees2021-12-31$2,620
Value of interest in registered invesment companies (eg mutual funds) at end of year2021-12-31$44,651,872
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2021-12-31$40,180,743
Interest on participant loans2021-12-31$9,640
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2021-12-31$605,033
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2021-12-31$515,510
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2021-12-31$515,510
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)2021-12-31$303
Net investment gain/loss from registered investment companies (e.g. mutual funds)2021-12-31$3,434,849
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$1,376,824
Employer contributions (assets) at end of year2021-12-31$1,069,683
Employer contributions (assets) at beginning of year2021-12-31$794,755
Income. Dividends from common stock2021-12-31$11,307
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2021-12-31$3,781,295
Assets. Corporate common stocks other than exployer securities at end of year2021-12-31$42,395
Assets. Corporate common stocks other than exployer securities at beginning of year2021-12-31$471,831
Liabilities. Value of benefit claims payable at end of year2021-12-31$377,455
Liabilities. Value of benefit claims payable at beginning of year2021-12-31$0
Did the plan have assets held for investment2021-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2021-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2021-12-31No
Opinion of an independent qualified public accountant for this plan2021-12-31Unqualified
Accountancy firm name2021-12-31SIMON LEVER LLC
Accountancy firm EIN2021-12-31231692578
2020 : THOMAS, THOMAS & HAFER, LLP RETIREMENT PLAN 2020 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets2020-12-31$-264,872
Total unrealized appreciation/depreciation of assets2020-12-31$-264,872
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$6,709,920
Total loss/gain on sale of assets2020-12-31$0
Total of all expenses incurred2020-12-31$2,813,057
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2020-12-31$2,774,097
Total contributions o plan (from employers,participants, others, non cash contrinutions)2020-12-31$2,522,029
Value of total assets at end of year2020-12-31$43,272,943
Value of total assets at beginning of year2020-12-31$39,376,080
Total of administrative expenses incurred including professional, contract, advisory and management fees2020-12-31$38,960
Total interest from all sources2020-12-31$11,911
Total dividends received (eg from common stock, registered investment company shares)2020-12-31$881,256
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$860,338
Administrative expenses professional fees incurred2020-12-31$20,218
Was this plan covered by a fidelity bond2020-12-31Yes
Value of fidelity bond cover2020-12-31$500,000
If this is an individual account plan, was there a blackout period2020-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2020-12-31$0
Were there any nonexempt tranactions with any party-in-interest2020-12-31No
Contributions received from participants2020-12-31$1,034,046
Participant contributions at end of year2020-12-31$156,928
Participant contributions at beginning of year2020-12-31$217,336
Participant contributions at end of year2020-12-31$56,697
Participant contributions at beginning of year2020-12-31$53,856
Assets. Other investments not covered elsewhere at end of year2020-12-31$1,084,568
Assets. Other investments not covered elsewhere at beginning of year2020-12-31$1,027,020
Income. Received or receivable in cash from other sources (including rollovers)2020-12-31$173,482
Other income not declared elsewhere2020-12-31$57,548
Administrative expenses (other) incurred2020-12-31$14,598
Total non interest bearing cash at end of year2020-12-31$11,911
Total non interest bearing cash at beginning of year2020-12-31$82,159
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$3,896,863
Value of net assets at end of year (total assets less liabilities)2020-12-31$43,272,943
Value of net assets at beginning of year (total assets less liabilities)2020-12-31$39,376,080
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
Investment advisory and management fees2020-12-31$4,144
Value of interest in registered invesment companies (eg mutual funds) at end of year2020-12-31$40,180,743
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2020-12-31$35,920,970
Interest on participant loans2020-12-31$10,727
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2020-12-31$515,510
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2020-12-31$341,783
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2020-12-31$341,783
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)2020-12-31$1,184
Net investment gain/loss from registered investment companies (e.g. mutual funds)2020-12-31$3,502,048
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$1,314,501
Employer contributions (assets) at end of year2020-12-31$794,755
Employer contributions (assets) at beginning of year2020-12-31$996,246
Income. Dividends from common stock2020-12-31$20,918
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2020-12-31$2,774,097
Assets. Corporate common stocks other than exployer securities at end of year2020-12-31$471,831
Assets. Corporate common stocks other than exployer securities at beginning of year2020-12-31$736,710
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 name2020-12-31SIMON LEVER LLC
Accountancy firm EIN2020-12-31231692578
2019 : THOMAS, THOMAS & HAFER, LLP RETIREMENT PLAN 2019 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets2019-12-31$78,588
Total unrealized appreciation/depreciation of assets2019-12-31$78,588
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2019-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2019-12-31$0
Total income from all sources (including contributions)2019-12-31$9,275,866
Total loss/gain on sale of assets2019-12-31$0
Total of all expenses incurred2019-12-31$4,199,770
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2019-12-31$4,172,676
Total contributions o plan (from employers,participants, others, non cash contrinutions)2019-12-31$3,119,098
Value of total assets at end of year2019-12-31$39,376,080
Value of total assets at beginning of year2019-12-31$34,299,984
Total of administrative expenses incurred including professional, contract, advisory and management fees2019-12-31$27,094
Total interest from all sources2019-12-31$21,042
Total dividends received (eg from common stock, registered investment company shares)2019-12-31$1,009,706
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$988,066
Was this plan covered by a fidelity bond2019-12-31Yes
Value of fidelity bond cover2019-12-31$500,000
If this is an individual account plan, was there a blackout period2019-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2019-12-31$0
Were there any nonexempt tranactions with any party-in-interest2019-12-31No
Contributions received from participants2019-12-31$1,060,645
Participant contributions at end of year2019-12-31$217,336
Participant contributions at beginning of year2019-12-31$243,845
Participant contributions at end of year2019-12-31$53,856
Participant contributions at beginning of year2019-12-31$76,469
Assets. Other investments not covered elsewhere at end of year2019-12-31$1,027,020
Assets. Other investments not covered elsewhere at beginning of year2019-12-31$972,033
Income. Received or receivable in cash from other sources (including rollovers)2019-12-31$725,353
Other income not declared elsewhere2019-12-31$54,986
Administrative expenses (other) incurred2019-12-31$14,598
Total non interest bearing cash at end of year2019-12-31$82,159
Total non interest bearing cash at beginning of year2019-12-31$196,783
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$5,076,096
Value of net assets at end of year (total assets less liabilities)2019-12-31$39,376,080
Value of net assets at beginning of year (total assets less liabilities)2019-12-31$34,299,984
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2019-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2019-12-31No
Were any leases to which the plan was party in default or uncollectible2019-12-31No
Investment advisory and management fees2019-12-31$920
Value of interest in registered invesment companies (eg mutual funds) at end of year2019-12-31$35,920,970
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2019-12-31$30,355,527
Interest on participant loans2019-12-31$12,978
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2019-12-31$341,783
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2019-12-31$685,990
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2019-12-31$685,990
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)2019-12-31$8,064
Net investment gain/loss from registered investment companies (e.g. mutual funds)2019-12-31$4,992,446
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
Has the plan failed to provide any benefit when due under the plan2019-12-31No
Contributions received in cash from employer2019-12-31$1,333,100
Employer contributions (assets) at end of year2019-12-31$996,246
Employer contributions (assets) at beginning of year2019-12-31$958,573
Income. Dividends from common stock2019-12-31$21,640
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2019-12-31$4,172,676
Contract administrator fees2019-12-31$11,576
Assets. Corporate common stocks other than exployer securities at end of year2019-12-31$736,710
Assets. Corporate common stocks other than exployer securities at beginning of year2019-12-31$810,764
Did the plan have assets held for investment2019-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2019-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2019-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2019-12-31Yes
Opinion of an independent qualified public accountant for this plan2019-12-31Disclaimer
Accountancy firm name2019-12-31SIMON LEVER LLC
Accountancy firm EIN2019-12-31231692578
2018 : THOMAS, THOMAS & HAFER, LLP RETIREMENT PLAN 2018 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets2018-12-31$-45,605
Total unrealized appreciation/depreciation of assets2018-12-31$-45,605
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$87,842
Total loss/gain on sale of assets2018-12-31$0
Total of all expenses incurred2018-12-31$504,183
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2018-12-31$478,118
Total contributions o plan (from employers,participants, others, non cash contrinutions)2018-12-31$2,445,590
Value of total assets at end of year2018-12-31$34,299,984
Value of total assets at beginning of year2018-12-31$34,716,325
Total of administrative expenses incurred including professional, contract, advisory and management fees2018-12-31$26,065
Total interest from all sources2018-12-31$19,144
Total dividends received (eg from common stock, registered investment company shares)2018-12-31$988,674
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$967,935
Was this plan covered by a fidelity bond2018-12-31Yes
Value of fidelity bond cover2018-12-31$500,000
If this is an individual account plan, was there a blackout period2018-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2018-12-31$0
Were there any nonexempt tranactions with any party-in-interest2018-12-31No
Contributions received from participants2018-12-31$971,316
Participant contributions at end of year2018-12-31$243,845
Participant contributions at beginning of year2018-12-31$227,188
Participant contributions at end of year2018-12-31$76,469
Participant contributions at beginning of year2018-12-31$110,437
Assets. Other investments not covered elsewhere at end of year2018-12-31$972,033
Assets. Other investments not covered elsewhere at beginning of year2018-12-31$1,020,903
Income. Received or receivable in cash from other sources (including rollovers)2018-12-31$199,810
Value of other receiveables (less allowance for doubtful accounts) at end of year2018-12-31$0
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2018-12-31$3,446
Other income not declared elsewhere2018-12-31$55,530
Administrative expenses (other) incurred2018-12-31$14,598
Total non interest bearing cash at end of year2018-12-31$196,783
Total non interest bearing cash at beginning of year2018-12-31$14,492
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2018-12-31No
Value of net income/loss2018-12-31$-416,341
Value of net assets at end of year (total assets less liabilities)2018-12-31$34,299,984
Value of net assets at beginning of year (total assets less liabilities)2018-12-31$34,716,325
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2018-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2018-12-31No
Were any leases to which the plan was party in default or uncollectible2018-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2018-12-31$30,355,527
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2018-12-31$31,274,693
Interest on participant loans2018-12-31$10,575
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2018-12-31$685,990
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2018-12-31$291,977
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2018-12-31$291,977
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)2018-12-31$8,569
Net investment gain/loss from registered investment companies (e.g. mutual funds)2018-12-31$-3,375,491
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$1,274,464
Employer contributions (assets) at end of year2018-12-31$958,573
Employer contributions (assets) at beginning of year2018-12-31$916,820
Income. Dividends from common stock2018-12-31$20,739
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2018-12-31$478,118
Contract administrator fees2018-12-31$11,467
Assets. Corporate common stocks other than exployer securities at end of year2018-12-31$810,764
Assets. Corporate common stocks other than exployer securities at beginning of year2018-12-31$856,369
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 name2018-12-31BAKER TILLY VIRCHOW KRAUSE, LLP
Accountancy firm EIN2018-12-31390859910
2017 : THOMAS, THOMAS & HAFER, LLP RETIREMENT PLAN 2017 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets2017-12-31$48,672
Total unrealized appreciation/depreciation of assets2017-12-31$48,672
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$6,652,705
Total loss/gain on sale of assets2017-12-31$0
Total of all expenses incurred2017-12-31$974,519
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2017-12-31$942,833
Total contributions o plan (from employers,participants, others, non cash contrinutions)2017-12-31$2,303,572
Value of total assets at end of year2017-12-31$34,716,325
Value of total assets at beginning of year2017-12-31$29,038,139
Total of administrative expenses incurred including professional, contract, advisory and management fees2017-12-31$31,686
Total interest from all sources2017-12-31$10,933
Total dividends received (eg from common stock, registered investment company shares)2017-12-31$864,180
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$846,539
Was this plan covered by a fidelity bond2017-12-31Yes
Value of fidelity bond cover2017-12-31$500,000
If this is an individual account plan, was there a blackout period2017-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2017-12-31$0
Were there any nonexempt tranactions with any party-in-interest2017-12-31No
Contributions received from participants2017-12-31$871,973
Participant contributions at end of year2017-12-31$227,188
Participant contributions at beginning of year2017-12-31$226,811
Participant contributions at end of year2017-12-31$110,437
Participant contributions at beginning of year2017-12-31$109,879
Assets. Other investments not covered elsewhere at end of year2017-12-31$1,020,903
Assets. Other investments not covered elsewhere at beginning of year2017-12-31$962,341
Income. Received or receivable in cash from other sources (including rollovers)2017-12-31$223,232
Value of other receiveables (less allowance for doubtful accounts) at end of year2017-12-31$3,446
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2017-12-31$3,288
Other income not declared elsewhere2017-12-31$58,562
Administrative expenses (other) incurred2017-12-31$17,737
Total non interest bearing cash at end of year2017-12-31$14,492
Total non interest bearing cash at beginning of year2017-12-31$10,313
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$5,678,186
Value of net assets at end of year (total assets less liabilities)2017-12-31$34,716,325
Value of net assets at beginning of year (total assets less liabilities)2017-12-31$29,038,139
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2017-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2017-12-31No
Were any leases to which the plan was party in default or uncollectible2017-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2017-12-31$31,274,693
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2017-12-31$25,810,075
Interest on participant loans2017-12-31$9,503
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2017-12-31$291,977
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2017-12-31$230,573
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2017-12-31$230,573
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)2017-12-31$1,430
Net investment gain/loss from registered investment companies (e.g. mutual funds)2017-12-31$3,366,786
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2017-12-31No
Was there a failure to transmit to the plan any participant contributions2017-12-31No
Has the plan failed to provide any benefit when due under the plan2017-12-31No
Contributions received in cash from employer2017-12-31$1,208,367
Employer contributions (assets) at end of year2017-12-31$916,820
Employer contributions (assets) at beginning of year2017-12-31$876,582
Income. Dividends from common stock2017-12-31$17,641
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2017-12-31$942,833
Contract administrator fees2017-12-31$13,949
Assets. Corporate common stocks other than exployer securities at end of year2017-12-31$856,369
Assets. Corporate common stocks other than exployer securities at beginning of year2017-12-31$808,277
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 name2017-12-31BAKER TILLY VIRCHOW KRAUSE, LLP
Accountancy firm EIN2017-12-31390859910
2016 : THOMAS, THOMAS & HAFER, LLP RETIREMENT PLAN 2016 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets2016-12-31$143,085
Total unrealized appreciation/depreciation of assets2016-12-31$143,085
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$4,585,333
Total loss/gain on sale of assets2016-12-31$0
Total of all expenses incurred2016-12-31$1,659,802
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2016-12-31$1,594,461
Expenses. Certain deemed distributions of participant loans2016-12-31$41,066
Total contributions o plan (from employers,participants, others, non cash contrinutions)2016-12-31$1,961,019
Value of total assets at end of year2016-12-31$29,038,139
Value of total assets at beginning of year2016-12-31$26,112,608
Total of administrative expenses incurred including professional, contract, advisory and management fees2016-12-31$24,275
Total interest from all sources2016-12-31$12,371
Total dividends received (eg from common stock, registered investment company shares)2016-12-31$687,519
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$670,924
Was this plan covered by a fidelity bond2016-12-31Yes
Value of fidelity bond cover2016-12-31$500,000
If this is an individual account plan, was there a blackout period2016-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2016-12-31$0
Were there any nonexempt tranactions with any party-in-interest2016-12-31No
Contributions received from participants2016-12-31$800,352
Participant contributions at end of year2016-12-31$226,811
Participant contributions at beginning of year2016-12-31$285,056
Participant contributions at end of year2016-12-31$109,879
Participant contributions at beginning of year2016-12-31$72,990
Assets. Other investments not covered elsewhere at end of year2016-12-31$962,341
Assets. Other investments not covered elsewhere at beginning of year2016-12-31$900,980
Income. Received or receivable in cash from other sources (including rollovers)2016-12-31$25,604
Value of other receiveables (less allowance for doubtful accounts) at end of year2016-12-31$3,288
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2016-12-31$2,213
Other income not declared elsewhere2016-12-31$61,361
Administrative expenses (other) incurred2016-12-31$18,463
Total non interest bearing cash at end of year2016-12-31$10,313
Total non interest bearing cash at beginning of year2016-12-31$112,388
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$2,925,531
Value of net assets at end of year (total assets less liabilities)2016-12-31$29,038,139
Value of net assets at beginning of year (total assets less liabilities)2016-12-31$26,112,608
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2016-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2016-12-31No
Were any leases to which the plan was party in default or uncollectible2016-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2016-12-31$25,810,075
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2016-12-31$22,519,136
Interest on participant loans2016-12-31$12,098
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2016-12-31$230,573
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2016-12-31$737,598
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2016-12-31$737,598
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)2016-12-31$273
Net investment gain/loss from registered investment companies (e.g. mutual funds)2016-12-31$1,719,978
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$1,135,063
Employer contributions (assets) at end of year2016-12-31$876,582
Employer contributions (assets) at beginning of year2016-12-31$825,757
Income. Dividends from common stock2016-12-31$16,595
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2016-12-31$1,594,461
Contract administrator fees2016-12-31$5,812
Assets. Corporate common stocks other than exployer securities at end of year2016-12-31$808,277
Assets. Corporate common stocks other than exployer securities at beginning of year2016-12-31$656,490
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 name2016-12-31BAKER TILLY VIRCHOW KRAUSE, LLP
Accountancy firm EIN2016-12-31390859910
2015 : THOMAS, THOMAS & HAFER, LLP RETIREMENT PLAN 2015 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets2015-12-31$34,363
Total unrealized appreciation/depreciation of assets2015-12-31$34,363
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$222,721
Total income from all sources (including contributions)2015-12-31$2,062,431
Total loss/gain on sale of assets2015-12-31$0
Total of all expenses incurred2015-12-31$1,866,675
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2015-12-31$1,838,773
Total contributions o plan (from employers,participants, others, non cash contrinutions)2015-12-31$2,253,474
Value of total assets at end of year2015-12-31$26,112,608
Value of total assets at beginning of year2015-12-31$26,139,573
Total of administrative expenses incurred including professional, contract, advisory and management fees2015-12-31$27,902
Total interest from all sources2015-12-31$75,333
Total dividends received (eg from common stock, registered investment company shares)2015-12-31$627,184
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$621,479
Was this plan covered by a fidelity bond2015-12-31Yes
Value of fidelity bond cover2015-12-31$500,000
If this is an individual account plan, was there a blackout period2015-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2015-12-31$0
Were there any nonexempt tranactions with any party-in-interest2015-12-31No
Contributions received from participants2015-12-31$814,055
Participant contributions at end of year2015-12-31$285,056
Participant contributions at beginning of year2015-12-31$272,334
Participant contributions at end of year2015-12-31$72,990
Participant contributions at beginning of year2015-12-31$83,629
Assets. Other investments not covered elsewhere at end of year2015-12-31$900,980
Assets. Other investments not covered elsewhere at beginning of year2015-12-31$936,339
Income. Received or receivable in cash from other sources (including rollovers)2015-12-31$368,841
Value of other receiveables (less allowance for doubtful accounts) at end of year2015-12-31$2,213
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2015-12-31$0
Other income not declared elsewhere2015-12-31$63,457
Administrative expenses (other) incurred2015-12-31$25,652
Total non interest bearing cash at end of year2015-12-31$112,388
Total non interest bearing cash at beginning of year2015-12-31$0
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$195,756
Value of net assets at end of year (total assets less liabilities)2015-12-31$26,112,608
Value of net assets at beginning of year (total assets less liabilities)2015-12-31$25,916,852
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2015-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2015-12-31No
Were any leases to which the plan was party in default or uncollectible2015-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2015-12-31$22,519,136
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2015-12-31$21,953,029
Interest on participant loans2015-12-31$10,420
Interest earned on other investments2015-12-31$64,900
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2015-12-31$737,598
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2015-12-31$788,192
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2015-12-31$788,192
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)2015-12-31$13
Asset value of US Government securities at end of year2015-12-31$0
Asset value of US Government securities at beginning of year2015-12-31$575,001
Net investment gain/loss from registered investment companies (e.g. mutual funds)2015-12-31$-991,380
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$1,070,578
Employer contributions (assets) at end of year2015-12-31$825,757
Employer contributions (assets) at beginning of year2015-12-31$812,386
Income. Dividends from common stock2015-12-31$5,705
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2015-12-31$1,838,773
Contract administrator fees2015-12-31$2,250
Assets. Corporate common stocks other than exployer securities at end of year2015-12-31$656,490
Assets. Corporate common stocks other than exployer securities at beginning of year2015-12-31$718,663
Liabilities. Value of benefit claims payable at end of year2015-12-31$0
Liabilities. Value of benefit claims payable at beginning of year2015-12-31$222,721
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 name2015-12-31BAKER TILLY VIRCHOW KRAUSE, LLP
Accountancy firm EIN2015-12-31390859910
2014 : THOMAS, THOMAS & HAFER, LLP RETIREMENT PLAN 2014 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets2014-12-31$261,650
Total unrealized appreciation/depreciation of assets2014-12-31$261,650
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2014-12-31$222,721
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2014-12-31$250,796
Total income from all sources (including contributions)2014-12-31$3,665,415
Total loss/gain on sale of assets2014-12-31$0
Total of all expenses incurred2014-12-31$1,772,053
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2014-12-31$1,740,302
Total contributions o plan (from employers,participants, others, non cash contrinutions)2014-12-31$2,044,425
Value of total assets at end of year2014-12-31$26,139,573
Value of total assets at beginning of year2014-12-31$24,274,286
Total of administrative expenses incurred including professional, contract, advisory and management fees2014-12-31$31,751
Total interest from all sources2014-12-31$9,585
Total dividends received (eg from common stock, registered investment company shares)2014-12-31$617,508
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$609,672
Was this plan covered by a fidelity bond2014-12-31Yes
Value of fidelity bond cover2014-12-31$1,000,000
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$840,006
Participant contributions at end of year2014-12-31$272,334
Participant contributions at beginning of year2014-12-31$186,115
Participant contributions at end of year2014-12-31$83,629
Participant contributions at beginning of year2014-12-31$64,851
Assets. Other investments not covered elsewhere at end of year2014-12-31$936,339
Assets. Other investments not covered elsewhere at beginning of year2014-12-31$869,177
Income. Received or receivable in cash from other sources (including rollovers)2014-12-31$139,190
Other income not declared elsewhere2014-12-31$67,162
Administrative expenses (other) incurred2014-12-31$25,889
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$1,893,362
Value of net assets at end of year (total assets less liabilities)2014-12-31$25,916,852
Value of net assets at beginning of year (total assets less liabilities)2014-12-31$24,023,490
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$21,953,029
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2014-12-31$20,301,576
Interest on participant loans2014-12-31$9,566
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2014-12-31$788,192
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2014-12-31$960,812
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2014-12-31$960,812
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)2014-12-31$19
Asset value of US Government securities at end of year2014-12-31$575,001
Asset value of US Government securities at beginning of year2014-12-31$568,186
Net investment gain/loss from registered investment companies (e.g. mutual funds)2014-12-31$665,085
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$1,065,229
Employer contributions (assets) at end of year2014-12-31$812,386
Employer contributions (assets) at beginning of year2014-12-31$795,784
Income. Dividends from common stock2014-12-31$7,836
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2014-12-31$1,740,302
Contract administrator fees2014-12-31$5,862
Assets. Corporate common stocks other than exployer securities at end of year2014-12-31$718,663
Assets. Corporate common stocks other than exployer securities at beginning of year2014-12-31$527,785
Liabilities. Value of benefit claims payable at end of year2014-12-31$222,721
Liabilities. Value of benefit claims payable at beginning of year2014-12-31$250,796
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 name2014-12-31SELIGMAN, FRIEDMAN & CO., P.C.
Accountancy firm EIN2014-12-31232708607
2013 : THOMAS, THOMAS & HAFER, LLP RETIREMENT PLAN 2013 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets2013-12-31$50,592
Total unrealized appreciation/depreciation of assets2013-12-31$50,592
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2013-12-31$250,796
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$6,626,109
Total loss/gain on sale of assets2013-12-31$0
Total of all expenses incurred2013-12-31$4,157,555
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2013-12-31$4,119,009
Total contributions o plan (from employers,participants, others, non cash contrinutions)2013-12-31$2,188,835
Value of total assets at end of year2013-12-31$24,274,286
Value of total assets at beginning of year2013-12-31$21,554,936
Total of administrative expenses incurred including professional, contract, advisory and management fees2013-12-31$38,546
Total interest from all sources2013-12-31$9,582
Total dividends received (eg from common stock, registered investment company shares)2013-12-31$605,304
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$591,119
Was this plan covered by a fidelity bond2013-12-31Yes
Value of fidelity bond cover2013-12-31$1,000,000
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$879,033
Participant contributions at end of year2013-12-31$186,115
Participant contributions at beginning of year2013-12-31$219,682
Participant contributions at end of year2013-12-31$64,851
Participant contributions at beginning of year2013-12-31$88,005
Assets. Other investments not covered elsewhere at end of year2013-12-31$869,177
Assets. Other investments not covered elsewhere at beginning of year2013-12-31$804,549
Income. Received or receivable in cash from other sources (including rollovers)2013-12-31$240,988
Other income not declared elsewhere2013-12-31$31,220
Administrative expenses (other) incurred2013-12-31$25,862
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$2,468,554
Value of net assets at end of year (total assets less liabilities)2013-12-31$24,023,490
Value of net assets at beginning of year (total assets less liabilities)2013-12-31$21,554,936
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$20,301,576
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2013-12-31$18,108,759
Interest on participant loans2013-12-31$9,520
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2013-12-31$960,812
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2013-12-31$576,416
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2013-12-31$576,416
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)2013-12-31$62
Asset value of US Government securities at end of year2013-12-31$568,186
Asset value of US Government securities at beginning of year2013-12-31$570,723
Net investment gain/loss from registered investment companies (e.g. mutual funds)2013-12-31$3,740,576
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$1,068,814
Employer contributions (assets) at end of year2013-12-31$795,784
Employer contributions (assets) at beginning of year2013-12-31$855,572
Income. Dividends from common stock2013-12-31$14,185
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2013-12-31$4,119,009
Contract administrator fees2013-12-31$12,684
Assets. Corporate common stocks other than exployer securities at end of year2013-12-31$527,785
Assets. Corporate common stocks other than exployer securities at beginning of year2013-12-31$331,230
Liabilities. Value of benefit claims payable at end of year2013-12-31$250,796
Liabilities. Value of benefit claims payable at beginning of year2013-12-31$0
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 name2013-12-31SELIGMAN, FRIEDMAN & CO., P.C.
Accountancy firm EIN2013-12-31232708607
2012 : THOMAS, THOMAS & HAFER, LLP RETIREMENT PLAN 2012 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets2012-12-31$7,855
Total unrealized appreciation/depreciation of assets2012-12-31$7,855
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$4,292,790
Total loss/gain on sale of assets2012-12-31$0
Total of all expenses incurred2012-12-31$521,247
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2012-12-31$486,033
Value of total corrective distributions2012-12-31$193
Total contributions o plan (from employers,participants, others, non cash contrinutions)2012-12-31$2,074,803
Value of total assets at end of year2012-12-31$21,554,936
Value of total assets at beginning of year2012-12-31$17,783,393
Total of administrative expenses incurred including professional, contract, advisory and management fees2012-12-31$35,021
Total interest from all sources2012-12-31$9,946
Total dividends received (eg from common stock, registered investment company shares)2012-12-31$560,241
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$548,902
Was this plan covered by a fidelity bond2012-12-31Yes
Value of fidelity bond cover2012-12-31$1,000,000
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$857,248
Participant contributions at end of year2012-12-31$219,682
Participant contributions at beginning of year2012-12-31$187,556
Participant contributions at end of year2012-12-31$88,005
Participant contributions at beginning of year2012-12-31$0
Assets. Other investments not covered elsewhere at end of year2012-12-31$804,549
Assets. Other investments not covered elsewhere at beginning of year2012-12-31$741,938
Income. Received or receivable in cash from other sources (including rollovers)2012-12-31$90,078
Other income not declared elsewhere2012-12-31$29,580
Administrative expenses (other) incurred2012-12-31$25,544
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$3,771,543
Value of net assets at end of year (total assets less liabilities)2012-12-31$21,554,936
Value of net assets at beginning of year (total assets less liabilities)2012-12-31$17,783,393
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$18,108,759
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2012-12-31$14,759,917
Interest on participant loans2012-12-31$9,900
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2012-12-31$576,416
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2012-12-31$360,508
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2012-12-31$360,508
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)2012-12-31$46
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2012-12-31$0
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2012-12-31$0
Asset value of US Government securities at end of year2012-12-31$570,723
Asset value of US Government securities at beginning of year2012-12-31$557,973
Net investment gain/loss from registered investment companies (e.g. mutual funds)2012-12-31$1,610,365
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$1,127,477
Employer contributions (assets) at end of year2012-12-31$855,572
Employer contributions (assets) at beginning of year2012-12-31$852,795
Income. Dividends from common stock2012-12-31$11,339
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2012-12-31$486,033
Contract administrator fees2012-12-31$9,477
Assets. Corporate common stocks other than exployer securities at end of year2012-12-31$331,230
Assets. Corporate common stocks other than exployer securities at beginning of year2012-12-31$322,706
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 name2012-12-31SELIGMAN, FRIEDMAN & CO., P.C.
Accountancy firm EIN2012-12-31232708607
2011 : THOMAS, THOMAS & HAFER, LLP RETIREMENT PLAN 2011 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets2011-12-31$8,006
Total unrealized appreciation/depreciation of assets2011-12-31$8,006
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$1,715,048
Total loss/gain on sale of assets2011-12-31$0
Total of all expenses incurred2011-12-31$1,207,574
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2011-12-31$1,180,400
Total contributions o plan (from employers,participants, others, non cash contrinutions)2011-12-31$2,032,877
Value of total assets at end of year2011-12-31$17,783,393
Value of total assets at beginning of year2011-12-31$17,275,919
Total of administrative expenses incurred including professional, contract, advisory and management fees2011-12-31$27,174
Total interest from all sources2011-12-31$15,979
Total dividends received (eg from common stock, registered investment company shares)2011-12-31$418,124
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$418,124
Was this plan covered by a fidelity bond2011-12-31Yes
Value of fidelity bond cover2011-12-31$1,000,000
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$813,796
Participant contributions at end of year2011-12-31$187,556
Participant contributions at beginning of year2011-12-31$135,726
Participant contributions at end of year2011-12-31$0
Participant contributions at beginning of year2011-12-31$62,434
Assets. Other investments not covered elsewhere at end of year2011-12-31$741,938
Assets. Other investments not covered elsewhere at beginning of year2011-12-31$681,613
Income. Received or receivable in cash from other sources (including rollovers)2011-12-31$76,072
Other income not declared elsewhere2011-12-31$26,874
Administrative expenses (other) incurred2011-12-31$25,474
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$507,474
Value of net assets at end of year (total assets less liabilities)2011-12-31$17,783,393
Value of net assets at beginning of year (total assets less liabilities)2011-12-31$17,275,919
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$14,759,917
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2011-12-31$13,871,380
Interest on participant loans2011-12-31$9,481
Interest earned on other investments2011-12-31$5,575
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2011-12-31$360,508
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2011-12-31$512,313
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2011-12-31$512,313
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)2011-12-31$923
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2011-12-31$0
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2011-12-31$445,606
Asset value of US Government securities at end of year2011-12-31$557,973
Asset value of US Government securities at beginning of year2011-12-31$505,667
Net investment gain/loss from registered investment companies (e.g. mutual funds)2011-12-31$-786,812
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$1,143,009
Employer contributions (assets) at end of year2011-12-31$852,795
Employer contributions (assets) at beginning of year2011-12-31$745,678
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2011-12-31$1,180,400
Contract administrator fees2011-12-31$1,700
Assets. Corporate common stocks other than exployer securities at end of year2011-12-31$322,706
Assets. Corporate common stocks other than exployer securities at beginning of year2011-12-31$315,502
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 name2011-12-31SELIGMAN, FRIEDMAN & CO., P.C.
Accountancy firm EIN2011-12-31232708607
2010 : THOMAS, THOMAS & HAFER, LLP RETIREMENT PLAN 2010 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets2010-12-31$30,301
Total unrealized appreciation/depreciation of assets2010-12-31$30,301
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$3,363,860
Total loss/gain on sale of assets2010-12-31$0
Total of all expenses incurred2010-12-31$503,268
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2010-12-31$501,373
Total contributions o plan (from employers,participants, others, non cash contrinutions)2010-12-31$1,606,074
Value of total assets at end of year2010-12-31$17,275,919
Value of total assets at beginning of year2010-12-31$14,415,327
Total of administrative expenses incurred including professional, contract, advisory and management fees2010-12-31$1,895
Total interest from all sources2010-12-31$20,545
Total dividends received (eg from common stock, registered investment company shares)2010-12-31$159,419
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$159,419
Was this plan covered by a fidelity bond2010-12-31Yes
Value of fidelity bond cover2010-12-31$1,000,000
If this is an individual account plan, was there a blackout period2010-12-31Yes
Were there any nonexempt tranactions with any party-in-interest2010-12-31No
Contributions received from participants2010-12-31$615,034
Participant contributions at end of year2010-12-31$135,726
Participant contributions at beginning of year2010-12-31$129,744
Participant contributions at end of year2010-12-31$62,434
Participant contributions at beginning of year2010-12-31$100
Assets. Other investments not covered elsewhere at end of year2010-12-31$681,613
Assets. Other investments not covered elsewhere at beginning of year2010-12-31$815,987
Income. Received or receivable in cash from other sources (including rollovers)2010-12-31$62,188
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2010-12-31$0
Other income not declared elsewhere2010-12-31$26,375
Administrative expenses (other) incurred2010-12-31$1,282
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$2,860,592
Value of net assets at end of year (total assets less liabilities)2010-12-31$17,275,919
Value of net assets at beginning of year (total assets less liabilities)2010-12-31$14,415,327
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
Value of interest in registered invesment companies (eg mutual funds) at end of year2010-12-31$13,871,380
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2010-12-31$11,476,549
Interest on participant loans2010-12-31$8,128
Interest earned on other investments2010-12-31$12,412
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2010-12-31$512,313
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2010-12-31$385,416
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2010-12-31$385,416
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)2010-12-31$5
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2010-12-31$445,606
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2010-12-31$309,227
Asset value of US Government securities at end of year2010-12-31$505,667
Asset value of US Government securities at beginning of year2010-12-31$460,509
Net investment gain/loss from registered investment companies (e.g. mutual funds)2010-12-31$1,521,146
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$928,852
Employer contributions (assets) at end of year2010-12-31$745,678
Employer contributions (assets) at beginning of year2010-12-31$694,471
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2010-12-31$501,373
Contract administrator fees2010-12-31$613
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-32010-12-31Yes
Assets. Corporate common stocks other than exployer securities at end of year2010-12-31$315,502
Assets. Corporate common stocks other than exployer securities at beginning of year2010-12-31$143,324
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 name2010-12-31SELIGMAN, FRIEDMAN & CO., P.C.
Accountancy firm EIN2010-12-31232708607
2009 : THOMAS, THOMAS & HAFER, LLP RETIREMENT 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 THOMAS, THOMAS & HAFER, LLP RETIREMENT PLAN

2022: THOMAS, THOMAS & HAFER, LLP RETIREMENT 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: THOMAS, THOMAS & HAFER, LLP RETIREMENT 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: THOMAS, THOMAS & HAFER, LLP RETIREMENT 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: THOMAS, THOMAS & HAFER, LLP RETIREMENT 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: THOMAS, THOMAS & HAFER, LLP RETIREMENT 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: THOMAS, THOMAS & HAFER, LLP RETIREMENT 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: THOMAS, THOMAS & HAFER, LLP RETIREMENT 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: THOMAS, THOMAS & HAFER, LLP RETIREMENT 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: THOMAS, THOMAS & HAFER, LLP RETIREMENT 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: THOMAS, THOMAS & HAFER, LLP RETIREMENT 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: THOMAS, THOMAS & HAFER, LLP RETIREMENT 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: THOMAS, THOMAS & HAFER, LLP RETIREMENT PLAN 2011 form 5500 responses
2011-01-01Type of plan entitySingle employer plan
2011-01-01Submission has been amendedNo
2011-01-01This submission is the final filingNo
2011-01-01This return/report is a short plan year return/report (less than 12 months)No
2011-01-01Plan is a collectively bargained planNo
2011-01-01Plan funding arrangement – InsuranceYes
2011-01-01Plan funding arrangement – TrustYes
2011-01-01Plan benefit arrangement – InsuranceYes
2011-01-01Plan benefit arrangement - TrustYes
2010: THOMAS, THOMAS & HAFER, LLP RETIREMENT PLAN 2010 form 5500 responses
2010-01-01Type of plan entitySingle employer plan
2010-01-01Submission has been amendedNo
2010-01-01This submission is the final filingNo
2010-01-01This return/report is a short plan year return/report (less than 12 months)No
2010-01-01Plan is a collectively bargained planNo
2010-01-01Plan funding arrangement – InsuranceYes
2010-01-01Plan funding arrangement – TrustYes
2010-01-01Plan benefit arrangement – InsuranceYes
2010-01-01Plan benefit arrangement - TrustYes
2009: THOMAS, THOMAS & HAFER, LLP RETIREMENT PLAN 2009 form 5500 responses
2009-01-01Type of plan entitySingle employer plan
2009-01-01This submission is the final filingNo
2009-01-01This return/report is a short plan year return/report (less than 12 months)No
2009-01-01Plan is a collectively bargained planNo
2009-01-01Plan funding arrangement – InsuranceYes
2009-01-01Plan funding arrangement – TrustYes
2009-01-01Plan benefit arrangement – InsuranceYes
2009-01-01Plan benefit arrangement - TrustYes

Insurance Providers Used on plan

NORTHWESTERN MUTUAL (National Association of Insurance Commissioners NAIC id number: 67091 )
Policy contract number35721
Policy instance 1
Insurance contract or identification number35721
Number of Individuals Covered4
Insurance policy start date2022-01-01
Insurance policy end date2022-12-31
Total amount of commissions paid to insurance brokerUSD $113
Total amount of fees paid to insurance companyUSD $25
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 BenefitYes
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
Commission paid to Insurance BrokerUSD $88
Amount paid for insurance broker fees22
Additional information about fees paid to insurance brokerPERSISTENCY FEES/OTHER COMPENSATION
Insurance broker organization code?3
NORTHWESTERN MUTUAL (National Association of Insurance Commissioners NAIC id number: 67091 )
Policy contract number35721
Policy instance 1
Insurance contract or identification number35721
Number of Individuals Covered4
Insurance policy start date2021-01-01
Insurance policy end date2021-12-31
Total amount of commissions paid to insurance brokerUSD $251
Total amount of fees paid to insurance companyUSD $316
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 BenefitYes
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
Commission paid to Insurance BrokerUSD $195
Amount paid for insurance broker fees309
Additional information about fees paid to insurance brokerPERSISTENCY FEES/OTHER COMPENSATION
Insurance broker organization code?3
NORTHWESTERN MUTUAL (National Association of Insurance Commissioners NAIC id number: 67091 )
Policy contract number35721
Policy instance 1
Insurance contract or identification number35721
Number of Individuals Covered5
Insurance policy start date2020-01-01
Insurance policy end date2020-12-31
Total amount of commissions paid to insurance brokerUSD $251
Total amount of fees paid to insurance companyUSD $426
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 BenefitYes
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
Commission paid to Insurance BrokerUSD $195
Amount paid for insurance broker fees419
Additional information about fees paid to insurance brokerPERSISTENCY FEES/OTHER COMPENSATION
Insurance broker organization code?3
NORTHWESTERN MUTUAL (National Association of Insurance Commissioners NAIC id number: 67091 )
Policy contract number35721
Policy instance 1
Insurance contract or identification number35721
Number of Individuals Covered5
Insurance policy start date2019-01-01
Insurance policy end date2019-12-31
Total amount of commissions paid to insurance brokerUSD $251
Total amount of fees paid to insurance companyUSD $426
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 BenefitYes
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
Commission paid to Insurance BrokerUSD $195
Amount paid for insurance broker fees419
Additional information about fees paid to insurance brokerPERSISTENCY FEES/OTHER COMPENSATION
Insurance broker organization code?3
NORTHWESTERN MUTUAL (National Association of Insurance Commissioners NAIC id number: 67091 )
Policy contract number35721
Policy instance 1
Insurance contract or identification number35721
Number of Individuals Covered5
Insurance policy start date2018-01-01
Insurance policy end date2018-12-31
Total amount of commissions paid to insurance brokerUSD $251
Total amount of fees paid to insurance companyUSD $426
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 BenefitYes
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
Commission paid to Insurance BrokerUSD $56
Amount paid for insurance broker fees7
Additional information about fees paid to insurance brokerOTHER COMPENSATION
Insurance broker organization code?3
NORTHWESTERN MUTUAL (National Association of Insurance Commissioners NAIC id number: 67091 )
Policy contract number35721
Policy instance 1
Insurance contract or identification number35721
Number of Individuals Covered6
Insurance policy start date2017-01-01
Insurance policy end date2017-12-31
Total amount of commissions paid to insurance brokerUSD $289
Total amount of fees paid to insurance companyUSD $510
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 BenefitYes
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
Commission paid to Insurance BrokerUSD $225
Amount paid for insurance broker fees499
Additional information about fees paid to insurance brokerPERSISTENCY FEES/OTHER COMPENSATION
Insurance broker organization code?3
Insurance broker nameGUINAN FNCL GROUP LLC
NORTHWESTERN MUTUAL (National Association of Insurance Commissioners NAIC id number: 67091 )
Policy contract number35721
Policy instance 1
Insurance contract or identification number35721
Number of Individuals Covered6
Insurance policy start date2015-01-01
Insurance policy end date2015-12-31
Total amount of commissions paid to insurance brokerUSD $311
Total amount of fees paid to insurance companyUSD $771
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 BenefitYes
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
Commission paid to Insurance BrokerUSD $242
Amount paid for insurance broker fees760
Additional information about fees paid to insurance brokerPERSISTENCY FEES/OTHER COMPENSATION
Insurance broker organization code?3
Insurance broker nameGUINAN FNCL GROUP LLC
NORTHWESTERN MUTUAL (National Association of Insurance Commissioners NAIC id number: 67091 )
Policy contract number35721
Policy instance 1
Insurance contract or identification number35721
Number of Individuals Covered7
Insurance policy start date2014-01-01
Insurance policy end date2014-12-31
Total amount of commissions paid to insurance brokerUSD $311
Total amount of fees paid to insurance companyUSD $764
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 BenefitYes
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
Commission paid to Insurance BrokerUSD $242
Amount paid for insurance broker fees755
Additional information about fees paid to insurance brokerPERSISTENCY FEES/OTHER COMPENSATION
Insurance broker organization code?3
Insurance broker nameGUINAN FNCL GROUP LLC
NORTHWESTERN MUTUAL (National Association of Insurance Commissioners NAIC id number: 67091 )
Policy contract number35721
Policy instance 1
Insurance contract or identification number35721
Number of Individuals Covered7
Insurance policy start date2013-01-01
Insurance policy end date2013-12-31
Total amount of commissions paid to insurance brokerUSD $311
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 BenefitYes
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
Welfare Benefit Premiums Paid to CarrierUSD $33,407
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
Commission paid to Insurance BrokerUSD $311
Insurance broker organization code?3
Insurance broker nameJOHN R MILLER
NORTHWESTERN MUTUAL (National Association of Insurance Commissioners NAIC id number: 67091 )
Policy contract number35721
Policy instance 1
Insurance contract or identification number35721
Number of Individuals Covered7
Insurance policy start date2012-01-01
Insurance policy end date2012-12-31
Total amount of commissions paid to insurance brokerUSD $783
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 BenefitYes
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
Welfare Benefit Premiums Paid to CarrierUSD $33,031
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
Commission paid to Insurance BrokerUSD $783
Insurance broker organization code?3
Insurance broker nameJOHN R MILLER
NORTHWESTERN MUTUAL (National Association of Insurance Commissioners NAIC id number: 67091 )
Policy contract number35721
Policy instance 1
Insurance contract or identification number35721
Number of Individuals Covered7
Insurance policy start date2011-01-01
Insurance policy end date2011-12-31
Total amount of commissions paid to insurance brokerUSD $714
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 BenefitYes
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
Welfare Benefit Premiums Paid to CarrierUSD $33,451
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
PRINCIPAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 61271 )
Policy contract number441462
Policy instance 2
Insurance contract or identification number441462
Number of Individuals Covered0
Insurance policy start date2011-01-01
Insurance policy end date2011-09-13
Total amount of commissions paid to insurance brokerUSD $596
Total amount of fees paid to insurance companyUSD $0
Are there contracts with allocated funds for individual policies?No
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?Yes
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Other welfare benefits providedFIXED INCOME INVESTMENT OPTION
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
PRINCIPAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 61271 )
Policy contract number441462
Policy instance 2
Insurance contract or identification number441462
Number of Individuals Covered145
Insurance policy start date2010-01-01
Insurance policy end date2010-12-31
Total amount of commissions paid to insurance brokerUSD $17,892
Total amount of fees paid to insurance companyUSD $11,484
Are there contracts with allocated funds for individual policies?No
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?Yes
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Commission paid to Insurance BrokerUSD $17,892
Amount paid for insurance broker fees11484
Additional information about fees paid to insurance brokerREFERRAL/SERVICE FEE
Insurance broker organization code?3
Insurance broker nameNORTHWESTERN MUTUAL INVESTMENT SERV
NORTHWESTERN MUTUAL (National Association of Insurance Commissioners NAIC id number: 67091 )
Policy contract number35721
Policy instance 1
Insurance contract or identification number35721
Number of Individuals Covered7
Insurance policy start date2010-01-01
Insurance policy end date2010-12-31
Total amount of commissions paid to insurance brokerUSD $804
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 BenefitYes
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
Welfare Benefit Premiums Paid to CarrierUSD $37,478
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
Commission paid to Insurance BrokerUSD $804
Amount paid for insurance broker fees0
Insurance broker organization code?3
Insurance broker nameJOHN R MILLER

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