401k Plan data: GENEVA FINANCIAL, LLC 401(K) PLAN plan

GENEVA FINANCIAL, LLC 401(K) PLAN 401k Plan overview

Plan Name	GENEVA FINANCIAL, LLC 401(K) PLAN
Plan identification number	001

GENEVA FINANCIAL, LLC 401(K) PLAN Benefits

401k Plan Type

Defined Contribution Pension

Plan Features/Benefits

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

401k Sponsoring company profile

GENEVA FINANCIAL, LLC has sponsored the creation of one or more 401k plans.

Company Name: GENEVA FINANCIAL, LLC

Employer identification number (EIN): 261589507

NAIC Classification: 523110
NAIC Description: Investment Banking and Securities Dealing

Additional information about GENEVA FINANCIAL, LLC

Jurisdiction of Incorporation: Wyoming Corporations Division

Incorporation Date: 2016-03-17

Company Identification Number: 000709360

Legal Registered Office Address: 1623 Central Ave. Suite 204

Cheyenne
United States of America (USA)
82001

More information about GENEVA FINANCIAL, LLC

Form 5500 Filing Information

Submission information for form 5500 for 401k plan GENEVA FINANCIAL, LLC 401(K) PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2022-01-01
001 2021-01-01
001 2020-01-01
001 2019-01-01
001 2018-01-01
001 2017-01-01 SCOTT E. MERTENS SCOTT E. MERTENS 2018-10-15
001 2016-01-01 SCOTT E. MERTENS SCOTT E. MERTENS 2017-10-13
001 2016-01-01 SCOTT E. MERTENS 2017-10-13
001 2015-01-01 SCOTT E MERTENS 2016-06-14 GENEVA FINANCIAL, LLC 2016-06-14
001 2014-01-01 SCOTT E MERTENS 2015-07-02 SCOTT E MERTENS 2015-07-02

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed	Name of Company Sponsor	Date Sponsor Signed
001	2022-01-01
001	2021-01-01
001	2020-01-01
001	2019-01-01
001	2018-01-01
001	2017-01-01	SCOTT E. MERTENS		SCOTT E. MERTENS	2018-10-15
001	2016-01-01	SCOTT E. MERTENS		SCOTT E. MERTENS	2017-10-13
001	2016-01-01			SCOTT E. MERTENS	2017-10-13
001	2015-01-01	SCOTT E MERTENS	2016-06-14	GENEVA FINANCIAL, LLC	2016-06-14
001	2014-01-01	SCOTT E MERTENS	2015-07-02	SCOTT E MERTENS	2015-07-02

Plan Statistics for GENEVA FINANCIAL, LLC 401(K) PLAN

401k plan membership statisitcs for GENEVA FINANCIAL, LLC 401(K) PLAN

Measure Date Value
2022: GENEVA FINANCIAL, LLC 401(K) PLAN 2022 401k membership
Total participants, beginning-of-year 2022-01-01 602
Total number of active participants reported on line 7a of the Form 5500 2022-01-01 491
Number of retired or separated participants receiving benefits 2022-01-01 11
Number of other retired or separated participants entitled to future benefits 2022-01-01 43
Total of all active and inactive participants 2022-01-01 545
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2022-01-01 0
Total participants 2022-01-01 545
Number of participants with account balances 2022-01-01 164
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2022-01-01 5
2021: GENEVA FINANCIAL, LLC 401(K) PLAN 2021 401k membership
Total participants, beginning-of-year 2021-01-01 442
Total number of active participants reported on line 7a of the Form 5500 2021-01-01 597
Number of retired or separated participants receiving benefits 2021-01-01 3
Number of other retired or separated participants entitled to future benefits 2021-01-01 21
Total of all active and inactive participants 2021-01-01 621
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2021-01-01 0
Total participants 2021-01-01 621
Number of participants with account balances 2021-01-01 140
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2021-01-01 0
2020: GENEVA FINANCIAL, LLC 401(K) PLAN 2020 401k membership
Total participants, beginning-of-year 2020-01-01 298
Total number of active participants reported on line 7a of the Form 5500 2020-01-01 394
Number of retired or separated participants receiving benefits 2020-01-01 2
Number of other retired or separated participants entitled to future benefits 2020-01-01 22
Total of all active and inactive participants 2020-01-01 418
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2020-01-01 0
Total participants 2020-01-01 418
Number of participants with account balances 2020-01-01 100
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2020-01-01 0
2019: GENEVA FINANCIAL, LLC 401(K) PLAN 2019 401k membership
Total participants, beginning-of-year 2019-01-01 274
Total number of active participants reported on line 7a of the Form 5500 2019-01-01 273
Number of retired or separated participants receiving benefits 2019-01-01 0
Number of other retired or separated participants entitled to future benefits 2019-01-01 10
Total of all active and inactive participants 2019-01-01 283
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2019-01-01 0
Total participants 2019-01-01 283
Number of participants with account balances 2019-01-01 38
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2019-01-01 0
2018: GENEVA FINANCIAL, LLC 401(K) PLAN 2018 401k membership
Total participants, beginning-of-year 2018-01-01 200
Total number of active participants reported on line 7a of the Form 5500 2018-01-01 282
Number of retired or separated participants receiving benefits 2018-01-01 1
Number of other retired or separated participants entitled to future benefits 2018-01-01 7
Total of all active and inactive participants 2018-01-01 290
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2018-01-01 0
Total participants 2018-01-01 290
Number of participants with account balances 2018-01-01 26
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2018-01-01 1
2017: GENEVA FINANCIAL, LLC 401(K) PLAN 2017 401k membership
Total participants, beginning-of-year 2017-01-01 184
Total number of active participants reported on line 7a of the Form 5500 2017-01-01 116
Number of retired or separated participants receiving benefits 2017-01-01 1
Number of other retired or separated participants entitled to future benefits 2017-01-01 8
Total of all active and inactive participants 2017-01-01 125
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2017-01-01 0
Total participants 2017-01-01 125
Number of participants with account balances 2017-01-01 25
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2017-01-01 0
2016: GENEVA FINANCIAL, LLC 401(K) PLAN 2016 401k membership
Total participants, beginning-of-year 2016-01-01 166
Total number of active participants reported on line 7a of the Form 5500 2016-01-01 163
Number of retired or separated participants receiving benefits 2016-01-01 1
Number of other retired or separated participants entitled to future benefits 2016-01-01 6
Total of all active and inactive participants 2016-01-01 170
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2016-01-01 0
Total participants 2016-01-01 170
Number of participants with account balances 2016-01-01 19
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2016-01-01 1

Measure	Date	Value
2022: GENEVA FINANCIAL, LLC 401(K) PLAN 2022 401k membership
Total participants, beginning-of-year	2022-01-01	602
Total number of active participants reported on line 7a of the Form 5500	2022-01-01	491
Number of retired or separated participants receiving benefits	2022-01-01	11
Number of other retired or separated participants entitled to future benefits	2022-01-01	43
Total of all active and inactive participants	2022-01-01	545
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2022-01-01	0
Total participants	2022-01-01	545
Number of participants with account balances	2022-01-01	164
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2022-01-01	5
2021: GENEVA FINANCIAL, LLC 401(K) PLAN 2021 401k membership
Total participants, beginning-of-year	2021-01-01	442
Total number of active participants reported on line 7a of the Form 5500	2021-01-01	597
Number of retired or separated participants receiving benefits	2021-01-01	3
Number of other retired or separated participants entitled to future benefits	2021-01-01	21
Total of all active and inactive participants	2021-01-01	621
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2021-01-01	0
Total participants	2021-01-01	621
Number of participants with account balances	2021-01-01	140
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2021-01-01	0
2020: GENEVA FINANCIAL, LLC 401(K) PLAN 2020 401k membership
Total participants, beginning-of-year	2020-01-01	298
Total number of active participants reported on line 7a of the Form 5500	2020-01-01	394
Number of retired or separated participants receiving benefits	2020-01-01	2
Number of other retired or separated participants entitled to future benefits	2020-01-01	22
Total of all active and inactive participants	2020-01-01	418
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2020-01-01	0
Total participants	2020-01-01	418
Number of participants with account balances	2020-01-01	100
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2020-01-01	0
2019: GENEVA FINANCIAL, LLC 401(K) PLAN 2019 401k membership
Total participants, beginning-of-year	2019-01-01	274
Total number of active participants reported on line 7a of the Form 5500	2019-01-01	273
Number of retired or separated participants receiving benefits	2019-01-01	0
Number of other retired or separated participants entitled to future benefits	2019-01-01	10
Total of all active and inactive participants	2019-01-01	283
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2019-01-01	0
Total participants	2019-01-01	283
Number of participants with account balances	2019-01-01	38
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2019-01-01	0
2018: GENEVA FINANCIAL, LLC 401(K) PLAN 2018 401k membership
Total participants, beginning-of-year	2018-01-01	200
Total number of active participants reported on line 7a of the Form 5500	2018-01-01	282
Number of retired or separated participants receiving benefits	2018-01-01	1
Number of other retired or separated participants entitled to future benefits	2018-01-01	7
Total of all active and inactive participants	2018-01-01	290
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2018-01-01	0
Total participants	2018-01-01	290
Number of participants with account balances	2018-01-01	26
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2018-01-01	1
2017: GENEVA FINANCIAL, LLC 401(K) PLAN 2017 401k membership
Total participants, beginning-of-year	2017-01-01	184
Total number of active participants reported on line 7a of the Form 5500	2017-01-01	116
Number of retired or separated participants receiving benefits	2017-01-01	1
Number of other retired or separated participants entitled to future benefits	2017-01-01	8
Total of all active and inactive participants	2017-01-01	125
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2017-01-01	0
Total participants	2017-01-01	125
Number of participants with account balances	2017-01-01	25
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2017-01-01	0
2016: GENEVA FINANCIAL, LLC 401(K) PLAN 2016 401k membership
Total participants, beginning-of-year	2016-01-01	166
Total number of active participants reported on line 7a of the Form 5500	2016-01-01	163
Number of retired or separated participants receiving benefits	2016-01-01	1
Number of other retired or separated participants entitled to future benefits	2016-01-01	6
Total of all active and inactive participants	2016-01-01	170
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2016-01-01	0
Total participants	2016-01-01	170
Number of participants with account balances	2016-01-01	19
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2016-01-01	1

Financial Data on GENEVA FINANCIAL, LLC 401(K) PLAN

Measure	Date	Value
2022 : GENEVA FINANCIAL, LLC 401(K) PLAN 2022 401k financial data
Total unrealized appreciation/depreciation of assets	2022-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2022-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2022-12-31	$0
Total income from all sources (including contributions)	2022-12-31	$829,038
Total loss/gain on sale of assets	2022-12-31	$0
Total of all expenses incurred	2022-12-31	$524,999
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2022-12-31	$497,042
Value of total corrective distributions	2022-12-31	$14,490
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2022-12-31	$1,506,037
Value of total assets at end of year	2022-12-31	$3,934,548
Value of total assets at beginning of year	2022-12-31	$3,630,509
Total of administrative expenses incurred including professional, contract, advisory and management fees	2022-12-31	$13,467
Total interest from all sources	2022-12-31	$7,595
Total dividends received (eg from common stock, registered investment company shares)	2022-12-31	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2022-12-31	No
Was this plan covered by a fidelity bond	2022-12-31	Yes
Value of fidelity bond cover	2022-12-31	$363,051
If this is an individual account plan, was there a blackout period	2022-12-31	No
Were there any nonexempt tranactions with any party-in-interest	2022-12-31	No
Contributions received from participants	2022-12-31	$1,440,687
Participant contributions at end of year	2022-12-31	$183,062
Participant contributions at beginning of year	2022-12-31	$52,551
Income. Received or receivable in cash from other sources (including rollovers)	2022-12-31	$65,350
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2022-12-31	No
Value of net income/loss	2022-12-31	$304,039
Value of net assets at end of year (total assets less liabilities)	2022-12-31	$3,934,548
Value of net assets at beginning of year (total assets less liabilities)	2022-12-31	$3,630,509
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2022-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2022-12-31	No
Were any leases to which the plan was party in default or uncollectible	2022-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2022-12-31	$3,403,822
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2022-12-31	$3,387,154
Interest on participant loans	2022-12-31	$7,595
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2022-12-31	$347,664
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2022-12-31	$190,804
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2022-12-31	$-684,594
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2022-12-31	No
Was there a failure to transmit to the plan any participant contributions	2022-12-31	Yes
Has the plan failed to provide any benefit when due under the plan	2022-12-31	No
Contributions received in cash from employer	2022-12-31	$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2022-12-31	$497,042
Contract administrator fees	2022-12-31	$13,467
Did the plan have assets held for investment	2022-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2022-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2022-12-31	No
Opinion of an independent qualified public accountant for this plan	2022-12-31	Unqualified
Accountancy firm name	2022-12-31	ACQUAVELLA, CHIARELLI, SHUSTER, LLP
Accountancy firm EIN	2022-12-31	461570929
2021 : GENEVA FINANCIAL, LLC 401(K) PLAN 2021 401k financial data
Total unrealized appreciation/depreciation of assets	2021-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2021-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2021-12-31	$0
Total income from all sources (including contributions)	2021-12-31	$2,056,205
Total loss/gain on sale of assets	2021-12-31	$0
Total of all expenses incurred	2021-12-31	$341,396
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2021-12-31	$127,310
Expenses. Certain deemed distributions of participant loans	2021-12-31	$0
Value of total corrective distributions	2021-12-31	$205,692
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2021-12-31	$1,666,786
Value of total assets at end of year	2021-12-31	$3,630,509
Value of total assets at beginning of year	2021-12-31	$1,915,700
Total of administrative expenses incurred including professional, contract, advisory and management fees	2021-12-31	$8,394
Total interest from all sources	2021-12-31	$1,290
Total dividends received (eg from common stock, registered investment company shares)	2021-12-31	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2021-12-31	No
Was this plan covered by a fidelity bond	2021-12-31	Yes
Value of fidelity bond cover	2021-12-31	$350,000
If this is an individual account plan, was there a blackout period	2021-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2021-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2021-12-31	No
Contributions received from participants	2021-12-31	$1,498,446
Participant contributions at end of year	2021-12-31	$52,551
Participant contributions at beginning of year	2021-12-31	$25,626
Income. Received or receivable in cash from other sources (including rollovers)	2021-12-31	$168,340
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2021-12-31	No
Value of net income/loss	2021-12-31	$1,714,809
Value of net assets at end of year (total assets less liabilities)	2021-12-31	$3,630,509
Value of net assets at beginning of year (total assets less liabilities)	2021-12-31	$1,915,700
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2021-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2021-12-31	No
Were any leases to which the plan was party in default or uncollectible	2021-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2021-12-31	$3,387,154
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2021-12-31	$1,805,692
Interest on participant loans	2021-12-31	$1,290
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2021-12-31	$0
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2021-12-31	$190,804
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2021-12-31	$84,382
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2021-12-31	$388,129
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2021-12-31	No
Was there a failure to transmit to the plan any participant contributions	2021-12-31	Yes
Has the plan failed to provide any benefit when due under the plan	2021-12-31	No
Contributions received in cash from employer	2021-12-31	$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2021-12-31	$127,310
Contract administrator fees	2021-12-31	$8,394
Did the plan have assets held for investment	2021-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2021-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2021-12-31	No
Opinion of an independent qualified public accountant for this plan	2021-12-31	Unqualified
Accountancy firm name	2021-12-31	ACQUAVELLA, CHIARELLI, SHUSTER, LLP
Accountancy firm EIN	2021-12-31	461570929
2020 : GENEVA FINANCIAL, LLC 401(K) PLAN 2020 401k financial data
Total unrealized appreciation/depreciation of assets	2020-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2020-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2020-12-31	$0
Total income from all sources (including contributions)	2020-12-31	$1,488,060
Total loss/gain on sale of assets	2020-12-31	$0
Total of all expenses incurred	2020-12-31	$355,233
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2020-12-31	$351,111
Value of total corrective distributions	2020-12-31	$0
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2020-12-31	$1,299,186
Value of total assets at end of year	2020-12-31	$1,915,700
Value of total assets at beginning of year	2020-12-31	$782,873
Total of administrative expenses incurred including professional, contract, advisory and management fees	2020-12-31	$4,122
Total interest from all sources	2020-12-31	$2,120
Total dividends received (eg from common stock, registered investment company shares)	2020-12-31	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2020-12-31	No
Was this plan covered by a fidelity bond	2020-12-31	Yes
Value of fidelity bond cover	2020-12-31	$350,000
If this is an individual account plan, was there a blackout period	2020-12-31	No
Were there any nonexempt tranactions with any party-in-interest	2020-12-31	No
Contributions received from participants	2020-12-31	$1,065,050
Participant contributions at end of year	2020-12-31	$25,626
Participant contributions at beginning of year	2020-12-31	$32,612
Income. Received or receivable in cash from other sources (including rollovers)	2020-12-31	$234,136
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2020-12-31	No
Value of net income/loss	2020-12-31	$1,132,827
Value of net assets at end of year (total assets less liabilities)	2020-12-31	$1,915,700
Value of net assets at beginning of year (total assets less liabilities)	2020-12-31	$782,873
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2020-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2020-12-31	No
Were any leases to which the plan was party in default or uncollectible	2020-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2020-12-31	$1,805,692
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2020-12-31	$712,307
Interest on participant loans	2020-12-31	$2,120
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2020-12-31	$0
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2020-12-31	$0
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2020-12-31	$84,382
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2020-12-31	$37,954
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2020-12-31	$186,754
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2020-12-31	No
Was there a failure to transmit to the plan any participant contributions	2020-12-31	No
Has the plan failed to provide any benefit when due under the plan	2020-12-31	No
Contributions received in cash from employer	2020-12-31	$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2020-12-31	$351,111
Contract administrator fees	2020-12-31	$4,122
Did the plan have assets held for investment	2020-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2020-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2020-12-31	No
Opinion of an independent qualified public accountant for this plan	2020-12-31	Unqualified
Accountancy firm name	2020-12-31	RICHEY MAY & CO
Accountancy firm EIN	2020-12-31	710911208
2019 : GENEVA FINANCIAL, LLC 401(K) PLAN 2019 401k financial data
Total unrealized appreciation/depreciation of assets	2019-12-31	$0
Total unrealized appreciation/depreciation of assets	2019-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2019-12-31	$0
Total liabilities at 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	$389,909
Total income from all sources (including contributions)	2019-12-31	$389,909
Total loss/gain on sale of assets	2019-12-31	$0
Total loss/gain on sale of assets	2019-12-31	$0
Total of all expenses incurred	2019-12-31	$43,064
Total of all expenses incurred	2019-12-31	$43,064
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2019-12-31	$24,324
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2019-12-31	$24,324
Expenses. Certain deemed distributions of participant loans	2019-12-31	$0
Expenses. Certain deemed distributions of participant loans	2019-12-31	$0
Value of total corrective distributions	2019-12-31	$15,393
Value of total corrective distributions	2019-12-31	$15,393
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2019-12-31	$279,131
Value of total assets at end of year	2019-12-31	$782,873
Value of total assets at end of year	2019-12-31	$782,873
Value of total assets at beginning of year	2019-12-31	$436,028
Value of total assets at beginning of year	2019-12-31	$436,028
Total of administrative expenses incurred including professional, contract, advisory and management fees	2019-12-31	$3,347
Total of administrative expenses incurred including professional, contract, advisory and management fees	2019-12-31	$3,347
Total interest from all sources	2019-12-31	$1,745
Total interest from all sources	2019-12-31	$1,745
Total dividends received (eg from common stock, registered investment company shares)	2019-12-31	$0
Total dividends received (eg from common stock, registered investment company shares)	2019-12-31	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2019-12-31	No
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2019-12-31	No
Was this plan covered by a fidelity bond	2019-12-31	Yes
Was this plan covered by a fidelity bond	2019-12-31	Yes
Value of fidelity bond cover	2019-12-31	$2,500,000
Value of fidelity bond cover	2019-12-31	$2,500,000
If this is an individual account plan, was there a blackout period	2019-12-31	No
Were there any nonexempt tranactions with any party-in-interest	2019-12-31	No
Were there any nonexempt tranactions with any party-in-interest	2019-12-31	No
Contributions received from participants	2019-12-31	$279,131
Contributions received from participants	2019-12-31	$279,131
Participant contributions at end of year	2019-12-31	$32,612
Participant contributions at end of year	2019-12-31	$32,612
Participant contributions at beginning of year	2019-12-31	$11,935
Participant contributions at beginning of year	2019-12-31	$11,935
Income. Received or receivable in cash from other sources (including rollovers)	2019-12-31	$0
Income. Received or receivable in cash from other sources (including rollovers)	2019-12-31	$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2019-12-31	No
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2019-12-31	No
Value of net income/loss	2019-12-31	$346,845
Value of net income/loss	2019-12-31	$346,845
Value of net assets at end of year (total assets less liabilities)	2019-12-31	$782,873
Value of net assets at end of year (total assets less liabilities)	2019-12-31	$782,873
Value of net assets at beginning of year (total assets less liabilities)	2019-12-31	$436,028
Value of net assets at beginning of year (total assets less liabilities)	2019-12-31	$436,028
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2019-12-31	No
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2019-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2019-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2019-12-31	No
Were any leases to which the plan was party in default or uncollectible	2019-12-31	No
Were any leases to which the plan was party in default or uncollectible	2019-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2019-12-31	$712,307
Value of interest in registered invesment companies (eg mutual funds) at end of year	2019-12-31	$712,307
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2019-12-31	$410,305
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2019-12-31	$410,305
Interest on participant loans	2019-12-31	$1,745
Interest on participant loans	2019-12-31	$1,745
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2019-12-31	$0
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2019-12-31	$0
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2019-12-31	$0
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2019-12-31	$0
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2019-12-31	$37,954
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2019-12-31	$37,954
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2019-12-31	$13,788
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2019-12-31	$13,788
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2019-12-31	$109,033
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2019-12-31	No
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2019-12-31	No
Was there a failure to transmit to the plan any participant contributions	2019-12-31	Yes
Was there a failure to transmit to the plan any participant contributions	2019-12-31	Yes
Has the plan failed to provide any benefit when due under the plan	2019-12-31	No
Has the plan failed to provide any benefit when due under the plan	2019-12-31	No
Contributions received in cash from employer	2019-12-31	$0
Contributions received in cash from employer	2019-12-31	$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2019-12-31	$24,324
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2019-12-31	$24,324
Contract administrator fees	2019-12-31	$3,347
Contract administrator fees	2019-12-31	$3,347
Did the plan have assets held for investment	2019-12-31	Yes
Did the plan have assets held for investment	2019-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2019-12-31	No
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2019-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2019-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2019-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2019-12-31	Yes
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2019-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2019-12-31	Disclaimer
Opinion of an independent qualified public accountant for this plan	2019-12-31	Disclaimer
Accountancy firm name	2019-12-31	METZ & ASSOCIATES PLLC
Accountancy firm name	2019-12-31	METZ & ASSOCIATES PLLC
Accountancy firm EIN	2019-12-31	464558541
Accountancy firm EIN	2019-12-31	464558541
2018 : GENEVA FINANCIAL, LLC 401(K) PLAN 2018 401k financial data
Total unrealized appreciation/depreciation of assets	2018-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2018-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2018-12-31	$0
Total income from all sources (including contributions)	2018-12-31	$211,431
Total loss/gain on sale of assets	2018-12-31	$0
Total of all expenses incurred	2018-12-31	$142,730
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2018-12-31	$130,245
Value of total corrective distributions	2018-12-31	$10,063
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2018-12-31	$250,228
Value of total assets at end of year	2018-12-31	$436,028
Value of total assets at beginning of year	2018-12-31	$367,327
Total of administrative expenses incurred including professional, contract, advisory and management fees	2018-12-31	$2,422
Total interest from all sources	2018-12-31	$464
Total dividends received (eg from common stock, registered investment company shares)	2018-12-31	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2018-12-31	No
Was this plan covered by a fidelity bond	2018-12-31	Yes
Value of fidelity bond cover	2018-12-31	$2,500,000
If this is an individual account plan, was there a blackout period	2018-12-31	No
Were there any nonexempt tranactions with any party-in-interest	2018-12-31	No
Contributions received from participants	2018-12-31	$171,743
Participant contributions at end of year	2018-12-31	$11,935
Participant contributions at beginning of year	2018-12-31	$15,052
Income. Received or receivable in cash from other sources (including rollovers)	2018-12-31	$78,485
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2018-12-31	No
Value of net income/loss	2018-12-31	$68,701
Value of net assets at end of year (total assets less liabilities)	2018-12-31	$436,028
Value of net assets at beginning of year (total assets less liabilities)	2018-12-31	$367,327
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2018-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2018-12-31	No
Were any leases to which the plan was party in default or uncollectible	2018-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2018-12-31	$410,305
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2018-12-31	$339,961
Interest on participant loans	2018-12-31	$464
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2018-12-31	$0
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2018-12-31	$13,788
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2018-12-31	$12,314
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2018-12-31	$-39,261
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2018-12-31	No
Was there a failure to transmit to the plan any participant contributions	2018-12-31	No
Has the plan failed to provide any benefit when due under the plan	2018-12-31	No
Contributions received in cash from employer	2018-12-31	$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2018-12-31	$130,245
Contract administrator fees	2018-12-31	$2,422
Did the plan have assets held for investment	2018-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2018-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2018-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2018-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2018-12-31	Disclaimer
Accountancy firm name	2018-12-31	METZ & ASSOCIATES PLLC
Accountancy firm EIN	2018-12-31	464558541
2017 : GENEVA FINANCIAL, LLC 401(K) PLAN 2017 401k financial data
Total unrealized appreciation/depreciation of assets	2017-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2017-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2017-12-31	$0
Total income from all sources (including contributions)	2017-12-31	$185,635
Total loss/gain on sale of assets	2017-12-31	$0
Total of all expenses incurred	2017-12-31	$52,728
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2017-12-31	$41,578
Expenses. Certain deemed distributions of participant loans	2017-12-31	$8,376
Value of total corrective distributions	2017-12-31	$1,515
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2017-12-31	$144,351
Value of total assets at end of year	2017-12-31	$367,327
Value of total assets at beginning of year	2017-12-31	$234,420
Total of administrative expenses incurred including professional, contract, advisory and management fees	2017-12-31	$1,259
Total interest from all sources	2017-12-31	$274
Total dividends received (eg from common stock, registered investment company shares)	2017-12-31	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2017-12-31	No
Was this plan covered by a fidelity bond	2017-12-31	Yes
Value of fidelity bond cover	2017-12-31	$1,000,000
If this is an individual account plan, was there a blackout period	2017-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2017-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2017-12-31	No
Contributions received from participants	2017-12-31	$144,351
Participant contributions at end of year	2017-12-31	$15,052
Participant contributions at beginning of year	2017-12-31	$18,650
Income. Received or receivable in cash from other sources (including rollovers)	2017-12-31	$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2017-12-31	No
Value of net income/loss	2017-12-31	$132,907
Value of net assets at end of year (total assets less liabilities)	2017-12-31	$367,327
Value of net assets at beginning of year (total assets less liabilities)	2017-12-31	$234,420
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2017-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2017-12-31	No
Were any leases to which the plan was party in default or uncollectible	2017-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2017-12-31	$339,961
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2017-12-31	$207,843
Interest on participant loans	2017-12-31	$274
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2017-12-31	$0
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2017-12-31	$12,314
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2017-12-31	$7,927
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2017-12-31	$41,010
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2017-12-31	No
Was there a failure to transmit to the plan any participant contributions	2017-12-31	No
Has the plan failed to provide any benefit when due under the plan	2017-12-31	No
Contributions received in cash from employer	2017-12-31	$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2017-12-31	$41,578
Contract administrator fees	2017-12-31	$1,259
Did the plan have assets held for investment	2017-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2017-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2017-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2017-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2017-12-31	Disclaimer
Accountancy firm name	2017-12-31	METZ & ASSOCIATES PLLC
Accountancy firm EIN	2017-12-31	464558541
2016 : GENEVA FINANCIAL, LLC 401(K) PLAN 2016 401k financial data
Total unrealized appreciation/depreciation of assets	2016-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2016-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2016-12-31	$0
Total income from all sources (including contributions)	2016-12-31	$94,170
Total loss/gain on sale of assets	2016-12-31	$0
Total of all expenses incurred	2016-12-31	$13,936
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2016-12-31	$11,452
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2016-12-31	$79,116
Value of total assets at end of year	2016-12-31	$234,420
Value of total assets at beginning of year	2016-12-31	$154,186
Total of administrative expenses incurred including professional, contract, advisory and management fees	2016-12-31	$2,484
Total interest from all sources	2016-12-31	$510
Total dividends received (eg from common stock, registered investment company shares)	2016-12-31	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2016-12-31	No
Was this plan covered by a fidelity bond	2016-12-31	Yes
Value of fidelity bond cover	2016-12-31	$1,000,000
If this is an individual account plan, was there a blackout period	2016-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2016-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2016-12-31	No
Contributions received from participants	2016-12-31	$79,116
Participant contributions at end of year	2016-12-31	$18,650
Participant contributions at beginning of year	2016-12-31	$10,363
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2016-12-31	No
Value of net income/loss	2016-12-31	$80,234
Value of net assets at end of year (total assets less liabilities)	2016-12-31	$234,420
Value of net assets at beginning of year (total assets less liabilities)	2016-12-31	$154,186
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2016-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2016-12-31	No
Were any leases to which the plan was party in default or uncollectible	2016-12-31	No
Investment advisory and management fees	2016-12-31	$2,484
Value of interest in registered invesment companies (eg mutual funds) at end of year	2016-12-31	$207,843
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2016-12-31	$139,270
Interest on participant loans	2016-12-31	$510
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2016-12-31	$7,927
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2016-12-31	$4,553
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2016-12-31	$14,544
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2016-12-31	No
Was there a failure to transmit to the plan any participant contributions	2016-12-31	No
Has the plan failed to provide any benefit when due under the plan	2016-12-31	No
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2016-12-31	$11,452
Did the plan have assets held for investment	2016-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2016-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2016-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2016-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2016-12-31	Disclaimer
Accountancy firm name	2016-12-31	METZ & ASSOCIATES PLLC
Accountancy firm EIN	2016-12-31	464558541

Form 5500 Responses for GENEVA FINANCIAL, LLC 401(K) PLAN

2022: GENEVA FINANCIAL, LLC 401(K) PLAN 2022 form 5500 responses
2022-01-01	Type of plan entity	Single employer plan
2022-01-01	Submission has been amended	No
2022-01-01	This submission is the final filing	No
2022-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2022-01-01	Plan is a collectively bargained plan	No
2022-01-01	Plan funding arrangement – Insurance	Yes
2022-01-01	Plan funding arrangement – Trust	Yes
2022-01-01	Plan benefit arrangement – Insurance	Yes
2022-01-01	Plan benefit arrangement - Trust	Yes
2021: GENEVA FINANCIAL, LLC 401(K) PLAN 2021 form 5500 responses
2021-01-01	Type of plan entity	Single employer plan
2021-01-01	Submission has been amended	No
2021-01-01	This submission is the final filing	No
2021-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2021-01-01	Plan is a collectively bargained plan	No
2021-01-01	Plan funding arrangement – Insurance	Yes
2021-01-01	Plan funding arrangement – Trust	Yes
2021-01-01	Plan benefit arrangement – Insurance	Yes
2021-01-01	Plan benefit arrangement - Trust	Yes
2020: GENEVA FINANCIAL, LLC 401(K) PLAN 2020 form 5500 responses
2020-01-01	Type of plan entity	Single employer plan
2020-01-01	Submission has been amended	No
2020-01-01	This submission is the final filing	No
2020-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2020-01-01	Plan is a collectively bargained plan	No
2020-01-01	Plan funding arrangement – Insurance	Yes
2020-01-01	Plan funding arrangement – Trust	Yes
2020-01-01	Plan benefit arrangement – Insurance	Yes
2020-01-01	Plan benefit arrangement - Trust	Yes
2019: GENEVA FINANCIAL, LLC 401(K) PLAN 2019 form 5500 responses
2019-01-01	Type of plan entity	Single employer plan
2019-01-01	Submission has been amended	No
2019-01-01	This submission is the final filing	No
2019-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2019-01-01	Plan is a collectively bargained plan	No
2019-01-01	Plan funding arrangement – Insurance	Yes
2019-01-01	Plan funding arrangement – Trust	Yes
2019-01-01	Plan benefit arrangement – Insurance	Yes
2019-01-01	Plan benefit arrangement - Trust	Yes
2018: GENEVA FINANCIAL, LLC 401(K) PLAN 2018 form 5500 responses
2018-01-01	Type of plan entity	Single employer plan
2018-01-01	Submission has been amended	No
2018-01-01	This submission is the final filing	No
2018-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2018-01-01	Plan is a collectively bargained plan	No
2018-01-01	Plan funding arrangement – Insurance	Yes
2018-01-01	Plan funding arrangement – Trust	Yes
2018-01-01	Plan benefit arrangement – Insurance	Yes
2018-01-01	Plan benefit arrangement - Trust	Yes
2017: GENEVA FINANCIAL, LLC 401(K) PLAN 2017 form 5500 responses
2017-01-01	Type of plan entity	Single employer plan
2017-01-01	Submission has been amended	No
2017-01-01	This submission is the final filing	No
2017-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2017-01-01	Plan is a collectively bargained plan	No
2017-01-01	Plan funding arrangement – Insurance	Yes
2017-01-01	Plan funding arrangement – Trust	Yes
2017-01-01	Plan benefit arrangement – Insurance	Yes
2017-01-01	Plan benefit arrangement - Trust	Yes
2016: GENEVA FINANCIAL, LLC 401(K) PLAN 2016 form 5500 responses
2016-01-01	Type of plan entity	Single employer plan
2016-01-01	Submission has been amended	No
2016-01-01	This submission is the final filing	No
2016-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2016-01-01	Plan is a collectively bargained plan	No
2016-01-01	Plan funding arrangement – Insurance	Yes
2016-01-01	Plan funding arrangement – Trust	Yes
2016-01-01	Plan benefit arrangement – Insurance	Yes
2016-01-01	Plan benefit arrangement - Trust	Yes

Insurance Providers Used on plan

NATIONWIDE LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 66869 )

Policy contract number

063-84884

Policy instance

Insurance contract or identification number	063-84884
Number of Individuals Covered	164
Insurance policy start date	2022-01-01
Insurance policy end date	2022-12-31
Total amount of commissions paid to insurance broker	USD $1,890
Total amount of fees paid to insurance company	USD $0
Are there contracts with allocated funds for individual policies?	0
Are there contracts with allocated funds for group deferred annuity?	No
Are there contracts with allocated funds for types other than group deferred annuity or individual?	No
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Contracts With Unallocated Funds Deposit Administration	0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?	No
Are there contracts with unallocated funds for contracts of type guaranteed investment?	Yes
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	No
Health Insurance Welfare Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
Were dividends or retroactive rate refunds paid in cash?	No
Were dividends or retroactive rate refunds paid as a credit?	No
Commission paid to Insurance Broker	USD $1,890
Insurance broker organization code?	7

NATIONWIDE LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 66869 )

Policy contract number

063-84884

Policy instance

Insurance contract or identification number	063-84884
Number of Individuals Covered	140
Insurance policy start date	2021-01-01
Insurance policy end date	2021-12-31
Total amount of commissions paid to insurance broker	USD $1,187
Total amount of fees paid to insurance company	USD $0
Are there contracts with allocated funds for individual policies?	0
Are there contracts with allocated funds for group deferred annuity?	No
Are there contracts with allocated funds for types other than group deferred annuity or individual?	No
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Contracts With Unallocated Funds Deposit Administration	0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?	No
Are there contracts with unallocated funds for contracts of type guaranteed investment?	Yes
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	No
Health Insurance Welfare Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
Were dividends or retroactive rate refunds paid in cash?	No
Were dividends or retroactive rate refunds paid as a credit?	No
Commission paid to Insurance Broker	USD $987
Insurance broker organization code?	7

NATIONWIDE LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 66869 )

Policy contract number

063-84884

Policy instance

Insurance contract or identification number	063-84884
Number of Individuals Covered	100
Insurance policy start date	2020-01-01
Insurance policy end date	2020-12-31
Total amount of commissions paid to insurance broker	USD $466
Total amount of fees paid to insurance company	USD $0
Are there contracts with allocated funds for individual policies?	0
Are there contracts with allocated funds for group deferred annuity?	No
Are there contracts with allocated funds for types other than group deferred annuity or individual?	No
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Contracts With Unallocated Funds Deposit Administration	0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?	No
Are there contracts with unallocated funds for contracts of type guaranteed investment?	Yes
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	No
Health Insurance Welfare Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
Were dividends or retroactive rate refunds paid in cash?	No
Were dividends or retroactive rate refunds paid as a credit?	No
Commission paid to Insurance Broker	USD $466
Insurance broker organization code?	3

NATIONWIDE LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 66869 )

Policy contract number

063-84884

Policy instance

Insurance contract or identification number	063-84884
Number of Individuals Covered	283
Insurance policy start date	2019-01-01
Insurance policy end date	2019-12-31
Total amount of commissions paid to insurance broker	USD $157
Total amount of fees paid to insurance company	USD $0
Are there contracts with allocated funds for individual policies?	0
Are there contracts with allocated funds for group deferred annuity?	No
Are there contracts with allocated funds for types other than group deferred annuity or individual?	No
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Contracts With Unallocated Funds Deposit Administration	0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?	No
Are there contracts with unallocated funds for contracts of type guaranteed investment?	Yes
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	No
Health Insurance Welfare Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
Were dividends or retroactive rate refunds paid in cash?	No
Were dividends or retroactive rate refunds paid as a credit?	No
Commission paid to Insurance Broker	USD $157
Insurance broker organization code?	3

NATIONWIDE LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 66869 )

Policy contract number

063-84884

Policy instance

Insurance contract or identification number	063-84884
Number of Individuals Covered	290
Insurance policy start date	2018-01-01
Insurance policy end date	2018-12-31
Total amount of commissions paid to insurance broker	USD $105
Total amount of fees paid to insurance company	USD $0
Are there contracts with allocated funds for individual policies?	0
Are there contracts with allocated funds for group deferred annuity?	No
Are there contracts with allocated funds for types other than group deferred annuity or individual?	No
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Contracts With Unallocated Funds Deposit Administration	0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?	No
Are there contracts with unallocated funds for contracts of type guaranteed investment?	Yes
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	No
Health Insurance Welfare Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
Were dividends or retroactive rate refunds paid in cash?	No
Were dividends or retroactive rate refunds paid as a credit?	No
Commission paid to Insurance Broker	USD $105
Insurance broker organization code?	3

NATIONWIDE LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 66869 )

Policy contract number

063-84884

Policy instance

Insurance contract or identification number	063-84884
Number of Individuals Covered	125
Insurance policy start date	2017-01-01
Insurance policy end date	2017-12-31
Total amount of commissions paid to insurance broker	USD $79
Total amount of fees paid to insurance company	USD $0
Are there contracts with allocated funds for individual policies?	0
Are there contracts with allocated funds for group deferred annuity?	No
Are there contracts with allocated funds for types other than group deferred annuity or individual?	No
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Contracts With Unallocated Funds Deposit Administration	0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?	No
Are there contracts with unallocated funds for contracts of type guaranteed investment?	Yes
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	No
Health Insurance Welfare Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
Were dividends or retroactive rate refunds paid in cash?	No
Were dividends or retroactive rate refunds paid as a credit?	No
Commission paid to Insurance Broker	USD $79
Insurance broker organization code?	3
Insurance broker name	UBS FINANCIAL SERVICES INC.

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Company Name:	GENEVA FINANCIAL, LLC
Employer identification number (EIN):	261589507
NAIC Classification:	523110
NAIC Description:	Investment Banking and Securities Dealing

Jurisdiction of Incorporation:	Wyoming Corporations Division
Incorporation Date:	2016-03-17
Company Identification Number:	000709360
Legal Registered Office Address:	1623 Central Ave. Suite 204 Cheyenne United States of America (USA) 82001