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CROCKER & ASSOCIATES, INC. 401(K) PLAN 401k Plan overview

Plan NameCROCKER & ASSOCIATES, INC. 401(K) PLAN
Plan identification number 001

CROCKER & ASSOCIATES, INC. 401(K) PLAN Benefits

401k Plan TypeDefined Contribution Pension
Plan Features/Benefits
  • Profit-sharing
  • Total participant-directed account plan - Participants have the opportunity to direct the investment of all the assets allocated to their individual accounts, regardless of whether 29 CFR 2550.404c-1 is intended to be met.
  • Code section 401(k) feature - A cash or deferred arrangement described in Code section 401(k) that is part of a qualified defined contribution plan that provides for an election by employees to defer part of their compensation or receive these amounts in cash.
  • Code section 401(m) arrangement - Employee contributions are allocated to separate accounts under the plan or employer contributions are based, in whole or in part, on employee deferrals or contribtions to the plan. Not applicable if plan is 401(k) plan with only QNECs and/or QMACs. Also not applicable if Code section 403(b)(1), 403(b)(7) or 408 arrangements/accounts/annuities.
  • Participant-directed brokerage accounts provided as an investment option under the plan.
  • Master plan - A pension plan that is made available by a sponsor for adoption by employers; that is the subject of a favorable opinion letter; and for which a single funding medium (for example, a trust or custodial account) is established for the joint use of all adopting employers.
  • Plan sponsor(s) is (are) a member(s) of a controlled group (Code sections 414(b), (c), or (m)).

401k Sponsoring company profile

CROCKER & ASSOCIATES, INC. has sponsored the creation of one or more 401k plans.

Company Name:CROCKER & ASSOCIATES, INC.
Employer identification number (EIN):274294258
NAIC Classification:423990
NAIC Description:Other Miscellaneous Durable Goods Merchant Wholesalers

Form 5500 Filing Information

Submission information for form 5500 for 401k plan CROCKER & ASSOCIATES, INC. 401(K) PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator SignedName of Company SponsorDate Sponsor Signed
0012019-01-01
0012018-01-01MARC B. DANIELS
0012017-01-01MARC B. DANIELS
0012016-01-01MARC B. DANIELS
0012015-01-01MARC B. DANIELS
0012014-01-01MARC B. DANIELS
0012013-01-01MARC B. DANIELS
0012012-01-01MARC B. DANIELS
0012011-01-01MARC B. DANIELS

Plan Statistics for CROCKER & ASSOCIATES, INC. 401(K) PLAN

401k plan membership statisitcs for CROCKER & ASSOCIATES, INC. 401(K) PLAN

Measure Date Value
2019: CROCKER & ASSOCIATES, INC. 401(K) PLAN 2019 401k membership
Total participants, beginning-of-year2019-01-012
Total number of active participants reported on line 7a of the Form 55002019-01-010
Total of all active and inactive participants2019-01-010
Total participants2019-01-010
Number of participants with account balances2019-01-010
2018: CROCKER & ASSOCIATES, INC. 401(K) PLAN 2018 401k membership
Total participants, beginning-of-year2018-01-012
Total number of active participants reported on line 7a of the Form 55002018-01-012
Total of all active and inactive participants2018-01-012
Total participants2018-01-012
Number of participants with account balances2018-01-012
2017: CROCKER & ASSOCIATES, INC. 401(K) PLAN 2017 401k membership
Total participants, beginning-of-year2017-01-018
Total number of active participants reported on line 7a of the Form 55002017-01-011
Total of all active and inactive participants2017-01-011
Total participants2017-01-011
Number of participants with account balances2017-01-012
2016: CROCKER & ASSOCIATES, INC. 401(K) PLAN 2016 401k membership
Total participants, beginning-of-year2016-01-018
Total number of active participants reported on line 7a of the Form 55002016-01-018
Total of all active and inactive participants2016-01-018
Total participants2016-01-018
Number of participants with account balances2016-01-012
2015: CROCKER & ASSOCIATES, INC. 401(K) PLAN 2015 401k membership
Total participants, beginning-of-year2015-01-013
Total number of active participants reported on line 7a of the Form 55002015-01-017
Number of retired or separated participants receiving benefits2015-01-010
Number of other retired or separated participants entitled to future benefits2015-01-010
Total of all active and inactive participants2015-01-017
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2015-01-010
Total participants2015-01-017
Number of participants with account balances2015-01-013
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2015-01-010
2014: CROCKER & ASSOCIATES, INC. 401(K) PLAN 2014 401k membership
Total participants, beginning-of-year2014-01-015
Total number of active participants reported on line 7a of the Form 55002014-01-013
Number of retired or separated participants receiving benefits2014-01-010
Number of other retired or separated participants entitled to future benefits2014-01-010
Total of all active and inactive participants2014-01-013
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2014-01-010
Total participants2014-01-013
Number of participants with account balances2014-01-014
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2014-01-010
2013: CROCKER & ASSOCIATES, INC. 401(K) PLAN 2013 401k membership
Total participants, beginning-of-year2013-01-016
Total number of active participants reported on line 7a of the Form 55002013-01-013
Number of other retired or separated participants entitled to future benefits2013-01-012
Total of all active and inactive participants2013-01-015
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2013-01-010
Total participants2013-01-015
Number of participants with account balances2013-01-014
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2013-01-010
2012: CROCKER & ASSOCIATES, INC. 401(K) PLAN 2012 401k membership
Total participants, beginning-of-year2012-01-0111
Total number of active participants reported on line 7a of the Form 55002012-01-014
Number of other retired or separated participants entitled to future benefits2012-01-011
Total of all active and inactive participants2012-01-015
Total participants2012-01-015
Number of participants with account balances2012-01-015
2011: CROCKER & ASSOCIATES, INC. 401(K) PLAN 2011 401k membership
Total participants, beginning-of-year2011-01-0111
Total number of active participants reported on line 7a of the Form 55002011-01-0110
Number of retired or separated participants receiving benefits2011-01-010
Number of other retired or separated participants entitled to future benefits2011-01-011
Total of all active and inactive participants2011-01-0111
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2011-01-010
Total participants2011-01-0111
Number of participants with account balances2011-01-0111
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2011-01-010

Financial Data on CROCKER & ASSOCIATES, INC. 401(K) PLAN

Measure Date Value
2018 : CROCKER & ASSOCIATES, INC. 401(K) PLAN 2018 401k financial data
Total income from all sources2018-12-31$-31,485
Total plan assets at end of year2018-12-31$85,738
Total plan assets at beginning of year2018-12-31$117,223
Value of fidelity bond covering the plan2018-12-31$150,000
Other income received2018-12-31$-31,485
Net income (gross income less expenses)2018-12-31$-31,485
Net plan assets at end of year (total assets less liabilities)2018-12-31$85,738
Net plan assets at beginning of year (total assets less liabilities)2018-12-31$117,223
Assets. Value of employer securities2018-12-31$0
2017 : CROCKER & ASSOCIATES, INC. 401(K) PLAN 2017 401k financial data
Total income from all sources2017-12-31$-137,508
Total plan assets at end of year2017-12-31$117,223
Total plan assets at beginning of year2017-12-31$254,731
Value of fidelity bond covering the plan2017-12-31$150,000
Other income received2017-12-31$-137,508
Net income (gross income less expenses)2017-12-31$-137,508
Net plan assets at end of year (total assets less liabilities)2017-12-31$117,223
Net plan assets at beginning of year (total assets less liabilities)2017-12-31$254,731
Assets. Value of employer securities2017-12-31$26,162
2016 : CROCKER & ASSOCIATES, INC. 401(K) PLAN 2016 401k financial data
Total income from all sources2016-12-31$37,004
Expenses. Total of all expenses incurred2016-12-31$29,885
Benefits paid (including direct rollovers)2016-12-31$29,375
Total plan assets at end of year2016-12-31$254,731
Total plan assets at beginning of year2016-12-31$247,612
Value of fidelity bond covering the plan2016-12-31$150,000
Expenses. Other expenses not covered elsewhere2016-12-31$510
Other income received2016-12-31$37,004
Net income (gross income less expenses)2016-12-31$7,119
Net plan assets at end of year (total assets less liabilities)2016-12-31$254,731
Net plan assets at beginning of year (total assets less liabilities)2016-12-31$247,612
Assets. Value of employer securities2016-12-31$176,080
2015 : CROCKER & ASSOCIATES, INC. 401(K) PLAN 2015 401k financial data
Total income from all sources2015-12-31$113,005
Expenses. Total of all expenses incurred2015-12-31$0
Benefits paid (including direct rollovers)2015-12-31$0
Total plan assets at end of year2015-12-31$247,612
Total plan assets at beginning of year2015-12-31$134,607
Value of fidelity bond covering the plan2015-12-31$150,000
Total contributions received or receivable from participants2015-12-31$0
Contributions received from other sources (not participants or employers)2015-12-31$0
Other income received2015-12-31$113,005
Net income (gross income less expenses)2015-12-31$113,005
Net plan assets at end of year (total assets less liabilities)2015-12-31$247,612
Net plan assets at beginning of year (total assets less liabilities)2015-12-31$134,607
Assets. Value of employer securities2015-12-31$144,447
Total contributions received or receivable from employer(s)2015-12-31$0
Value of certain deemed distributions of participant loans2015-12-31$0
Expenses. Administrative service providers (salaries,fees and commissions)2015-12-31$0
2014 : CROCKER & ASSOCIATES, INC. 401(K) PLAN 2014 401k financial data
Transfers to/from the plan2014-12-31$0
Total income from all sources2014-12-31$-528,674
Expenses. Total of all expenses incurred2014-12-31$9,714
Benefits paid (including direct rollovers)2014-12-31$8,589
Total plan assets at end of year2014-12-31$134,607
Total plan assets at beginning of year2014-12-31$672,995
Value of fidelity bond covering the plan2014-12-31$150,000
Total contributions received or receivable from participants2014-12-31$0
Expenses. Other expenses not covered elsewhere2014-12-31$0
Contributions received from other sources (not participants or employers)2014-12-31$0
Other income received2014-12-31$-528,674
Noncash contributions received2014-12-31$0
Net income (gross income less expenses)2014-12-31$-538,388
Net plan assets at end of year (total assets less liabilities)2014-12-31$134,607
Net plan assets at beginning of year (total assets less liabilities)2014-12-31$672,995
Assets. Value of employer securities2014-12-31$113,638
Total contributions received or receivable from employer(s)2014-12-31$0
Value of certain deemed distributions of participant loans2014-12-31$0
Value of corrective distributions2014-12-31$0
Expenses. Administrative service providers (salaries,fees and commissions)2014-12-31$1,125
2013 : CROCKER & ASSOCIATES, INC. 401(K) PLAN 2013 401k financial data
Total income from all sources2013-12-31$103,837
Expenses. Total of all expenses incurred2013-12-31$286,987
Benefits paid (including direct rollovers)2013-12-31$286,987
Total plan assets at end of year2013-12-31$672,995
Total plan assets at beginning of year2013-12-31$856,145
Value of fidelity bond covering the plan2013-12-31$150,000
Total contributions received or receivable from participants2013-12-31$0
Contributions received from other sources (not participants or employers)2013-12-31$0
Other income received2013-12-31$103,837
Net income (gross income less expenses)2013-12-31$-183,150
Net plan assets at end of year (total assets less liabilities)2013-12-31$672,995
Net plan assets at beginning of year (total assets less liabilities)2013-12-31$856,145
Assets. Value of employer securities2013-12-31$552,472
Total contributions received or receivable from employer(s)2013-12-31$0
Value of certain deemed distributions of participant loans2013-12-31$0
Expenses. Administrative service providers (salaries,fees and commissions)2013-12-31$0
2012 : CROCKER & ASSOCIATES, INC. 401(K) PLAN 2012 401k financial data
Total income from all sources2012-12-31$592,964
Expenses. Total of all expenses incurred2012-12-31$835,291
Benefits paid (including direct rollovers)2012-12-31$835,291
Total plan assets at end of year2012-12-31$856,145
Total plan assets at beginning of year2012-12-31$1,098,472
Value of fidelity bond covering the plan2012-12-31$200,000
Total contributions received or receivable from participants2012-12-31$54,445
Other income received2012-12-31$522,796
Net income (gross income less expenses)2012-12-31$-242,327
Net plan assets at end of year (total assets less liabilities)2012-12-31$856,145
Net plan assets at beginning of year (total assets less liabilities)2012-12-31$1,098,472
Assets. Value of employer securities2012-12-31$478,095
Total contributions received or receivable from employer(s)2012-12-31$15,723
2011 : CROCKER & ASSOCIATES, INC. 401(K) PLAN 2011 401k financial data
Total income from all sources2011-12-31$1,098,472
Expenses. Total of all expenses incurred2011-12-31$0
Benefits paid (including direct rollovers)2011-12-31$0
Total plan assets at end of year2011-12-31$1,098,472
Value of fidelity bond covering the plan2011-12-31$200,000
Total contributions received or receivable from participants2011-12-31$89,762
Contributions received from other sources (not participants or employers)2011-12-31$1,170,532
Other income received2011-12-31$-183,379
Net income (gross income less expenses)2011-12-31$1,098,472
Net plan assets at end of year (total assets less liabilities)2011-12-31$1,098,472
Assets. Value of employer securities2011-12-31$74,124
Total contributions received or receivable from employer(s)2011-12-31$21,557
Value of certain deemed distributions of participant loans2011-12-31$0
Expenses. Administrative service providers (salaries,fees and commissions)2011-12-31$0

Form 5500 Responses for CROCKER & ASSOCIATES, INC. 401(K) PLAN

2019: CROCKER & ASSOCIATES, INC. 401(K) PLAN 2019 form 5500 responses
2019-01-01Type of plan entitySingle employer plan
2019-01-01This submission is the final filingYes
2019-01-01This return/report is a short plan year return/report (less than 12 months)Yes
2019-01-01Plan funding arrangement – TrustYes
2019-01-01Plan benefit arrangement - TrustYes
2018: CROCKER & ASSOCIATES, INC. 401(K) PLAN 2018 form 5500 responses
2018-01-01Type of plan entitySingle employer plan
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: CROCKER & ASSOCIATES, INC. 401(K) PLAN 2017 form 5500 responses
2017-01-01Type of plan entitySingle employer plan
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: CROCKER & ASSOCIATES, INC. 401(K) PLAN 2016 form 5500 responses
2016-01-01Type of plan entitySingle employer plan
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: CROCKER & ASSOCIATES, INC. 401(K) PLAN 2015 form 5500 responses
2015-01-01Type of plan entitySingle employer plan
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: CROCKER & ASSOCIATES, INC. 401(K) PLAN 2014 form 5500 responses
2014-01-01Type of plan entitySingle employer plan
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: CROCKER & ASSOCIATES, INC. 401(K) PLAN 2013 form 5500 responses
2013-01-01Type of plan entitySingle employer plan
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: CROCKER & ASSOCIATES, INC. 401(K) PLAN 2012 form 5500 responses
2012-01-01Type of plan entitySingle employer plan
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: CROCKER & ASSOCIATES, INC. 401(K) PLAN 2011 form 5500 responses
2011-01-01Type of plan entitySingle employer plan
2011-01-01First time form 5500 has been submittedYes
2011-01-01Plan funding arrangement – InsuranceYes
2011-01-01Plan funding arrangement – TrustYes
2011-01-01Plan benefit arrangement – InsuranceYes
2011-01-01Plan benefit arrangement - TrustYes

Insurance Providers Used on plan

JOHN HANCOCK LIFE INSURANCE COMPANY (U.S.A.) (National Association of Insurance Commissioners NAIC id number: 65838 )
Policy contract number
Policy instance 1
Number of Individuals Covered3
Insurance policy start date2015-01-01
Insurance policy end date2015-12-31
Total amount of commissions paid to insurance brokerUSD $445
Commission paid to Insurance BrokerUSD $445
Insurance broker organization code?3
Insurance broker nameH.D. VEST INSURANCE AGENCY, LLC
JOHN HANCOCK LIFE INSURANCE COMPANY (U.S.A.) (National Association of Insurance Commissioners NAIC id number: 65838 )
Policy contract number
Policy instance 1
Number of Individuals Covered3
Insurance policy start date2014-01-01
Insurance policy end date2014-12-31
Total amount of commissions paid to insurance brokerUSD $466
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
Commission paid to Insurance BrokerUSD $466
Insurance broker organization code?3
Insurance broker nameH.D. VEST INSURANCE AGENCY, LLC
JOHN HANCOCK LIFE INSURANCE COMPANY (U.S.A.) (National Association of Insurance Commissioners NAIC id number: 65838 )
Policy contract number
Policy instance 1
Number of Individuals Covered4
Insurance policy start date2013-01-01
Insurance policy end date2013-12-31
Total amount of commissions paid to insurance brokerUSD $726
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
Commission paid to Insurance BrokerUSD $726
Insurance broker organization code?3
Insurance broker nameH.D. VEST INSURANCE AGENCY, LLC
JOHN HANCOCK LIFE INSURANCE COMPANY (U.S.A.) (National Association of Insurance Commissioners NAIC id number: 65838 )
Policy contract number
Policy instance 1
Number of Individuals Covered5
Insurance policy start date2012-01-01
Insurance policy end date2012-12-31
Total amount of commissions paid to insurance brokerUSD $2,624
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
Commission paid to Insurance BrokerUSD $2,624
Insurance broker organization code?3
Insurance broker nameH.D. VEST INSURANCE AGENCY, LLC
JOHN HANCOCK LIFE INSURANCE COMPANY (U.S.A.) (National Association of Insurance Commissioners NAIC id number: 65838 )
Policy contract number
Policy instance 1
Number of Individuals Covered11
Insurance policy start date2011-04-19
Insurance policy end date2011-12-31
Total amount of commissions paid to insurance brokerUSD $11,118
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No

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