401k Plan data: PHOENIX FINANCIAL SERVICES, LLC GROUP RETIREMENT PLAN plan

PHOENIX FINANCIAL SERVICES, LLC GROUP RETIREMENT PLAN 401k Plan overview

Plan Name	PHOENIX FINANCIAL SERVICES, LLC GROUP RETIREMENT PLAN
Plan identification number	001

PHOENIX FINANCIAL SERVICES, LLC GROUP RETIREMENT 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.
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

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

Company Name: PHOENIX FINANCIAL SERVICES, LLC

Employer identification number (EIN): 300651611

NAIC Classification: 541214
NAIC Description: Payroll Services

Form 5500 Filing Information

Submission information for form 5500 for 401k plan PHOENIX FINANCIAL SERVICES, LLC GROUP RETIREMENT 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 CRAIG J. SIMONSON
001 2016-01-01 CRAIG J. SIMONSON
001 2015-01-01 CRAIG J. SIMONSON

Plan Statistics for PHOENIX FINANCIAL SERVICES, LLC GROUP RETIREMENT PLAN

401k plan membership statisitcs for PHOENIX FINANCIAL SERVICES, LLC GROUP RETIREMENT PLAN

Measure Date Value
2022: PHOENIX FINANCIAL SERVICES, LLC GROUP RETIREMENT PLAN 2022 401k membership
Total participants, beginning-of-year 2022-01-01 279
Total number of active participants reported on line 7a of the Form 5500 2022-01-01 247
Number of retired or separated participants receiving benefits 2022-01-01 0
Number of other retired or separated participants entitled to future benefits 2022-01-01 39
Total of all active and inactive participants 2022-01-01 286
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2022-01-01 0
Total participants 2022-01-01 286
Number of participants with account balances 2022-01-01 145
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2022-01-01 0
2021: PHOENIX FINANCIAL SERVICES, LLC GROUP RETIREMENT PLAN 2021 401k membership
Total participants, beginning-of-year 2021-01-01 281
Total number of active participants reported on line 7a of the Form 5500 2021-01-01 232
Number of retired or separated participants receiving benefits 2021-01-01 0
Number of other retired or separated participants entitled to future benefits 2021-01-01 47
Total of all active and inactive participants 2021-01-01 279
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2021-01-01 0
Total participants 2021-01-01 279
Number of participants with account balances 2021-01-01 153
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2021-01-01 0
2020: PHOENIX FINANCIAL SERVICES, LLC GROUP RETIREMENT PLAN 2020 401k membership
Total participants, beginning-of-year 2020-01-01 278
Total number of active participants reported on line 7a of the Form 5500 2020-01-01 237
Number of retired or separated participants receiving benefits 2020-01-01 0
Number of other retired or separated participants entitled to future benefits 2020-01-01 44
Total of all active and inactive participants 2020-01-01 281
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2020-01-01 0
Total participants 2020-01-01 281
Number of participants with account balances 2020-01-01 157
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2020-01-01 0
2019: PHOENIX FINANCIAL SERVICES, LLC GROUP RETIREMENT PLAN 2019 401k membership
Total participants, beginning-of-year 2019-01-01 184
Total number of active participants reported on line 7a of the Form 5500 2019-01-01 239
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 39
Total of all active and inactive participants 2019-01-01 278
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2019-01-01 0
Total participants 2019-01-01 278
Number of participants with account balances 2019-01-01 160
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2019-01-01 0
2018: PHOENIX FINANCIAL SERVICES, LLC GROUP RETIREMENT PLAN 2018 401k membership
Total participants, beginning-of-year 2018-01-01 177
Total number of active participants reported on line 7a of the Form 5500 2018-01-01 163
Number of retired or separated participants receiving benefits 2018-01-01 0
Number of other retired or separated participants entitled to future benefits 2018-01-01 21
Total of all active and inactive participants 2018-01-01 184
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2018-01-01 0
Total participants 2018-01-01 184
Number of participants with account balances 2018-01-01 104
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2018-01-01 0
2017: PHOENIX FINANCIAL SERVICES, LLC GROUP RETIREMENT PLAN 2017 401k membership
Total participants, beginning-of-year 2017-01-01 167
Total number of active participants reported on line 7a of the Form 5500 2017-01-01 155
Number of retired or separated participants receiving benefits 2017-01-01 0
Number of other retired or separated participants entitled to future benefits 2017-01-01 22
Total of all active and inactive participants 2017-01-01 177
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2017-01-01 0
Total participants 2017-01-01 177
Number of participants with account balances 2017-01-01 97
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2017-01-01 0
2016: PHOENIX FINANCIAL SERVICES, LLC GROUP RETIREMENT PLAN 2016 401k membership
Total participants, beginning-of-year 2016-01-01 169
Total number of active participants reported on line 7a of the Form 5500 2016-01-01 146
Number of retired or separated participants receiving benefits 2016-01-01 0
Number of other retired or separated participants entitled to future benefits 2016-01-01 21
Total of all active and inactive participants 2016-01-01 167
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2016-01-01 0
Total participants 2016-01-01 167
Number of participants with account balances 2016-01-01 90
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2016-01-01 0
2015: PHOENIX FINANCIAL SERVICES, LLC GROUP RETIREMENT PLAN 2015 401k membership
Total participants, beginning-of-year 2015-01-01 174
Total number of active participants reported on line 7a of the Form 5500 2015-01-01 143
Number of retired or separated participants receiving benefits 2015-01-01 1
Number of other retired or separated participants entitled to future benefits 2015-01-01 25
Total of all active and inactive participants 2015-01-01 169
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2015-01-01 0
Total participants 2015-01-01 169
Number of participants with account balances 2015-01-01 94
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2015-01-01 0

Measure	Date	Value
2022: PHOENIX FINANCIAL SERVICES, LLC GROUP RETIREMENT PLAN 2022 401k membership
Total participants, beginning-of-year	2022-01-01	279
Total number of active participants reported on line 7a of the Form 5500	2022-01-01	247
Number of retired or separated participants receiving benefits	2022-01-01	0
Number of other retired or separated participants entitled to future benefits	2022-01-01	39
Total of all active and inactive participants	2022-01-01	286
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2022-01-01	0
Total participants	2022-01-01	286
Number of participants with account balances	2022-01-01	145
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2022-01-01	0
2021: PHOENIX FINANCIAL SERVICES, LLC GROUP RETIREMENT PLAN 2021 401k membership
Total participants, beginning-of-year	2021-01-01	281
Total number of active participants reported on line 7a of the Form 5500	2021-01-01	232
Number of retired or separated participants receiving benefits	2021-01-01	0
Number of other retired or separated participants entitled to future benefits	2021-01-01	47
Total of all active and inactive participants	2021-01-01	279
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2021-01-01	0
Total participants	2021-01-01	279
Number of participants with account balances	2021-01-01	153
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2021-01-01	0
2020: PHOENIX FINANCIAL SERVICES, LLC GROUP RETIREMENT PLAN 2020 401k membership
Total participants, beginning-of-year	2020-01-01	278
Total number of active participants reported on line 7a of the Form 5500	2020-01-01	237
Number of retired or separated participants receiving benefits	2020-01-01	0
Number of other retired or separated participants entitled to future benefits	2020-01-01	44
Total of all active and inactive participants	2020-01-01	281
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2020-01-01	0
Total participants	2020-01-01	281
Number of participants with account balances	2020-01-01	157
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2020-01-01	0
2019: PHOENIX FINANCIAL SERVICES, LLC GROUP RETIREMENT PLAN 2019 401k membership
Total participants, beginning-of-year	2019-01-01	184
Total number of active participants reported on line 7a of the Form 5500	2019-01-01	239
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	39
Total of all active and inactive participants	2019-01-01	278
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2019-01-01	0
Total participants	2019-01-01	278
Number of participants with account balances	2019-01-01	160
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2019-01-01	0
2018: PHOENIX FINANCIAL SERVICES, LLC GROUP RETIREMENT PLAN 2018 401k membership
Total participants, beginning-of-year	2018-01-01	177
Total number of active participants reported on line 7a of the Form 5500	2018-01-01	163
Number of retired or separated participants receiving benefits	2018-01-01	0
Number of other retired or separated participants entitled to future benefits	2018-01-01	21
Total of all active and inactive participants	2018-01-01	184
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2018-01-01	0
Total participants	2018-01-01	184
Number of participants with account balances	2018-01-01	104
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2018-01-01	0
2017: PHOENIX FINANCIAL SERVICES, LLC GROUP RETIREMENT PLAN 2017 401k membership
Total participants, beginning-of-year	2017-01-01	167
Total number of active participants reported on line 7a of the Form 5500	2017-01-01	155
Number of retired or separated participants receiving benefits	2017-01-01	0
Number of other retired or separated participants entitled to future benefits	2017-01-01	22
Total of all active and inactive participants	2017-01-01	177
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2017-01-01	0
Total participants	2017-01-01	177
Number of participants with account balances	2017-01-01	97
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2017-01-01	0
2016: PHOENIX FINANCIAL SERVICES, LLC GROUP RETIREMENT PLAN 2016 401k membership
Total participants, beginning-of-year	2016-01-01	169
Total number of active participants reported on line 7a of the Form 5500	2016-01-01	146
Number of retired or separated participants receiving benefits	2016-01-01	0
Number of other retired or separated participants entitled to future benefits	2016-01-01	21
Total of all active and inactive participants	2016-01-01	167
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2016-01-01	0
Total participants	2016-01-01	167
Number of participants with account balances	2016-01-01	90
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2016-01-01	0
2015: PHOENIX FINANCIAL SERVICES, LLC GROUP RETIREMENT PLAN 2015 401k membership
Total participants, beginning-of-year	2015-01-01	174
Total number of active participants reported on line 7a of the Form 5500	2015-01-01	143
Number of retired or separated participants receiving benefits	2015-01-01	1
Number of other retired or separated participants entitled to future benefits	2015-01-01	25
Total of all active and inactive participants	2015-01-01	169
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2015-01-01	0
Total participants	2015-01-01	169
Number of participants with account balances	2015-01-01	94
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2015-01-01	0

Financial Data on PHOENIX FINANCIAL SERVICES, LLC GROUP RETIREMENT PLAN

Measure	Date	Value
2022 : PHOENIX FINANCIAL SERVICES, LLC GROUP RETIREMENT PLAN 2022 401k financial data
Total income from all sources (including contributions)	2022-12-31	$-1,247,018
Total of all expenses incurred	2022-12-31	$993,430
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2022-12-31	$975,744
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2022-12-31	$1,087,684
Value of total assets at end of year	2022-12-31	$12,068,918
Value of total assets at beginning of year	2022-12-31	$14,309,366
Total of administrative expenses incurred including professional, contract, advisory and management fees	2022-12-31	$17,686
Total interest from all sources	2022-12-31	$10,211
Total dividends received (eg from common stock, registered investment company shares)	2022-12-31	$958,858
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2022-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2022-12-31	$958,858
Was this plan covered by a fidelity bond	2022-12-31	Yes
Value of fidelity bond cover	2022-12-31	$500,000
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	$721,276
Participant contributions at end of year	2022-12-31	$92,682
Participant contributions at beginning of year	2022-12-31	$98,583
Income. Received or receivable in cash from other sources (including rollovers)	2022-12-31	$49,131
Administrative expenses (other) incurred	2022-12-31	$17,686
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	$-2,240,448
Value of net assets at end of year (total assets less liabilities)	2022-12-31	$12,068,918
Value of net assets at beginning of year (total assets less liabilities)	2022-12-31	$14,309,366
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	$11,540,040
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2022-12-31	$13,625,044
Interest on participant loans	2022-12-31	$5,076
Interest earned on other investments	2022-12-31	$5,135
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2022-12-31	$436,196
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2022-12-31	$585,739
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2022-12-31	$-3,303,771
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	No
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	$317,277
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2022-12-31	$975,744
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	WEBSTERROGERS LLP
Accountancy firm EIN	2022-12-31	570776381
2021 : PHOENIX FINANCIAL SERVICES, LLC GROUP RETIREMENT PLAN 2021 401k financial data
Total income from all sources (including contributions)	2021-12-31	$2,687,539
Total of all expenses incurred	2021-12-31	$2,310,643
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2021-12-31	$2,292,775
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2021-12-31	$955,348
Value of total assets at end of year	2021-12-31	$14,309,366
Value of total assets at beginning of year	2021-12-31	$13,932,470
Total of administrative expenses incurred including professional, contract, advisory and management fees	2021-12-31	$17,868
Total interest from all sources	2021-12-31	$13,185
Total dividends received (eg from common stock, registered investment company shares)	2021-12-31	$1,048,922
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2021-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2021-12-31	$1,048,922
Was this plan covered by a fidelity bond	2021-12-31	Yes
Value of fidelity bond cover	2021-12-31	$500,000
If this is an individual account plan, was there a blackout period	2021-12-31	No
Were there any nonexempt tranactions with any party-in-interest	2021-12-31	No
Contributions received from participants	2021-12-31	$630,486
Participant contributions at end of year	2021-12-31	$98,583
Participant contributions at beginning of year	2021-12-31	$167,507
Income. Received or receivable in cash from other sources (including rollovers)	2021-12-31	$27,557
Administrative expenses (other) incurred	2021-12-31	$17,868
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	$376,896
Value of net assets at end of year (total assets less liabilities)	2021-12-31	$14,309,366
Value of net assets at beginning of year (total assets less liabilities)	2021-12-31	$13,932,470
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	$13,625,044
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2021-12-31	$12,979,677
Interest on participant loans	2021-12-31	$8,236
Interest earned on other investments	2021-12-31	$4,949
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2021-12-31	$585,739
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2021-12-31	$785,286
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2021-12-31	$670,084
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	No
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	$297,305
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2021-12-31	$2,292,775
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	WEBSTERROGERS LLP
Accountancy firm EIN	2021-12-31	570776381
2020 : PHOENIX FINANCIAL SERVICES, LLC GROUP RETIREMENT PLAN 2020 401k financial data
Total income from all sources (including contributions)	2020-12-31	$2,960,018
Total of all expenses incurred	2020-12-31	$1,266,990
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2020-12-31	$1,241,079
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2020-12-31	$1,143,569
Value of total assets at end of year	2020-12-31	$13,932,470
Value of total assets at beginning of year	2020-12-31	$12,239,442
Total of administrative expenses incurred including professional, contract, advisory and management fees	2020-12-31	$25,911
Total interest from all sources	2020-12-31	$19,429
Total dividends received (eg from common stock, registered investment company shares)	2020-12-31	$614,350
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2020-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2020-12-31	$614,350
Was this plan covered by a fidelity bond	2020-12-31	Yes
Value of fidelity bond cover	2020-12-31	$500,000
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	$677,103
Participant contributions at end of year	2020-12-31	$167,507
Participant contributions at beginning of year	2020-12-31	$209,180
Income. Received or receivable in cash from other sources (including rollovers)	2020-12-31	$159,627
Administrative expenses (other) incurred	2020-12-31	$25,911
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	$1,693,028
Value of net assets at end of year (total assets less liabilities)	2020-12-31	$13,932,470
Value of net assets at beginning of year (total assets less liabilities)	2020-12-31	$12,239,442
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	$12,979,677
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2020-12-31	$11,604,415
Interest on participant loans	2020-12-31	$12,395
Interest earned on other investments	2020-12-31	$7,034
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2020-12-31	$785,286
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2020-12-31	$425,847
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2020-12-31	$1,182,670
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	$306,839
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2020-12-31	$1,241,079
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	WEBSTERROGERS LLP
Accountancy firm EIN	2020-12-31	570776381
2019 : PHOENIX FINANCIAL SERVICES, LLC GROUP RETIREMENT PLAN 2019 401k financial data
Total transfer of assets to this plan	2019-12-31	$2,876,461
Total income from all sources (including contributions)	2019-12-31	$2,548,297
Total of all expenses incurred	2019-12-31	$652,797
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2019-12-31	$634,382
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2019-12-31	$795,981
Value of total assets at end of year	2019-12-31	$12,239,442
Value of total assets at beginning of year	2019-12-31	$7,467,481
Total of administrative expenses incurred including professional, contract, advisory and management fees	2019-12-31	$18,415
Total interest from all sources	2019-12-31	$13,915
Total dividends received (eg from common stock, registered investment company shares)	2019-12-31	$508,041
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2019-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2019-12-31	$508,041
Was this plan covered by a fidelity bond	2019-12-31	Yes
Value of fidelity bond cover	2019-12-31	$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
Contributions received from participants	2019-12-31	$507,803
Participant contributions at end of year	2019-12-31	$209,180
Participant contributions at beginning of year	2019-12-31	$70,695
Income. Received or receivable in cash from other sources (including rollovers)	2019-12-31	$42,624
Administrative expenses (other) incurred	2019-12-31	$18,415
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	$1,895,500
Value of net assets at end of year (total assets less liabilities)	2019-12-31	$12,239,442
Value of net assets at beginning of year (total assets less liabilities)	2019-12-31	$7,467,481
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 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	$11,604,415
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2019-12-31	$7,052,074
Interest on participant loans	2019-12-31	$7,878
Interest earned on other investments	2019-12-31	$6,037
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2019-12-31	$425,847
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2019-12-31	$344,712
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2019-12-31	$1,230,360
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	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	$245,554
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2019-12-31	$634,382
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
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
Opinion of an independent qualified public accountant for this plan	2019-12-31	Disclaimer
Accountancy firm name	2019-12-31	WEBSTERROGERS LLP
Accountancy firm EIN	2019-12-31	570776381
2018 : PHOENIX FINANCIAL SERVICES, LLC GROUP RETIREMENT PLAN 2018 401k financial data
Total income from all sources (including contributions)	2018-12-31	$94,863
Total of all expenses incurred	2018-12-31	$149,719
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2018-12-31	$134,417
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2018-12-31	$580,378
Value of total assets at end of year	2018-12-31	$7,467,481
Value of total assets at beginning of year	2018-12-31	$7,522,337
Total of administrative expenses incurred including professional, contract, advisory and management fees	2018-12-31	$15,302
Total interest from all sources	2018-12-31	$7,648
Total dividends received (eg from common stock, registered investment company shares)	2018-12-31	$500,213
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2018-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2018-12-31	$500,213
Was this plan covered by a fidelity bond	2018-12-31	Yes
Value of fidelity bond cover	2018-12-31	$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	$354,195
Participant contributions at end of year	2018-12-31	$70,695
Participant contributions at beginning of year	2018-12-31	$101,012
Income. Received or receivable in cash from other sources (including rollovers)	2018-12-31	$35,604
Administrative expenses (other) incurred	2018-12-31	$15,302
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	$-54,856
Value of net assets at end of year (total assets less liabilities)	2018-12-31	$7,467,481
Value of net assets at beginning of year (total assets less liabilities)	2018-12-31	$7,522,337
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	$7,052,074
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2018-12-31	$7,131,229
Interest on participant loans	2018-12-31	$4,668
Interest earned on other investments	2018-12-31	$2,980
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2018-12-31	$344,712
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2018-12-31	$290,096
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2018-12-31	$-993,376
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	$190,579
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2018-12-31	$134,417
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	ROBINSON GRANT & CO., P.A.
Accountancy firm EIN	2018-12-31	570735924
2017 : PHOENIX FINANCIAL SERVICES, LLC GROUP RETIREMENT PLAN 2017 401k financial data
Total income from all sources (including contributions)	2017-12-31	$1,566,063
Total of all expenses incurred	2017-12-31	$328,477
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2017-12-31	$296,825
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2017-12-31	$472,956
Value of total assets at end of year	2017-12-31	$7,522,337
Value of total assets at beginning of year	2017-12-31	$6,284,751
Total of administrative expenses incurred including professional, contract, advisory and management fees	2017-12-31	$31,652
Total interest from all sources	2017-12-31	$6,794
Total dividends received (eg from common stock, registered investment company shares)	2017-12-31	$271,028
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2017-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2017-12-31	$271,028
Was this plan covered by a fidelity bond	2017-12-31	Yes
Value of fidelity bond cover	2017-12-31	$500,000
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	$302,081
Participant contributions at end of year	2017-12-31	$101,012
Participant contributions at beginning of year	2017-12-31	$97,170
Income. Received or receivable in cash from other sources (including rollovers)	2017-12-31	$3,604
Administrative expenses (other) incurred	2017-12-31	$31,652
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	$1,237,586
Value of net assets at end of year (total assets less liabilities)	2017-12-31	$7,522,337
Value of net assets at beginning of year (total assets less liabilities)	2017-12-31	$6,284,751
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	$7,131,229
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2017-12-31	$5,910,631
Interest on participant loans	2017-12-31	$3,859
Interest earned on other investments	2017-12-31	$2,935
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2017-12-31	$290,096
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2017-12-31	$276,950
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2017-12-31	$815,285
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	$167,271
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2017-12-31	$296,825
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	ROBINSON GRANT & CO., P.A.
Accountancy firm EIN	2017-12-31	570735924
2016 : PHOENIX FINANCIAL SERVICES, LLC GROUP RETIREMENT PLAN 2016 401k financial data
Total income from all sources (including contributions)	2016-12-31	$792,824
Total of all expenses incurred	2016-12-31	$235,631
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2016-12-31	$197,673
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2016-12-31	$380,910
Value of total assets at end of year	2016-12-31	$6,284,751
Value of total assets at beginning of year	2016-12-31	$5,727,558
Total of administrative expenses incurred including professional, contract, advisory and management fees	2016-12-31	$37,958
Total interest from all sources	2016-12-31	$2,138
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	$500,000
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	$245,403
Participant contributions at end of year	2016-12-31	$97,170
Participant contributions at beginning of year	2016-12-31	$84,060
Other income not declared elsewhere	2016-12-31	$1,620
Administrative expenses (other) incurred	2016-12-31	$37,958
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	$557,193
Value of net assets at end of year (total assets less liabilities)	2016-12-31	$6,284,751
Value of net assets at beginning of year (total assets less liabilities)	2016-12-31	$5,727,558
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
Value of interest in registered invesment companies (eg mutual funds) at end of year	2016-12-31	$5,910,631
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2016-12-31	$5,574,481
Interest on participant loans	2016-12-31	$2,138
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2016-12-31	$276,950
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2016-12-31	$69,017
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2016-12-31	$408,156
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
Contributions received in cash from employer	2016-12-31	$135,507
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2016-12-31	$197,673
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	WEBSTERROGERS LLP
Accountancy firm EIN	2016-12-31	570776381
2015 : PHOENIX FINANCIAL SERVICES, LLC GROUP RETIREMENT PLAN 2015 401k financial data
Total income from all sources (including contributions)	2015-12-31	$393,016
Total of all expenses incurred	2015-12-31	$552,199
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2015-12-31	$517,669
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2015-12-31	$427,873
Value of total assets at end of year	2015-12-31	$5,727,558
Value of total assets at beginning of year	2015-12-31	$5,886,741
Total of administrative expenses incurred including professional, contract, advisory and management fees	2015-12-31	$34,530
Total interest from all sources	2015-12-31	$3,673
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2015-12-31	No
Was this plan covered by a fidelity bond	2015-12-31	Yes
Value of fidelity bond cover	2015-12-31	$500,000
If this is an individual account plan, was there a blackout period	2015-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2015-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2015-12-31	No
Contributions received from participants	2015-12-31	$281,860
Participant contributions at end of year	2015-12-31	$84,060
Participant contributions at beginning of year	2015-12-31	$38,970
Income. Received or receivable in cash from other sources (including rollovers)	2015-12-31	$8,777
Other income not declared elsewhere	2015-12-31	$842
Administrative expenses (other) incurred	2015-12-31	$34,530
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2015-12-31	No
Value of net income/loss	2015-12-31	$-159,183
Value of net assets at end of year (total assets less liabilities)	2015-12-31	$5,727,558
Value of net assets at beginning of year (total assets less liabilities)	2015-12-31	$5,886,741
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2015-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2015-12-31	No
Were any leases to which the plan was party in default or uncollectible	2015-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2015-12-31	$5,574,481
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2015-12-31	$5,780,254
Interest on participant loans	2015-12-31	$3,673
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2015-12-31	$69,017
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2015-12-31	$67,517
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2015-12-31	$-39,372
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2015-12-31	No
Was there a failure to transmit to the plan any participant contributions	2015-12-31	No
Has the plan failed to provide any benefit when due under the plan	2015-12-31	No
Contributions received in cash from employer	2015-12-31	$137,236
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2015-12-31	$517,669
Did the plan have assets held for investment	2015-12-31	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	2015-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2015-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2015-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2015-12-31	Disclaimer
Accountancy firm name	2015-12-31	WEBSTERROGERS LLP
Accountancy firm EIN	2015-12-31	570776381

Form 5500 Responses for PHOENIX FINANCIAL SERVICES, LLC GROUP RETIREMENT PLAN

2022: PHOENIX FINANCIAL SERVICES, LLC GROUP RETIREMENT PLAN 2022 form 5500 responses
2022-01-01	Type of plan entity	Mulitple employer plan
2022-01-01	Plan is a collectively bargained plan	Yes
2022-01-01	Plan funding arrangement – Insurance	Yes
2022-01-01	Plan funding arrangement – Trust	Yes
2022-01-01	Plan benefit arrangement - Trust	Yes
2021: PHOENIX FINANCIAL SERVICES, LLC GROUP RETIREMENT PLAN 2021 form 5500 responses
2021-01-01	Type of plan entity	Mulitple employer plan
2021-01-01	Plan is a collectively bargained plan	Yes
2021-01-01	Plan funding arrangement – Insurance	Yes
2021-01-01	Plan funding arrangement – Trust	Yes
2021-01-01	Plan benefit arrangement - Trust	Yes
2020: PHOENIX FINANCIAL SERVICES, LLC GROUP RETIREMENT PLAN 2020 form 5500 responses
2020-01-01	Type of plan entity	Mulitple employer plan
2020-01-01	Plan is a collectively bargained plan	Yes
2020-01-01	Plan funding arrangement – Insurance	Yes
2020-01-01	Plan funding arrangement – Trust	Yes
2020-01-01	Plan benefit arrangement - Trust	Yes
2019: PHOENIX FINANCIAL SERVICES, LLC GROUP RETIREMENT PLAN 2019 form 5500 responses
2019-01-01	Type of plan entity	Mulitple employer plan
2019-01-01	Plan is a collectively bargained plan	Yes
2019-01-01	Plan funding arrangement – Insurance	Yes
2019-01-01	Plan funding arrangement – Trust	Yes
2019-01-01	Plan benefit arrangement - Trust	Yes
2018: PHOENIX FINANCIAL SERVICES, LLC GROUP RETIREMENT PLAN 2018 form 5500 responses
2018-01-01	Type of plan entity	Mulitple employer plan
2018-01-01	Plan is a collectively bargained plan	Yes
2018-01-01	Plan funding arrangement – Insurance	Yes
2018-01-01	Plan funding arrangement – Trust	Yes
2018-01-01	Plan benefit arrangement - Trust	Yes
2017: PHOENIX FINANCIAL SERVICES, LLC GROUP RETIREMENT PLAN 2017 form 5500 responses
2017-01-01	Type of plan entity	Mulitple employer plan
2017-01-01	Plan is a collectively bargained plan	Yes
2017-01-01	Plan funding arrangement – Insurance	Yes
2017-01-01	Plan funding arrangement – Trust	Yes
2017-01-01	Plan benefit arrangement - Trust	Yes
2016: PHOENIX FINANCIAL SERVICES, LLC GROUP RETIREMENT PLAN 2016 form 5500 responses
2016-01-01	Type of plan entity	Mulitple employer plan
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
2015: PHOENIX FINANCIAL SERVICES, LLC GROUP RETIREMENT PLAN 2015 form 5500 responses
2015-01-01	Type of plan entity	Mulitple employer plan
2015-01-01	Plan funding arrangement – Insurance	Yes
2015-01-01	Plan funding arrangement – Trust	Yes
2015-01-01	Plan benefit arrangement – Insurance	Yes
2015-01-01	Plan benefit arrangement - Trust	Yes

Insurance Providers Used on plan

GREAT-WEST LIFE & ANNUITY INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 68322 )

Policy contract number

931790-01

Policy instance

Insurance contract or identification number	931790-01
Number of Individuals Covered	47
Insurance policy start date	2022-01-01
Insurance policy end date	2022-12-31
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No

GREAT-WEST LIFE & ANNUITY INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 68322 )

Policy contract number

931790-01

Policy instance

Insurance contract or identification number	931790-01
Number of Individuals Covered	44
Insurance policy start date	2021-01-01
Insurance policy end date	2021-12-31
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No

GREAT-WEST LIFE & ANNUITY INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 68322 )

Policy contract number

931790-01

Policy instance

Insurance contract or identification number	931790-01
Number of Individuals Covered	45
Insurance policy start date	2020-01-01
Insurance policy end date	2020-12-31
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No

GREAT-WEST LIFE & ANNUITY INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 68322 )

Policy contract number

931790-01

Policy instance

Insurance contract or identification number	931790-01
Number of Individuals Covered	43
Insurance policy start date	2019-01-01
Insurance policy end date	2019-12-31
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No

GREAT-WEST LIFE & ANNUITY INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 68322 )

Policy contract number

931790-01

Policy instance

Insurance contract or identification number	931790-01
Number of Individuals Covered	30
Insurance policy start date	2018-01-01
Insurance policy end date	2018-12-31
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No

GREAT-WEST LIFE & ANNUITY INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 68322 )

Policy contract number

931790-01

Policy instance

Insurance contract or identification number	931790-01
Number of Individuals Covered	23
Insurance policy start date	2017-01-01
Insurance policy end date	2017-12-31
Total amount of commissions paid to insurance broker	USD $386
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No
Commission paid to Insurance Broker	USD $386
Insurance broker organization code?	3
Insurance broker name	MML INVESTORS SERVICES INC.

GREAT-WEST LIFE & ANNUITY INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 68322 )

Policy contract number

931790-01

Policy instance

Insurance contract or identification number	931790-01
Number of Individuals Covered	19
Insurance policy start date	2015-01-01
Insurance policy end date	2015-12-31
Total amount of commissions paid to insurance broker	USD $144
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	Yes
Commission paid to Insurance Broker	USD $144
Insurance broker organization code?	3
Insurance broker name	MML INVESTORS SERVICES INC.

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Company Name:	PHOENIX FINANCIAL SERVICES, LLC
Employer identification number (EIN):	300651611
NAIC Classification:	541214
NAIC Description:	Payroll Services