401k Plan data: PARALLAX, LLC 401(K) SAVINGS PLAN plan

PARALLAX, LLC 401(K) SAVINGS PLAN 401k Plan overview

Plan Name	PARALLAX, LLC 401(K) SAVINGS PLAN
Plan identification number	001

PARALLAX, LLC 401(K) SAVINGS 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

PARALLAX CAPITAL PARTNERS, LLC has sponsored the creation of one or more 401k plans.

Company Name: PARALLAX CAPITAL PARTNERS, LLC

Employer identification number (EIN): 330839162

NAIC Classification: 541511
NAIC Description: Custom Computer Programming Services

Additional information about PARALLAX CAPITAL PARTNERS, LLC

Jurisdiction of Incorporation: California Department of State

Incorporation Date:

Company Identification Number: 199900810055

More information about PARALLAX CAPITAL PARTNERS, LLC

Form 5500 Filing Information

Submission information for form 5500 for 401k plan PARALLAX, LLC 401(K) SAVINGS PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2022-01-01 PAMELA WOOD 2023-08-31
001 2021-01-01 PAMELA WOOD 2022-07-26
001 2020-01-01 PAMELA WOOD 2021-07-29
001 2019-01-01 PAMELA WOOD 2020-09-15 PAMELA WOOD 2020-09-15
001 2018-01-01 PAMELA WOOD 2019-07-18
001 2017-01-01 PAMELA WOOD 2018-07-09 PAMELA WOOD 2018-07-09
001 2016-01-01 PAMELA WOOD 2017-06-23 PAMELA WOOD 2017-06-23
001 2015-01-01 PAMELA WOOD 2016-07-29 PAMELA WOOD 2016-07-29
001 2014-01-01 PAMELA WOOD PAMELA WOOD 2015-07-24
001 2013-01-01 PAMELA WOOD
001 2012-01-01 PAMELA WOOD
001 2011-01-01 PAMELA WOOD
001 2009-01-01 PAMELA WOOD PAMELA WOOD 2010-10-04

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed	Name of Company Sponsor	Date Sponsor Signed
001	2022-01-01	PAMELA WOOD	2023-08-31
001	2021-01-01	PAMELA WOOD	2022-07-26
001	2020-01-01	PAMELA WOOD	2021-07-29
001	2019-01-01	PAMELA WOOD	2020-09-15	PAMELA WOOD	2020-09-15
001	2018-01-01	PAMELA WOOD	2019-07-18
001	2017-01-01	PAMELA WOOD	2018-07-09	PAMELA WOOD	2018-07-09
001	2016-01-01	PAMELA WOOD	2017-06-23	PAMELA WOOD	2017-06-23
001	2015-01-01	PAMELA WOOD	2016-07-29	PAMELA WOOD	2016-07-29
001	2014-01-01	PAMELA WOOD		PAMELA WOOD	2015-07-24
001	2013-01-01	PAMELA WOOD
001	2012-01-01	PAMELA WOOD
001	2011-01-01	PAMELA WOOD
001	2009-01-01	PAMELA WOOD		PAMELA WOOD	2010-10-04

Plan Statistics for PARALLAX, LLC 401(K) SAVINGS PLAN

401k plan membership statisitcs for PARALLAX, LLC 401(K) SAVINGS PLAN

Measure Date Value
2014: PARALLAX, LLC 401(K) SAVINGS PLAN 2014 401k membership
Total participants, beginning-of-year 2014-01-01 78
Total number of active participants reported on line 7a of the Form 5500 2014-01-01 57
Number of retired or separated participants receiving benefits 2014-01-01 0
Number of other retired or separated participants entitled to future benefits 2014-01-01 24
Total of all active and inactive participants 2014-01-01 81
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2014-01-01 0
Total participants 2014-01-01 81
Number of participants with account balances 2014-01-01 74
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2014-01-01 4
2013: PARALLAX, LLC 401(K) SAVINGS PLAN 2013 401k membership
Total participants, beginning-of-year 2013-01-01 80
Total number of active participants reported on line 7a of the Form 5500 2013-01-01 55
Number of retired or separated participants receiving benefits 2013-01-01 0
Number of other retired or separated participants entitled to future benefits 2013-01-01 23
Total of all active and inactive participants 2013-01-01 78
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2013-01-01 0
Total participants 2013-01-01 78
Number of participants with account balances 2013-01-01 71
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2013-01-01 0
2012: PARALLAX, LLC 401(K) SAVINGS PLAN 2012 401k membership
Total participants, beginning-of-year 2012-01-01 81
Total number of active participants reported on line 7a of the Form 5500 2012-01-01 54
Number of retired or separated participants receiving benefits 2012-01-01 0
Number of other retired or separated participants entitled to future benefits 2012-01-01 26
Total of all active and inactive participants 2012-01-01 80
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2012-01-01 0
Total participants 2012-01-01 80
Number of participants with account balances 2012-01-01 54
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2012-01-01 17
2011: PARALLAX, LLC 401(K) SAVINGS PLAN 2011 401k membership
Total participants, beginning-of-year 2011-01-01 88
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 56
Number of retired or separated participants receiving benefits 2011-01-01 0
Number of other retired or separated participants entitled to future benefits 2011-01-01 25
Total of all active and inactive participants 2011-01-01 81
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-01-01 0
Total participants 2011-01-01 81
Number of participants with account balances 2011-01-01 81
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-01-01 0
2009: PARALLAX, LLC 401(K) SAVINGS PLAN 2009 401k membership
Total participants, beginning-of-year 2009-01-01 110
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 56
Number of retired or separated participants receiving benefits 2009-01-01 0
Number of other retired or separated participants entitled to future benefits 2009-01-01 31
Total of all active and inactive participants 2009-01-01 87
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-01-01 0
Total participants 2009-01-01 87
Number of participants with account balances 2009-01-01 87
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-01-01 0

Measure	Date	Value
2014: PARALLAX, LLC 401(K) SAVINGS PLAN 2014 401k membership
Total participants, beginning-of-year	2014-01-01	78
Total number of active participants reported on line 7a of the Form 5500	2014-01-01	57
Number of retired or separated participants receiving benefits	2014-01-01	0
Number of other retired or separated participants entitled to future benefits	2014-01-01	24
Total of all active and inactive participants	2014-01-01	81
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2014-01-01	0
Total participants	2014-01-01	81
Number of participants with account balances	2014-01-01	74
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2014-01-01	4
2013: PARALLAX, LLC 401(K) SAVINGS PLAN 2013 401k membership
Total participants, beginning-of-year	2013-01-01	80
Total number of active participants reported on line 7a of the Form 5500	2013-01-01	55
Number of retired or separated participants receiving benefits	2013-01-01	0
Number of other retired or separated participants entitled to future benefits	2013-01-01	23
Total of all active and inactive participants	2013-01-01	78
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2013-01-01	0
Total participants	2013-01-01	78
Number of participants with account balances	2013-01-01	71
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2013-01-01	0
2012: PARALLAX, LLC 401(K) SAVINGS PLAN 2012 401k membership
Total participants, beginning-of-year	2012-01-01	81
Total number of active participants reported on line 7a of the Form 5500	2012-01-01	54
Number of retired or separated participants receiving benefits	2012-01-01	0
Number of other retired or separated participants entitled to future benefits	2012-01-01	26
Total of all active and inactive participants	2012-01-01	80
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2012-01-01	0
Total participants	2012-01-01	80
Number of participants with account balances	2012-01-01	54
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2012-01-01	17
2011: PARALLAX, LLC 401(K) SAVINGS PLAN 2011 401k membership
Total participants, beginning-of-year	2011-01-01	88
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	56
Number of retired or separated participants receiving benefits	2011-01-01	0
Number of other retired or separated participants entitled to future benefits	2011-01-01	25
Total of all active and inactive participants	2011-01-01	81
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-01-01	0
Total participants	2011-01-01	81
Number of participants with account balances	2011-01-01	81
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-01-01	0
2009: PARALLAX, LLC 401(K) SAVINGS PLAN 2009 401k membership
Total participants, beginning-of-year	2009-01-01	110
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	56
Number of retired or separated participants receiving benefits	2009-01-01	0
Number of other retired or separated participants entitled to future benefits	2009-01-01	31
Total of all active and inactive participants	2009-01-01	87
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-01-01	0
Total participants	2009-01-01	87
Number of participants with account balances	2009-01-01	87
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-01-01	0

Financial Data on PARALLAX, LLC 401(K) SAVINGS PLAN

Measure	Date	Value
2014 : PARALLAX, LLC 401(K) SAVINGS PLAN 2014 401k financial data
Transfers to/from the plan	2014-12-31	$0
Total income from all sources	2014-12-31	$1,385,981
Expenses. Total of all expenses incurred	2014-12-31	$388,380
Benefits paid (including direct rollovers)	2014-12-31	$388,067
Total plan assets at end of year	2014-12-31	$10,029,090
Total plan assets at beginning of year	2014-12-31	$9,031,489
Value of fidelity bond covering the plan	2014-12-31	$500,000
Total contributions received or receivable from participants	2014-12-31	$658,958
Expenses. Other expenses not covered elsewhere	2014-12-31	$313
Contributions received from other sources (not participants or employers)	2014-12-31	$25,658
Other income received	2014-12-31	$509,133
Net income (gross income less expenses)	2014-12-31	$997,601
Net plan assets at end of year (total assets less liabilities)	2014-12-31	$10,029,090
Net plan assets at beginning of year (total assets less liabilities)	2014-12-31	$9,031,489
Assets. Value of participant loans	2014-12-31	$111,311
Total contributions received or receivable from employer(s)	2014-12-31	$192,232
Value of certain deemed distributions of participant loans	2014-12-31	$0
Value of corrective distributions	2014-12-31	$0
Funding deficiency by the employer to the plan for this plan year	2014-12-31	$0
Minimum employer required contribution for this plan year	2014-12-31	$0
Amount contributed by the employer to the plan for this plan year	2014-12-31	$0
2013 : PARALLAX, LLC 401(K) SAVINGS PLAN 2013 401k financial data
Transfers to/from the plan	2013-12-31	$110
Total income from all sources	2013-12-31	$1,987,812
Expenses. Total of all expenses incurred	2013-12-31	$84,467
Benefits paid (including direct rollovers)	2013-12-31	$84,139
Total plan assets at end of year	2013-12-31	$9,031,489
Total plan assets at beginning of year	2013-12-31	$7,128,034
Value of fidelity bond covering the plan	2013-12-31	$500,000
Total contributions received or receivable from participants	2013-12-31	$609,823
Expenses. Other expenses not covered elsewhere	2013-12-31	$328
Contributions received from other sources (not participants or employers)	2013-12-31	$0
Other income received	2013-12-31	$1,208,795
Net income (gross income less expenses)	2013-12-31	$1,903,345
Net plan assets at end of year (total assets less liabilities)	2013-12-31	$9,031,489
Net plan assets at beginning of year (total assets less liabilities)	2013-12-31	$7,128,034
Assets. Value of participant loans	2013-12-31	$126,564
Total contributions received or receivable from employer(s)	2013-12-31	$169,194
Value of certain deemed distributions of participant loans	2013-12-31	$0
Value of corrective distributions	2013-12-31	$0
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2013-12-31	$0
Funding deficiency by the employer to the plan for this plan year	2013-12-31	$0
Minimum employer required contribution for this plan year	2013-12-31	$0
Amount contributed by the employer to the plan for this plan year	2013-12-31	$0
2012 : PARALLAX, LLC 401(K) SAVINGS PLAN 2012 401k financial data
Transfers to/from the plan	2012-12-31	$0
Total income from all sources	2012-12-31	$1,435,556
Expenses. Total of all expenses incurred	2012-12-31	$549,680
Benefits paid (including direct rollovers)	2012-12-31	$544,161
Total plan assets at end of year	2012-12-31	$7,128,034
Total plan assets at beginning of year	2012-12-31	$6,242,158
Value of fidelity bond covering the plan	2012-12-31	$500,000
Total contributions received or receivable from participants	2012-12-31	$599,914
Expenses. Other expenses not covered elsewhere	2012-12-31	$205
Contributions received from other sources (not participants or employers)	2012-12-31	$0
Other income received	2012-12-31	$669,905
Net income (gross income less expenses)	2012-12-31	$885,876
Net plan assets at end of year (total assets less liabilities)	2012-12-31	$7,128,034
Net plan assets at beginning of year (total assets less liabilities)	2012-12-31	$6,242,158
Assets. Value of participant loans	2012-12-31	$65,238
Total contributions received or receivable from employer(s)	2012-12-31	$165,737
Value of certain deemed distributions of participant loans	2012-12-31	$0
Value of corrective distributions	2012-12-31	$5,314
Funding deficiency by the employer to the plan for this plan year	2012-12-31	$0
Minimum employer required contribution for this plan year	2012-12-31	$0
Amount contributed by the employer to the plan for this plan year	2012-12-31	$0
2011 : PARALLAX, LLC 401(K) SAVINGS PLAN 2011 401k financial data
Transfers to/from the plan	2011-12-31	$0
Total income from all sources	2011-12-31	$389,400
Expenses. Total of all expenses incurred	2011-12-31	$197,996
Benefits paid (including direct rollovers)	2011-12-31	$197,589
Total plan assets at end of year	2011-12-31	$6,242,158
Total plan assets at beginning of year	2011-12-31	$6,050,754
Value of fidelity bond covering the plan	2011-12-31	$500,000
Total contributions received or receivable from participants	2011-12-31	$615,257
Expenses. Other expenses not covered elsewhere	2011-12-31	$407
Contributions received from other sources (not participants or employers)	2011-12-31	$0
Other income received	2011-12-31	$-385,015
Net income (gross income less expenses)	2011-12-31	$191,404
Net plan assets at end of year (total assets less liabilities)	2011-12-31	$6,242,158
Net plan assets at beginning of year (total assets less liabilities)	2011-12-31	$6,050,754
Assets. Value of participant loans	2011-12-31	$109,638
Total contributions received or receivable from employer(s)	2011-12-31	$159,158
Value of certain deemed distributions of participant loans	2011-12-31	$0
Value of corrective distributions	2011-12-31	$0
Funding deficiency by the employer to the plan for this plan year	2011-12-31	$0
Minimum employer required contribution for this plan year	2011-12-31	$0
Amount contributed by the employer to the plan for this plan year	2011-12-31	$0
2010 : PARALLAX, LLC 401(K) SAVINGS PLAN 2010 401k financial data
Transfers to/from the plan	2010-12-31	$0
Total income from all sources	2010-12-31	$1,417,932
Expenses. Total of all expenses incurred	2010-12-31	$12,880
Benefits paid (including direct rollovers)	2010-12-31	$12,574
Total plan assets at end of year	2010-12-31	$6,050,754
Total plan assets at beginning of year	2010-12-31	$4,645,702
Value of fidelity bond covering the plan	2010-12-31	$500,000
Total contributions received or receivable from participants	2010-12-31	$573,598
Expenses. Other expenses not covered elsewhere	2010-12-31	$306
Contributions received from other sources (not participants or employers)	2010-12-31	$8,255
Other income received	2010-12-31	$684,149
Net income (gross income less expenses)	2010-12-31	$1,405,052
Net plan assets at end of year (total assets less liabilities)	2010-12-31	$6,050,754
Net plan assets at beginning of year (total assets less liabilities)	2010-12-31	$4,645,702
Assets. Value of participant loans	2010-12-31	$84,554
Total contributions received or receivable from employer(s)	2010-12-31	$151,930
Value of certain deemed distributions of participant loans	2010-12-31	$0
Value of corrective distributions	2010-12-31	$0
Funding deficiency by the employer to the plan for this plan year	2010-12-31	$0
Minimum employer required contribution for this plan year	2010-12-31	$0
Amount contributed by the employer to the plan for this plan year	2010-12-31	$0
2009 : PARALLAX, LLC 401(K) SAVINGS PLAN 2009 401k financial data
Funding deficiency by the employer to the plan for this plan year	2009-12-31	$0
Minimum employer required contribution for this plan year	2009-12-31	$0
Amount contributed by the employer to the plan for this plan year	2009-12-31	$0

Form 5500 Responses for PARALLAX, LLC 401(K) SAVINGS PLAN

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

Insurance Providers Used on plan

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

Policy contract number

GA-827101

Policy instance

Insurance contract or identification number	GA-827101
Number of Individuals Covered	74
Insurance policy start date	2014-01-01
Insurance policy end date	2014-12-31
Total amount of commissions paid to insurance broker	USD $22,738
Total amount of fees paid to insurance company	USD $0
Are there contracts with allocated funds for individual policies?	No
Are there contracts with allocated funds for group deferred annuity?	No
Are there contracts with allocated funds for types other than group deferred annuity or individual?	No
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Contracts With Unallocated Funds Deposit Administration	0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?	No
Are there contracts with unallocated funds for contracts of type guaranteed investment?	No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	Yes
Health Insurance Welfare Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
Were dividends or retroactive rate refunds paid in cash?	No
Were dividends or retroactive rate refunds paid as a credit?	No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No
Commission paid to Insurance Broker	USD $22,738
Insurance broker organization code?	3
Insurance broker name	MORGAN STANLEY INS SERVICES INC

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

Policy contract number

GA-827101

Policy instance

Insurance contract or identification number	GA-827101
Number of Individuals Covered	71
Insurance policy start date	2013-01-01
Insurance policy end date	2013-12-31
Total amount of commissions paid to insurance broker	USD $18,681
Total amount of fees paid to insurance company	USD $0
Are there contracts with allocated funds for individual policies?	No
Are there contracts with allocated funds for group deferred annuity?	No
Are there contracts with allocated funds for types other than group deferred annuity or individual?	No
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Contracts With Unallocated Funds Deposit Administration	0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?	No
Are there contracts with unallocated funds for contracts of type guaranteed investment?	No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	Yes
Health Insurance Welfare Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
Were dividends or retroactive rate refunds paid in cash?	No
Were dividends or retroactive rate refunds paid as a credit?	No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No
Commission paid to Insurance Broker	USD $18,681
Insurance broker organization code?	3
Insurance broker name	MORGAN STANLEY INS SVCS INC

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

Policy contract number

GA-827101

Policy instance

Insurance contract or identification number	GA-827101
Number of Individuals Covered	54
Insurance policy start date	2012-01-01
Insurance policy end date	2012-12-31
Total amount of commissions paid to insurance broker	USD $16,131
Total amount of fees paid to insurance company	USD $91
Are there contracts with allocated funds for individual policies?	No
Are there contracts with allocated funds for group deferred annuity?	No
Are there contracts with allocated funds for types other than group deferred annuity or individual?	No
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Contracts With Unallocated Funds Deposit Administration	0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?	No
Are there contracts with unallocated funds for contracts of type guaranteed investment?	No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	Yes
Health Insurance Welfare Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
Were dividends or retroactive rate refunds paid in cash?	No
Were dividends or retroactive rate refunds paid as a credit?	No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No
Commission paid to Insurance Broker	USD $16,131
Insurance broker organization code?	3
Amount paid for insurance broker fees	66
Additional information about fees paid to insurance broker	SALES/MARKETING
Insurance broker name	MORGANSTANLEY SMITHBARNEY LLC

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

Policy contract number

GA-827101

Policy instance

Insurance contract or identification number	GA-827101
Number of Individuals Covered	81
Insurance policy start date	2011-01-01
Insurance policy end date	2011-12-31
Total amount of commissions paid to insurance broker	USD $17,897
Total amount of fees paid to insurance company	USD $0
Are there contracts with allocated funds for individual policies?	No
Are there contracts with allocated funds for group deferred annuity?	No
Are there contracts with allocated funds for types other than group deferred annuity or individual?	No
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Contracts With Unallocated Funds Deposit Administration	0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?	No
Are there contracts with unallocated funds for contracts of type guaranteed investment?	No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	Yes
Health Insurance Welfare Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
Were dividends or retroactive rate refunds paid in cash?	No
Were dividends or retroactive rate refunds paid as a credit?	No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No

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

Policy contract number

GA-712076

Policy instance

Insurance contract or identification number	GA-712076
Number of Individuals Covered	85
Insurance policy start date	2010-01-01
Insurance policy end date	2010-12-31
Total amount of commissions paid to insurance broker	USD $6,964
Total amount of fees paid to insurance company	USD $3,262
Are there contracts with allocated funds for individual policies?	No
Are there contracts with allocated funds for group deferred annuity?	No
Are there contracts with allocated funds for types other than group deferred annuity or individual?	No
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Contracts With Unallocated Funds Deposit Administration	0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?	No
Are there contracts with unallocated funds for contracts of type guaranteed investment?	No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	Yes
Health Insurance Welfare Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
Were dividends or retroactive rate refunds paid in cash?	No
Were dividends or retroactive rate refunds paid as a credit?	No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No
Commission paid to Insurance Broker	USD $6,964
Insurance broker organization code?	3
Amount paid for insurance broker fees	3237
Additional information about fees paid to insurance broker	SALES/MARKETING
Insurance broker name	MORGANSTANLEY SMITHBARNEY LLC

Potentially related plans

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Company Name:	PARALLAX CAPITAL PARTNERS, LLC
Employer identification number (EIN):	330839162
NAIC Classification:	541511
NAIC Description:	Custom Computer Programming Services

Jurisdiction of Incorporation:	California Department of State
Incorporation Date:
Company Identification Number:	199900810055