401k Plan data: AMERICAN APPRAISAL ASSOC. RETIREMENT INV. PLAN plan

AMERICAN APPRAISAL ASSOC. RETIREMENT INV. PLAN 401k Plan overview

Plan Name	AMERICAN APPRAISAL ASSOC. RETIREMENT INV. PLAN
Plan identification number	009

AMERICAN APPRAISAL ASSOC. RETIREMENT INV. PLAN Benefits

401k Plan Type

Defined 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.
Plan provides for automatic enrollment in plan that has employee contributions deducted from payroll.
Total or partial participant-directed account plan - plan uses default investment account for participants who fail to direct assets in their account.
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

AMERICAN APPRAISAL ASSOCIATES, LLC has sponsored the creation of one or more 401k plans.

Company Name: AMERICAN APPRAISAL ASSOCIATES, LLC

Employer identification number (EIN): 391137784

NAIC Classification: 541990
NAIC Description: All Other Professional, Scientific, and Technical Services

Additional information about AMERICAN APPRAISAL ASSOCIATES, LLC

Jurisdiction of Incorporation: Texas Secretary of State

Incorporation Date: 1976-03-18

Company Identification Number: 0003886706

Legal Registered Office Address: 300 HEADQUARTERS PLZ FL 12

MORRISTOWN
United States of America (USA)
07960

More information about AMERICAN APPRAISAL ASSOCIATES, LLC

Form 5500 Filing Information

Submission information for form 5500 for 401k plan AMERICAN APPRAISAL ASSOC. RETIREMENT INV. PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
009 2016-01-01 KIMBERLY RUSSO
009 2015-01-01 KIMBERLY RUSSO
009 2014-01-01 KIMBERLY RUSSO
009 2013-01-01 KIMBERLY RUSSO
009 2012-01-01 KIMBERLY RUSSO
009 2011-01-01 KIMBERLY RUSSO
009 2009-01-01 KIMBERLY RUSSO

Plan id#	Filing Submission Date	Name of Administrator
009	2016-01-01	KIMBERLY RUSSO
009	2015-01-01	KIMBERLY RUSSO
009	2014-01-01	KIMBERLY RUSSO
009	2013-01-01	KIMBERLY RUSSO
009	2012-01-01	KIMBERLY RUSSO
009	2011-01-01	KIMBERLY RUSSO
009	2009-01-01	KIMBERLY RUSSO

Plan Statistics for AMERICAN APPRAISAL ASSOC. RETIREMENT INV. PLAN

401k plan membership statisitcs for AMERICAN APPRAISAL ASSOC. RETIREMENT INV. PLAN

Measure Date Value
2016: AMERICAN APPRAISAL ASSOC. RETIREMENT INV. PLAN 2016 401k membership
Total participants, beginning-of-year 2016-01-01 16
Total number of active participants reported on line 7a of the Form 5500 2016-01-01 0
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 0
Total of all active and inactive participants 2016-01-01 0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2016-01-01 0
Total participants 2016-01-01 0
Number of participants with account balances 2016-01-01 0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2016-01-01 0
2015: AMERICAN APPRAISAL ASSOC. RETIREMENT INV. PLAN 2015 401k membership
Total participants, beginning-of-year 2015-01-01 399
Total number of active participants reported on line 7a of the Form 5500 2015-01-01 0
Number of retired or separated participants receiving benefits 2015-01-01 0
Number of other retired or separated participants entitled to future benefits 2015-01-01 16
Total of all active and inactive participants 2015-01-01 16
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2015-01-01 1
Total participants 2015-01-01 17
Number of participants with account balances 2015-01-01 16
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2015-01-01 0
2014: AMERICAN APPRAISAL ASSOC. RETIREMENT INV. PLAN 2014 401k membership
Total participants, beginning-of-year 2014-01-01 414
Total number of active participants reported on line 7a of the Form 5500 2014-01-01 241
Number of retired or separated participants receiving benefits 2014-01-01 0
Number of other retired or separated participants entitled to future benefits 2014-01-01 157
Total of all active and inactive participants 2014-01-01 398
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2014-01-01 1
Total participants 2014-01-01 399
Number of participants with account balances 2014-01-01 389
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2014-01-01 0
2013: AMERICAN APPRAISAL ASSOC. RETIREMENT INV. PLAN 2013 401k membership
Total participants, beginning-of-year 2013-01-01 413
Total number of active participants reported on line 7a of the Form 5500 2013-01-01 266
Number of retired or separated participants receiving benefits 2013-01-01 0
Number of other retired or separated participants entitled to future benefits 2013-01-01 147
Total of all active and inactive participants 2013-01-01 413
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2013-01-01 1
Total participants 2013-01-01 414
Number of participants with account balances 2013-01-01 400
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2013-01-01 0
2012: AMERICAN APPRAISAL ASSOC. RETIREMENT INV. PLAN 2012 401k membership
Total participants, beginning-of-year 2012-01-01 383
Total number of active participants reported on line 7a of the Form 5500 2012-01-01 280
Number of retired or separated participants receiving benefits 2012-01-01 0
Number of other retired or separated participants entitled to future benefits 2012-01-01 132
Total of all active and inactive participants 2012-01-01 412
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2012-01-01 1
Total participants 2012-01-01 413
Number of participants with account balances 2012-01-01 399
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2012-01-01 0
2011: AMERICAN APPRAISAL ASSOC. RETIREMENT INV. PLAN 2011 401k membership
Total participants, beginning-of-year 2011-01-01 412
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 239
Number of retired or separated participants receiving benefits 2011-01-01 0
Number of other retired or separated participants entitled to future benefits 2011-01-01 151
Total of all active and inactive participants 2011-01-01 390
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-01-01 2
Total participants 2011-01-01 392
Number of participants with account balances 2011-01-01 383
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-01-01 0
2009: AMERICAN APPRAISAL ASSOC. RETIREMENT INV. PLAN 2009 401k membership
Total participants, beginning-of-year 2009-01-01 486
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 242
Number of retired or separated participants receiving benefits 2009-01-01 0
Number of other retired or separated participants entitled to future benefits 2009-01-01 175
Total of all active and inactive participants 2009-01-01 417
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-01-01 0
Total participants 2009-01-01 417
Number of participants with account balances 2009-01-01 407
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-01-01 0

Measure	Date	Value
2016: AMERICAN APPRAISAL ASSOC. RETIREMENT INV. PLAN 2016 401k membership
Total participants, beginning-of-year	2016-01-01	16
Total number of active participants reported on line 7a of the Form 5500	2016-01-01	0
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	0
Total of all active and inactive participants	2016-01-01	0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2016-01-01	0
Total participants	2016-01-01	0
Number of participants with account balances	2016-01-01	0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2016-01-01	0
2015: AMERICAN APPRAISAL ASSOC. RETIREMENT INV. PLAN 2015 401k membership
Total participants, beginning-of-year	2015-01-01	399
Total number of active participants reported on line 7a of the Form 5500	2015-01-01	0
Number of retired or separated participants receiving benefits	2015-01-01	0
Number of other retired or separated participants entitled to future benefits	2015-01-01	16
Total of all active and inactive participants	2015-01-01	16
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2015-01-01	1
Total participants	2015-01-01	17
Number of participants with account balances	2015-01-01	16
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2015-01-01	0
2014: AMERICAN APPRAISAL ASSOC. RETIREMENT INV. PLAN 2014 401k membership
Total participants, beginning-of-year	2014-01-01	414
Total number of active participants reported on line 7a of the Form 5500	2014-01-01	241
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	157
Total of all active and inactive participants	2014-01-01	398
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2014-01-01	1
Total participants	2014-01-01	399
Number of participants with account balances	2014-01-01	389
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2014-01-01	0
2013: AMERICAN APPRAISAL ASSOC. RETIREMENT INV. PLAN 2013 401k membership
Total participants, beginning-of-year	2013-01-01	413
Total number of active participants reported on line 7a of the Form 5500	2013-01-01	266
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	147
Total of all active and inactive participants	2013-01-01	413
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2013-01-01	1
Total participants	2013-01-01	414
Number of participants with account balances	2013-01-01	400
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2013-01-01	0
2012: AMERICAN APPRAISAL ASSOC. RETIREMENT INV. PLAN 2012 401k membership
Total participants, beginning-of-year	2012-01-01	383
Total number of active participants reported on line 7a of the Form 5500	2012-01-01	280
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	132
Total of all active and inactive participants	2012-01-01	412
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2012-01-01	1
Total participants	2012-01-01	413
Number of participants with account balances	2012-01-01	399
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2012-01-01	0
2011: AMERICAN APPRAISAL ASSOC. RETIREMENT INV. PLAN 2011 401k membership
Total participants, beginning-of-year	2011-01-01	412
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	239
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	151
Total of all active and inactive participants	2011-01-01	390
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-01-01	2
Total participants	2011-01-01	392
Number of participants with account balances	2011-01-01	383
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-01-01	0
2009: AMERICAN APPRAISAL ASSOC. RETIREMENT INV. PLAN 2009 401k membership
Total participants, beginning-of-year	2009-01-01	486
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	242
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	175
Total of all active and inactive participants	2009-01-01	417
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-01-01	0
Total participants	2009-01-01	417
Number of participants with account balances	2009-01-01	407
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-01-01	0

Financial Data on AMERICAN APPRAISAL ASSOC. RETIREMENT INV. PLAN

Measure	Date	Value
2016 : AMERICAN APPRAISAL ASSOC. RETIREMENT INV. PLAN 2016 401k financial data
Total income from all sources	2016-05-31	$-7,391
Expenses. Total of all expenses incurred	2016-05-31	$192,914
Benefits paid (including direct rollovers)	2016-05-31	$183,258
Total plan assets at end of year	2016-05-31	$0
Total plan assets at beginning of year	2016-05-31	$200,305
Other income received	2016-05-31	$-7,391
Net income (gross income less expenses)	2016-05-31	$-200,305
Net plan assets at end of year (total assets less liabilities)	2016-05-31	$0
Net plan assets at beginning of year (total assets less liabilities)	2016-05-31	$200,305
Expenses. Administrative service providers (salaries,fees and commissions)	2016-05-31	$9,656
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2016-05-31	$0
2015 : AMERICAN APPRAISAL ASSOC. RETIREMENT INV. PLAN 2015 401k financial data
Total unrealized appreciation/depreciation of assets	2015-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2015-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2015-12-31	$0
Total income from all sources (including contributions)	2015-12-31	$1,293,528
Total loss/gain on sale of assets	2015-12-31	$0
Total of all expenses incurred	2015-12-31	$41,674,664
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2015-12-31	$41,615,999
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2015-12-31	$304,063
Value of total assets at end of year	2015-12-31	$200,305
Value of total assets at beginning of year	2015-12-31	$40,581,441
Total of administrative expenses incurred including professional, contract, advisory and management fees	2015-12-31	$58,665
Total interest from all sources	2015-12-31	$8,530
Total dividends received (eg from common stock, registered investment company shares)	2015-12-31	$136,136
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2015-12-31	Yes
Value of any plan assets that reverted to the employer resulting from resoluton to terminate the plan	2015-12-31	$0
Total dividends received from registered investment company shares (eg mutual funds)	2015-12-31	$136,136
Administrative expenses professional fees incurred	2015-12-31	$37,415
Was this plan covered by a fidelity bond	2015-12-31	No
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	$304,063
Participant contributions at beginning of year	2015-12-31	$688,334
Total non interest bearing cash at end of year	2015-12-31	$9,758
Total non interest bearing cash at beginning of year	2015-12-31	$3,495
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	$-40,381,136
Value of net assets at end of year (total assets less liabilities)	2015-12-31	$200,305
Value of net assets at beginning of year (total assets less liabilities)	2015-12-31	$40,581,441
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
Investment advisory and management fees	2015-12-31	$21,250
Value of interest in registered invesment companies (eg mutual funds) at end of year	2015-12-31	$105,042
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2015-12-31	$32,771,886
Interest on participant loans	2015-12-31	$8,530
Value of interest in common/collective trusts at end of year	2015-12-31	$85,505
Value of interest in common/collective trusts at beginning of year	2015-12-31	$6,856,960
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2015-12-31	$844,799
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
Employer contributions (assets) at beginning of year	2015-12-31	$260,766
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2015-12-31	$41,615,999
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	BAKER TILLY VIRCHOW KRAUSE, LLP
Accountancy firm EIN	2015-12-31	390859910
2014 : AMERICAN APPRAISAL ASSOC. RETIREMENT INV. PLAN 2014 401k financial data
Total unrealized appreciation/depreciation of assets	2014-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2014-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2014-12-31	$0
Total income from all sources (including contributions)	2014-12-31	$3,303,104
Total loss/gain on sale of assets	2014-12-31	$0
Total of all expenses incurred	2014-12-31	$4,314,961
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2014-12-31	$4,158,847
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2014-12-31	$1,954,011
Value of total assets at end of year	2014-12-31	$40,581,441
Value of total assets at beginning of year	2014-12-31	$41,593,298
Total of administrative expenses incurred including professional, contract, advisory and management fees	2014-12-31	$156,114
Total interest from all sources	2014-12-31	$38,240
Total dividends received (eg from common stock, registered investment company shares)	2014-12-31	$1,879,287
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2014-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2014-12-31	$1,879,287
Administrative expenses professional fees incurred	2014-12-31	$71,114
Was this plan covered by a fidelity bond	2014-12-31	Yes
Value of fidelity bond cover	2014-12-31	$5,000,000
If this is an individual account plan, was there a blackout period	2014-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2014-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2014-12-31	No
Contributions received from participants	2014-12-31	$1,631,328
Participant contributions at end of year	2014-12-31	$688,334
Participant contributions at beginning of year	2014-12-31	$674,621
Income. Received or receivable in cash from other sources (including rollovers)	2014-12-31	$61,917
Total non interest bearing cash at end of year	2014-12-31	$3,495
Total non interest bearing cash at beginning of year	2014-12-31	$3,507
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2014-12-31	No
Value of net income/loss	2014-12-31	$-1,011,857
Value of net assets at end of year (total assets less liabilities)	2014-12-31	$40,581,441
Value of net assets at beginning of year (total assets less liabilities)	2014-12-31	$41,593,298
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2014-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2014-12-31	No
Were any leases to which the plan was party in default or uncollectible	2014-12-31	No
Investment advisory and management fees	2014-12-31	$85,000
Value of interest in registered invesment companies (eg mutual funds) at end of year	2014-12-31	$32,771,886
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2014-12-31	$33,974,705
Interest on participant loans	2014-12-31	$38,240
Value of interest in common/collective trusts at end of year	2014-12-31	$6,856,960
Value of interest in common/collective trusts at beginning of year	2014-12-31	$6,673,412
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2014-12-31	$-662,183
Net investment gain or loss from common/collective trusts	2014-12-31	$93,749
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2014-12-31	No
Was there a failure to transmit to the plan any participant contributions	2014-12-31	No
Has the plan failed to provide any benefit when due under the plan	2014-12-31	No
Contributions received in cash from employer	2014-12-31	$260,766
Employer contributions (assets) at end of year	2014-12-31	$260,766
Employer contributions (assets) at beginning of year	2014-12-31	$267,053
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2014-12-31	$4,158,847
Did the plan have assets held for investment	2014-12-31	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	2014-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2014-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2014-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2014-12-31	Disclaimer
Accountancy firm name	2014-12-31	BAKER TILLY VIRCHOW KRAUSE, LLP
Accountancy firm EIN	2014-12-31	390859910
2013 : AMERICAN APPRAISAL ASSOC. RETIREMENT INV. PLAN 2013 401k financial data
Total unrealized appreciation/depreciation of assets	2013-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2013-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2013-12-31	$0
Total income from all sources (including contributions)	2013-12-31	$8,514,040
Total loss/gain on sale of assets	2013-12-31	$0
Total of all expenses incurred	2013-12-31	$4,063,919
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2013-12-31	$3,914,142
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2013-12-31	$2,113,480
Value of total assets at end of year	2013-12-31	$41,593,298
Value of total assets at beginning of year	2013-12-31	$37,143,177
Total of administrative expenses incurred including professional, contract, advisory and management fees	2013-12-31	$149,777
Total interest from all sources	2013-12-31	$35,023
Total dividends received (eg from common stock, registered investment company shares)	2013-12-31	$1,214,768
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2013-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2013-12-31	$1,214,768
Administrative expenses professional fees incurred	2013-12-31	$149,777
Was this plan covered by a fidelity bond	2013-12-31	Yes
Value of fidelity bond cover	2013-12-31	$5,000,000
If this is an individual account plan, was there a blackout period	2013-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2013-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2013-12-31	No
Contributions received from participants	2013-12-31	$1,773,384
Participant contributions at end of year	2013-12-31	$674,621
Participant contributions at beginning of year	2013-12-31	$644,419
Income. Received or receivable in cash from other sources (including rollovers)	2013-12-31	$73,043
Total non interest bearing cash at end of year	2013-12-31	$3,507
Total non interest bearing cash at beginning of year	2013-12-31	$3,200
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2013-12-31	No
Value of net income/loss	2013-12-31	$4,450,121
Value of net assets at end of year (total assets less liabilities)	2013-12-31	$41,593,298
Value of net assets at beginning of year (total assets less liabilities)	2013-12-31	$37,143,177
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2013-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2013-12-31	No
Were any leases to which the plan was party in default or uncollectible	2013-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2013-12-31	$33,974,705
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2013-12-31	$28,277,842
Interest on participant loans	2013-12-31	$35,023
Value of interest in common/collective trusts at end of year	2013-12-31	$6,673,412
Value of interest in common/collective trusts at beginning of year	2013-12-31	$7,978,544
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2013-12-31	$5,193,204
Net investment gain or loss from common/collective trusts	2013-12-31	$-42,435
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2013-12-31	No
Was there a failure to transmit to the plan any participant contributions	2013-12-31	No
Has the plan failed to provide any benefit when due under the plan	2013-12-31	No
Contributions received in cash from employer	2013-12-31	$267,053
Employer contributions (assets) at end of year	2013-12-31	$267,053
Employer contributions (assets) at beginning of year	2013-12-31	$239,172
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2013-12-31	$3,914,142
Did the plan have assets held for investment	2013-12-31	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	2013-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2013-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2013-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2013-12-31	Disclaimer
Accountancy firm name	2013-12-31	BAKER TILLY VIRCHOW KRAUSE, LLP
Accountancy firm EIN	2013-12-31	390859910
2012 : AMERICAN APPRAISAL ASSOC. RETIREMENT INV. PLAN 2012 401k financial data
Total unrealized appreciation/depreciation of assets	2012-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2012-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2012-12-31	$0
Total income from all sources (including contributions)	2012-12-31	$6,387,941
Total loss/gain on sale of assets	2012-12-31	$0
Total of all expenses incurred	2012-12-31	$3,692,564
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2012-12-31	$3,550,599
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2012-12-31	$2,404,011
Value of total assets at end of year	2012-12-31	$37,143,177
Value of total assets at beginning of year	2012-12-31	$34,447,800
Total of administrative expenses incurred including professional, contract, advisory and management fees	2012-12-31	$141,965
Total interest from all sources	2012-12-31	$35,979
Total dividends received (eg from common stock, registered investment company shares)	2012-12-31	$561,160
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2012-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2012-12-31	$561,160
Administrative expenses professional fees incurred	2012-12-31	$141,965
Was this plan covered by a fidelity bond	2012-12-31	Yes
Value of fidelity bond cover	2012-12-31	$5,000,000
If this is an individual account plan, was there a blackout period	2012-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2012-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2012-12-31	No
Contributions received from participants	2012-12-31	$1,733,241
Participant contributions at end of year	2012-12-31	$644,419
Participant contributions at beginning of year	2012-12-31	$732,940
Income. Received or receivable in cash from other sources (including rollovers)	2012-12-31	$431,598
Total non interest bearing cash at end of year	2012-12-31	$3,200
Total non interest bearing cash at beginning of year	2012-12-31	$2,837
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2012-12-31	No
Value of net income/loss	2012-12-31	$2,695,377
Value of net assets at end of year (total assets less liabilities)	2012-12-31	$37,143,177
Value of net assets at beginning of year (total assets less liabilities)	2012-12-31	$34,447,800
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2012-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2012-12-31	No
Were any leases to which the plan was party in default or uncollectible	2012-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2012-12-31	$28,277,842
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2012-12-31	$25,005,238
Interest on participant loans	2012-12-31	$35,979
Value of interest in common/collective trusts at end of year	2012-12-31	$7,978,544
Value of interest in common/collective trusts at beginning of year	2012-12-31	$8,706,785
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2012-12-31	$3,347,718
Net investment gain or loss from common/collective trusts	2012-12-31	$39,073
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2012-12-31	No
Was there a failure to transmit to the plan any participant contributions	2012-12-31	No
Has the plan failed to provide any benefit when due under the plan	2012-12-31	No
Contributions received in cash from employer	2012-12-31	$239,172
Employer contributions (assets) at end of year	2012-12-31	$239,172
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2012-12-31	$3,550,599
Did the plan have assets held for investment	2012-12-31	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	2012-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2012-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2012-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2012-12-31	Disclaimer
Accountancy firm name	2012-12-31	BAKER TILLY VIRCHOW KRAUSE, LLP
Accountancy firm EIN	2012-12-31	390859910
2011 : AMERICAN APPRAISAL ASSOC. RETIREMENT INV. PLAN 2011 401k financial data
Total unrealized appreciation/depreciation of assets	2011-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2011-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2011-12-31	$0
Total income from all sources (including contributions)	2011-12-31	$156,144
Total loss/gain on sale of assets	2011-12-31	$0
Total of all expenses incurred	2011-12-31	$2,884,045
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2011-12-31	$2,740,309
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2011-12-31	$1,709,939
Value of total assets at end of year	2011-12-31	$34,447,800
Value of total assets at beginning of year	2011-12-31	$37,175,701
Total of administrative expenses incurred including professional, contract, advisory and management fees	2011-12-31	$143,736
Total interest from all sources	2011-12-31	$38,362
Total dividends received (eg from common stock, registered investment company shares)	2011-12-31	$1,334,509
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2011-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2011-12-31	$1,334,509
Administrative expenses professional fees incurred	2011-12-31	$143,736
Was this plan covered by a fidelity bond	2011-12-31	Yes
Value of fidelity bond cover	2011-12-31	$5,000,000
If this is an individual account plan, was there a blackout period	2011-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2011-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2011-12-31	No
Contributions received from participants	2011-12-31	$1,612,286
Participant contributions at end of year	2011-12-31	$732,940
Participant contributions at beginning of year	2011-12-31	$496,367
Income. Received or receivable in cash from other sources (including rollovers)	2011-12-31	$97,653
Total non interest bearing cash at end of year	2011-12-31	$2,837
Total non interest bearing cash at beginning of year	2011-12-31	$8,231
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2011-12-31	No
Value of net income/loss	2011-12-31	$-2,727,901
Value of net assets at end of year (total assets less liabilities)	2011-12-31	$34,447,800
Value of net assets at beginning of year (total assets less liabilities)	2011-12-31	$37,175,701
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2011-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2011-12-31	No
Were any leases to which the plan was party in default or uncollectible	2011-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2011-12-31	$25,005,238
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2011-12-31	$27,872,060
Interest on participant loans	2011-12-31	$38,362
Value of interest in common/collective trusts at end of year	2011-12-31	$8,706,785
Value of interest in common/collective trusts at beginning of year	2011-12-31	$8,799,043
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2011-12-31	$-3,160,055
Net investment gain or loss from common/collective trusts	2011-12-31	$233,389
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2011-12-31	No
Was there a failure to transmit to the plan any participant contributions	2011-12-31	No
Has the plan failed to provide any benefit when due under the plan	2011-12-31	No
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2011-12-31	$2,740,309
Did the plan have assets held for investment	2011-12-31	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	2011-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2011-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2011-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2011-12-31	Disclaimer
Accountancy firm name	2011-12-31	BAKER TILLY VIRCHOW KRAUSE, LLP
Accountancy firm EIN	2011-12-31	390859910
2010 : AMERICAN APPRAISAL ASSOC. RETIREMENT INV. PLAN 2010 401k financial data
Total unrealized appreciation/depreciation of assets	2010-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2010-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2010-12-31	$0
Total income from all sources (including contributions)	2010-12-31	$5,818,032
Total loss/gain on sale of assets	2010-12-31	$0
Total of all expenses incurred	2010-12-31	$2,745,556
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2010-12-31	$2,611,805
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2010-12-31	$1,725,820
Value of total assets at end of year	2010-12-31	$37,175,701
Value of total assets at beginning of year	2010-12-31	$34,103,225
Total of administrative expenses incurred including professional, contract, advisory and management fees	2010-12-31	$133,751
Total interest from all sources	2010-12-31	$28,291
Total dividends received (eg from common stock, registered investment company shares)	2010-12-31	$507,779
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2010-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2010-12-31	$507,779
Administrative expenses professional fees incurred	2010-12-31	$133,751
Was this plan covered by a fidelity bond	2010-12-31	Yes
Value of fidelity bond cover	2010-12-31	$5,000,000
If this is an individual account plan, was there a blackout period	2010-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2010-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2010-12-31	No
Contributions received from participants	2010-12-31	$1,666,253
Participant contributions at end of year	2010-12-31	$496,367
Participant contributions at beginning of year	2010-12-31	$435,087
Income. Received or receivable in cash from other sources (including rollovers)	2010-12-31	$59,567
Total non interest bearing cash at end of year	2010-12-31	$8,231
Total non interest bearing cash at beginning of year	2010-12-31	$55,433
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2010-12-31	No
Value of net income/loss	2010-12-31	$3,072,476
Value of net assets at end of year (total assets less liabilities)	2010-12-31	$37,175,701
Value of net assets at beginning of year (total assets less liabilities)	2010-12-31	$34,103,225
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2010-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2010-12-31	No
Were any leases to which the plan was party in default or uncollectible	2010-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2010-12-31	$27,872,060
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2010-12-31	$24,994,469
Interest on participant loans	2010-12-31	$28,291
Value of interest in common/collective trusts at end of year	2010-12-31	$8,799,043
Value of interest in common/collective trusts at beginning of year	2010-12-31	$8,618,236
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2010-12-31	$3,225,676
Net investment gain or loss from common/collective trusts	2010-12-31	$330,466
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2010-12-31	No
Was there a failure to transmit to the plan any participant contributions	2010-12-31	No
Has the plan failed to provide any benefit when due under the plan	2010-12-31	No
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2010-12-31	$2,611,805
Did the plan have assets held for investment	2010-12-31	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	2010-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2010-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2010-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2010-12-31	Disclaimer
Accountancy firm name	2010-12-31	BAKER TILLY VIRCHOW KRAUSE, LLP
Accountancy firm EIN	2010-12-31	390859910
2009 : AMERICAN APPRAISAL ASSOC. RETIREMENT INV. PLAN 2009 401k financial data
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2009-12-31	$0

Form 5500 Responses for AMERICAN APPRAISAL ASSOC. RETIREMENT INV. PLAN

2016: AMERICAN APPRAISAL ASSOC. RETIREMENT INV. PLAN 2016 form 5500 responses
2016-01-01	Type of plan entity	Single employer plan
2016-01-01	Submission has been amended	No
2016-01-01	This submission is the final filing	Yes
2016-01-01	This return/report is a short plan year return/report (less than 12 months)	Yes
2016-01-01	Plan is a collectively bargained plan	No
2016-01-01	Plan funding arrangement – Trust	Yes
2016-01-01	Plan benefit arrangement - Trust	Yes
2015: AMERICAN APPRAISAL ASSOC. RETIREMENT INV. PLAN 2015 form 5500 responses
2015-01-01	Type of plan entity	Single employer plan
2015-01-01	Submission has been amended	No
2015-01-01	This submission is the final filing	No
2015-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2015-01-01	Plan is a collectively bargained plan	No
2015-01-01	Plan funding arrangement – Trust	Yes
2015-01-01	Plan benefit arrangement - Trust	Yes
2014: AMERICAN APPRAISAL ASSOC. RETIREMENT INV. 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 – Trust	Yes
2014-01-01	Plan benefit arrangement - Trust	Yes
2013: AMERICAN APPRAISAL ASSOC. RETIREMENT INV. 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 – Trust	Yes
2013-01-01	Plan benefit arrangement - Trust	Yes
2012: AMERICAN APPRAISAL ASSOC. RETIREMENT INV. 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 – Trust	Yes
2012-01-01	Plan benefit arrangement - Trust	Yes
2011: AMERICAN APPRAISAL ASSOC. RETIREMENT INV. 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 – Trust	Yes
2011-01-01	Plan benefit arrangement - Trust	Yes
2009: AMERICAN APPRAISAL ASSOC. RETIREMENT INV. 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 – Trust	Yes
2009-01-01	Plan benefit arrangement - Trust	Yes

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Company Name:	AMERICAN APPRAISAL ASSOCIATES, LLC
Employer identification number (EIN):	391137784
NAIC Classification:	541990
NAIC Description:	All Other Professional, Scientific, and Technical Services

Jurisdiction of Incorporation:	Texas Secretary of State
Incorporation Date:	1976-03-18
Company Identification Number:	0003886706
Legal Registered Office Address:	300 HEADQUARTERS PLZ FL 12 MORRISTOWN United States of America (USA) 07960