401k Plan data: DOUGHERTY FINANCIAL GROUP LLC LONG TERM DISABILITY plan

DOUGHERTY FINANCIAL GROUP LLC LONG TERM DISABILITY 401k Plan overview

Plan Name	DOUGHERTY FINANCIAL GROUP LLC LONG TERM DISABILITY
Plan identification number	503

DOUGHERTY FINANCIAL GROUP LLC LONG TERM DISABILITY Benefits

401k Plan Type	Welfare Benefit
Plan Features/Benefits	Long-term disability cover

401k Sponsoring company profile

DOUGHERTY FINANCIAL GROUP LLC has sponsored the creation of one or more 401k plans.

Company Name: DOUGHERTY FINANCIAL GROUP LLC

Employer identification number (EIN): 411866893

NAIC Classification: 523900

Additional information about DOUGHERTY FINANCIAL GROUP LLC

Jurisdiction of Incorporation: State of Delaware Division of Corporations

Incorporation Date:

Company Identification Number: 2719673

More information about DOUGHERTY FINANCIAL GROUP LLC

Form 5500 Filing Information

Submission information for form 5500 for 401k plan DOUGHERTY FINANCIAL GROUP LLC LONG TERM DISABILITY

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
503 2017-01-01 KRISTEN JOHNSON
503 2016-01-01 KRISTEN JOHNSON
503 2015-01-01 KRISTEN JOHNSON
503 2014-01-01 KRISTEN JOHNSON
503 2013-01-01 KATHRYN BAUGHER
503 2012-01-01 KATHRYN A. BAUGHER
503 2011-01-01 KATHRYN BAUGHER MICHELLE SANDBERG 2012-07-24
503 2010-01-01 KATHRYN BAUGHER MICHELLE SANDBERG 2011-07-28
503 2009-01-01 PAMELA ZIERMANN MICHELLE SANDBERG 2010-07-29

Plan id#	Filing Submission Date	Name of Administrator	Name of Company Sponsor	Date Sponsor Signed
503	2017-01-01	KRISTEN JOHNSON
503	2016-01-01	KRISTEN JOHNSON
503	2015-01-01	KRISTEN JOHNSON
503	2014-01-01	KRISTEN JOHNSON
503	2013-01-01	KATHRYN BAUGHER
503	2012-01-01	KATHRYN A. BAUGHER
503	2011-01-01	KATHRYN BAUGHER	MICHELLE SANDBERG	2012-07-24
503	2010-01-01	KATHRYN BAUGHER	MICHELLE SANDBERG	2011-07-28
503	2009-01-01	PAMELA ZIERMANN	MICHELLE SANDBERG	2010-07-29

Plan Statistics for DOUGHERTY FINANCIAL GROUP LLC LONG TERM DISABILITY

401k plan membership statisitcs for DOUGHERTY FINANCIAL GROUP LLC LONG TERM DISABILITY

Measure Date Value
2017: DOUGHERTY FINANCIAL GROUP LLC LONG TERM DISABILITY 2017 401k membership
Total participants, beginning-of-year 2017-01-01 251
Total number of active participants reported on line 7a of the Form 5500 2017-01-01 0
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 0
Total of all active and inactive participants 2017-01-01 0
2016: DOUGHERTY FINANCIAL GROUP LLC LONG TERM DISABILITY 2016 401k membership
Total participants, beginning-of-year 2016-01-01 256
Total number of active participants reported on line 7a of the Form 5500 2016-01-01 251
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 2016-01-01 251
2015: DOUGHERTY FINANCIAL GROUP LLC LONG TERM DISABILITY 2015 401k membership
Total participants, beginning-of-year 2015-01-01 256
Total number of active participants reported on line 7a of the Form 5500 2015-01-01 256
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 0
Total of all active and inactive participants 2015-01-01 256
2014: DOUGHERTY FINANCIAL GROUP LLC LONG TERM DISABILITY 2014 401k membership
Total participants, beginning-of-year 2014-01-01 254
Total number of active participants reported on line 7a of the Form 5500 2014-01-01 256
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 0
Total of all active and inactive participants 2014-01-01 256
2013: DOUGHERTY FINANCIAL GROUP LLC LONG TERM DISABILITY 2013 401k membership
Total participants, beginning-of-year 2013-01-01 346
Total number of active participants reported on line 7a of the Form 5500 2013-01-01 254
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 0
Total of all active and inactive participants 2013-01-01 254
2012: DOUGHERTY FINANCIAL GROUP LLC LONG TERM DISABILITY 2012 401k membership
Total participants, beginning-of-year 2012-01-01 293
Total number of active participants reported on line 7a of the Form 5500 2012-01-01 346
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 0
Total of all active and inactive participants 2012-01-01 346
2011: DOUGHERTY FINANCIAL GROUP LLC LONG TERM DISABILITY 2011 401k membership
Total participants, beginning-of-year 2011-01-01 283
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 293
Total of all active and inactive participants 2011-01-01 293
Total participants 2011-01-01 293
2010: DOUGHERTY FINANCIAL GROUP LLC LONG TERM DISABILITY 2010 401k membership
Total participants, beginning-of-year 2010-01-01 269
Total number of active participants reported on line 7a of the Form 5500 2010-01-01 283
Total of all active and inactive participants 2010-01-01 283
Total participants 2010-01-01 283
2009: DOUGHERTY FINANCIAL GROUP LLC LONG TERM DISABILITY 2009 401k membership
Total participants, beginning-of-year 2009-01-01 265
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 269
Total of all active and inactive participants 2009-01-01 269
Total participants 2009-01-01 269

Measure	Date	Value
2017: DOUGHERTY FINANCIAL GROUP LLC LONG TERM DISABILITY 2017 401k membership
Total participants, beginning-of-year	2017-01-01	251
Total number of active participants reported on line 7a of the Form 5500	2017-01-01	0
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	0
Total of all active and inactive participants	2017-01-01	0
2016: DOUGHERTY FINANCIAL GROUP LLC LONG TERM DISABILITY 2016 401k membership
Total participants, beginning-of-year	2016-01-01	256
Total number of active participants reported on line 7a of the Form 5500	2016-01-01	251
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	251
2015: DOUGHERTY FINANCIAL GROUP LLC LONG TERM DISABILITY 2015 401k membership
Total participants, beginning-of-year	2015-01-01	256
Total number of active participants reported on line 7a of the Form 5500	2015-01-01	256
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	0
Total of all active and inactive participants	2015-01-01	256
2014: DOUGHERTY FINANCIAL GROUP LLC LONG TERM DISABILITY 2014 401k membership
Total participants, beginning-of-year	2014-01-01	254
Total number of active participants reported on line 7a of the Form 5500	2014-01-01	256
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	0
Total of all active and inactive participants	2014-01-01	256
2013: DOUGHERTY FINANCIAL GROUP LLC LONG TERM DISABILITY 2013 401k membership
Total participants, beginning-of-year	2013-01-01	346
Total number of active participants reported on line 7a of the Form 5500	2013-01-01	254
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	0
Total of all active and inactive participants	2013-01-01	254
2012: DOUGHERTY FINANCIAL GROUP LLC LONG TERM DISABILITY 2012 401k membership
Total participants, beginning-of-year	2012-01-01	293
Total number of active participants reported on line 7a of the Form 5500	2012-01-01	346
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	0
Total of all active and inactive participants	2012-01-01	346
2011: DOUGHERTY FINANCIAL GROUP LLC LONG TERM DISABILITY 2011 401k membership
Total participants, beginning-of-year	2011-01-01	283
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	293
Total of all active and inactive participants	2011-01-01	293
Total participants	2011-01-01	293
2010: DOUGHERTY FINANCIAL GROUP LLC LONG TERM DISABILITY 2010 401k membership
Total participants, beginning-of-year	2010-01-01	269
Total number of active participants reported on line 7a of the Form 5500	2010-01-01	283
Total of all active and inactive participants	2010-01-01	283
Total participants	2010-01-01	283
2009: DOUGHERTY FINANCIAL GROUP LLC LONG TERM DISABILITY 2009 401k membership
Total participants, beginning-of-year	2009-01-01	265
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	269
Total of all active and inactive participants	2009-01-01	269
Total participants	2009-01-01	269

Form 5500 Responses for DOUGHERTY FINANCIAL GROUP LLC LONG TERM DISABILITY

2017: DOUGHERTY FINANCIAL GROUP LLC LONG TERM DISABILITY 2017 form 5500 responses
2017-01-01	Type of plan entity	Single employer plan
2017-01-01	Submission has been amended	No
2017-01-01	This submission is the final filing	Yes
2017-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2017-01-01	Plan is a collectively bargained plan	No
2017-01-01	Plan funding arrangement – Insurance	Yes
2017-01-01	Plan benefit arrangement – Insurance	Yes
2016: DOUGHERTY FINANCIAL GROUP LLC LONG TERM DISABILITY 2016 form 5500 responses
2016-01-01	Type of plan entity	Single employer plan
2016-01-01	Submission has been amended	No
2016-01-01	This submission is the final filing	No
2016-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2016-01-01	Plan is a collectively bargained plan	No
2016-01-01	Plan funding arrangement – Insurance	Yes
2016-01-01	Plan benefit arrangement – Insurance	Yes
2015: DOUGHERTY FINANCIAL GROUP LLC LONG TERM DISABILITY 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 – Insurance	Yes
2015-01-01	Plan benefit arrangement – Insurance	Yes
2014: DOUGHERTY FINANCIAL GROUP LLC LONG TERM DISABILITY 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 benefit arrangement – Insurance	Yes
2013: DOUGHERTY FINANCIAL GROUP LLC LONG TERM DISABILITY 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 benefit arrangement – Insurance	Yes
2012: DOUGHERTY FINANCIAL GROUP LLC LONG TERM DISABILITY 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 benefit arrangement – Insurance	Yes
2011: DOUGHERTY FINANCIAL GROUP LLC LONG TERM DISABILITY 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 benefit arrangement – Insurance	Yes
2010: DOUGHERTY FINANCIAL GROUP LLC LONG TERM DISABILITY 2010 form 5500 responses
2010-01-01	Type of plan entity	Single employer plan
2010-01-01	Submission has been amended	No
2010-01-01	This submission is the final filing	No
2010-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2010-01-01	Plan is a collectively bargained plan	No
2010-01-01	Plan funding arrangement – Insurance	Yes
2010-01-01	Plan benefit arrangement – Insurance	Yes
2009: DOUGHERTY FINANCIAL GROUP LLC LONG TERM DISABILITY 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 benefit arrangement – Insurance	Yes

Insurance Providers Used on plan

UNUM LIFE INSURANCE COMPANY OF AMERICA (National Association of Insurance Commissioners NAIC id number: 62235 )

Policy contract number

901912

Policy instance

Insurance contract or identification number	901912
Number of Individuals Covered	258
Insurance policy start date	2017-01-01
Insurance policy end date	2017-12-31
Total amount of commissions paid to insurance broker	USD $5,313
Total amount of fees paid to insurance company	USD $2,407
Are there contracts with allocated funds for individual policies?	0
Are there contracts with allocated funds for group deferred annuity?	No
Are there contracts with allocated funds for types other than group deferred annuity or individual?	No
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Contracts With Unallocated Funds Deposit Administration	0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?	No
Are there contracts with unallocated funds for contracts of type guaranteed investment?	No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	No
Health Insurance Welfare Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	Yes
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
Other welfare benefits provided	ACCIDENTAL DEATH AND DISMEMBERMENT
Were dividends or retroactive rate refunds paid in cash?	No
Were dividends or retroactive rate refunds paid as a credit?	No
Welfare Benefit Premiums Paid to Carrier	USD $131,803
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No
Commission paid to Insurance Broker	USD $4,874
Insurance broker organization code?	3
Amount paid for insurance broker fees	1529
Additional information about fees paid to insurance broker	ADDITIONAL COMPENSATION
Insurance broker name	ASSOCIATED FINANCIAL GROUP LLC

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Company Name:	DOUGHERTY FINANCIAL GROUP LLC
Employer identification number (EIN):	411866893
NAIC Classification:	523900

Jurisdiction of Incorporation:	State of Delaware Division of Corporations
Incorporation Date:
Company Identification Number:	2719673