401k Plan data: NORTH RISK PARTNERS, LLC 401(K) PLAN plan

NORTH RISK PARTNERS, LLC 401(K) PLAN 401k Plan overview

Plan Name	NORTH RISK PARTNERS, LLC 401(K) PLAN
Plan identification number	002

NORTH RISK PARTNERS, LLC 401(K) PLAN Benefits

401k Plan Type

Defined Contribution Pension

Plan Features/Benefits

Age/Service Weighted or new comparability or similar plan - Age/Service Weighted Plan: Allocations are based on age, service, or age and service. New comparability or similar plan: Allocations are based on participant classifications and a classification(s) consists entirely or predominantly of highly compensated employees; or the plan provides an additional allocation rate on compensation above a specified threshold, and the theshold or additional rate exceeds the maximum threshold or rate allowed under the permitted disparity rules of section 401(l).
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

NORTH RISK PARTNERS, LLC has sponsored the creation of one or more 401k plans.

Company Name: NORTH RISK PARTNERS, LLC

Employer identification number (EIN): 461375576

NAIC Classification: 524210
NAIC Description: Insurance Agencies and Brokerages

Form 5500 Filing Information

Submission information for form 5500 for 401k plan NORTH RISK PARTNERS, LLC 401(K) PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
002 2016-01-01 GRETCHEN OBRIEN GRETCHEN OBRIEN 2016-10-20
002 2016-01-01 2016-10-12
002 2015-01-01 GRETCHEN OBRIEN GRETCHEN OBRIEN 2016-09-26
002 2014-01-01 GRETCHEN OBRIEN GRETCHEN OBRIEN 2015-10-12
002 2013-01-01 BETH MORRIS 2014-07-07

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed	Name of Company Sponsor	Date Sponsor Signed
002	2016-01-01	GRETCHEN OBRIEN		GRETCHEN OBRIEN	2016-10-20
002	2016-01-01		2016-10-12
002	2015-01-01	GRETCHEN OBRIEN		GRETCHEN OBRIEN	2016-09-26
002	2014-01-01	GRETCHEN OBRIEN		GRETCHEN OBRIEN	2015-10-12
002	2013-01-01	BETH MORRIS	2014-07-07

Financial Data on NORTH RISK PARTNERS, LLC 401(K) PLAN

Measure	Date	Value
2016 : NORTH RISK PARTNERS, LLC 401(K) PLAN 2016 401k financial data
Total unrealized appreciation/depreciation of assets	2016-01-21	$0
Total transfer of assets from this plan	2016-01-21	$17,874,481
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2016-01-21	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2016-01-21	$0
Total income from all sources (including contributions)	2016-01-21	$-1,370,797
Total loss/gain on sale of assets	2016-01-21	$0
Total of all expenses incurred	2016-01-21	$1,335
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2016-01-21	$500
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2016-01-21	$0
Value of total assets at end of year	2016-01-21	$0
Value of total assets at beginning of year	2016-01-21	$19,246,613
Total of administrative expenses incurred including professional, contract, advisory and management fees	2016-01-21	$835
Total interest from all sources	2016-01-21	$5,257
Total dividends received (eg from common stock, registered investment company shares)	2016-01-21	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2016-01-21	No
Was this plan covered by a fidelity bond	2016-01-21	Yes
Value of fidelity bond cover	2016-01-21	$500,000
If this is an individual account plan, was there a blackout period	2016-01-21	Yes
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2016-01-21	$0
Were there any nonexempt tranactions with any party-in-interest	2016-01-21	No
Participant contributions at end of year	2016-01-21	$0
Participant contributions at beginning of year	2016-01-21	$137,372
Other income not declared elsewhere	2016-01-21	$62
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2016-01-21	No
Value of net income/loss	2016-01-21	$-1,372,132
Value of net assets at end of year (total assets less liabilities)	2016-01-21	$0
Value of net assets at beginning of year (total assets less liabilities)	2016-01-21	$19,246,613
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2016-01-21	No
Were any loans by the plan or fixed income obligations due to the plan in default	2016-01-21	No
Were any leases to which the plan was party in default or uncollectible	2016-01-21	No
Value of interest in pooled separate accounts at end of year	2016-01-21	$0
Value of interest in pooled separate accounts at beginning of year	2016-01-21	$16,326,832
Interest on participant loans	2016-01-21	$37
Interest earned on other investments	2016-01-21	$5,220
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2016-01-21	$0
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2016-01-21	$2,782,409
Net investment gain/loss from pooled separate accounts	2016-01-21	$-1,376,116
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2016-01-21	No
Was there a failure to transmit to the plan any participant contributions	2016-01-21	No
Has the plan failed to provide any benefit when due under the plan	2016-01-21	No
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2016-01-21	$500
Contract administrator fees	2016-01-21	$835
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-3	2016-01-21	Yes
Did the plan have assets held for investment	2016-01-21	No
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2016-01-21	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2016-01-21	Yes
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2016-01-21	Yes
Opinion of an independent qualified public accountant for this plan	2016-01-21	Disclaimer
Accountancy firm name	2016-01-21	REDPATH AND COMPANY
Accountancy firm EIN	2016-01-21	410975573
2015 : NORTH RISK PARTNERS, LLC 401(K) 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	$1,183,878
Total loss/gain on sale of assets	2015-12-31	$0
Total of all expenses incurred	2015-12-31	$2,683,663
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2015-12-31	$2,673,891
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2015-12-31	$1,171,190
Value of total assets at end of year	2015-12-31	$19,246,613
Value of total assets at beginning of year	2015-12-31	$20,746,398
Total of administrative expenses incurred including professional, contract, advisory and management fees	2015-12-31	$9,772
Total interest from all sources	2015-12-31	$130,693
Total dividends received (eg from common stock, registered investment company shares)	2015-12-31	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2015-12-31	No
Was this plan covered by a fidelity bond	2015-12-31	Yes
Value of fidelity bond cover	2015-12-31	$500,000
If this is an individual account plan, was there a blackout period	2015-12-31	Yes
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	$821,174
Participant contributions at end of year	2015-12-31	$137,372
Participant contributions at beginning of year	2015-12-31	$123,846
Income. Received or receivable in cash from other sources (including rollovers)	2015-12-31	$5,704
Other income not declared elsewhere	2015-12-31	$6,864
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	$-1,499,785
Value of net assets at end of year (total assets less liabilities)	2015-12-31	$19,246,613
Value of net assets at beginning of year (total assets less liabilities)	2015-12-31	$20,746,398
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2015-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2015-12-31	No
Were any leases to which the plan was party in default or uncollectible	2015-12-31	No
Value of interest in pooled separate accounts at end of year	2015-12-31	$16,326,832
Value of interest in pooled separate accounts at beginning of year	2015-12-31	$17,640,819
Interest on participant loans	2015-12-31	$5,372
Interest earned on other investments	2015-12-31	$125,321
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2015-12-31	$2,782,409
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2015-12-31	$2,981,733
Net investment gain/loss from pooled separate accounts	2015-12-31	$-124,869
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	Yes
Has the plan failed to provide any benefit when due under the plan	2015-12-31	No
Contributions received in cash from employer	2015-12-31	$344,312
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2015-12-31	$2,673,891
Contract administrator fees	2015-12-31	$9,772
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-3	2015-12-31	Yes
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
2014 : NORTH RISK PARTNERS, LLC 401(K) PLAN 2014 401k financial data
Total unrealized appreciation/depreciation of assets	2014-12-31	$0
Total transfer of assets to this plan	2014-12-31	$10,378,513
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	$2,390,211
Total loss/gain on sale of assets	2014-12-31	$0
Total of all expenses incurred	2014-12-31	$1,827,872
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2014-12-31	$1,805,855
Expenses. Certain deemed distributions of participant loans	2014-12-31	$13,280
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2014-12-31	$1,078,432
Value of total assets at end of year	2014-12-31	$20,746,398
Value of total assets at beginning of year	2014-12-31	$9,805,546
Total of administrative expenses incurred including professional, contract, advisory and management fees	2014-12-31	$8,737
Total interest from all sources	2014-12-31	$113,994
Total dividends received (eg from common stock, registered investment company shares)	2014-12-31	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2014-12-31	No
Was this plan covered by a fidelity bond	2014-12-31	Yes
Value of fidelity bond cover	2014-12-31	$500,000
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	$768,007
Participant contributions at end of year	2014-12-31	$123,846
Participant contributions at beginning of year	2014-12-31	$86,447
Income. Received or receivable in cash from other sources (including rollovers)	2014-12-31	$929
Other income not declared elsewhere	2014-12-31	$6,600
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	$562,339
Value of net assets at end of year (total assets less liabilities)	2014-12-31	$20,746,398
Value of net assets at beginning of year (total assets less liabilities)	2014-12-31	$9,805,546
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
Value of interest in pooled separate accounts at end of year	2014-12-31	$17,640,819
Value of interest in pooled separate accounts at beginning of year	2014-12-31	$7,408,735
Interest on participant loans	2014-12-31	$6,174
Interest earned on other investments	2014-12-31	$107,820
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2014-12-31	$2,981,733
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2014-12-31	$2,310,364
Net investment gain/loss from pooled separate accounts	2014-12-31	$1,191,185
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	$309,496
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2014-12-31	$1,805,855
Contract administrator fees	2014-12-31	$8,737
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	REDPATH AND COMPANY
Accountancy firm EIN	2014-12-31	410975573

Form 5500 Responses for NORTH RISK PARTNERS, LLC 401(K) PLAN

2016: NORTH RISK PARTNERS, LLC 401(K) PLAN 2016 form 5500 responses
2016-01-01	Type of plan entity	Single employer plan
2016-01-01	Submission has been amended	Yes
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 – Insurance	Yes
2016-01-01	Plan funding arrangement – Trust	Yes
2016-01-01	Plan benefit arrangement – Insurance	Yes
2016-01-01	Plan benefit arrangement - Trust	Yes
2015: NORTH RISK PARTNERS, LLC 401(K) 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 – Insurance	Yes
2015-01-01	Plan funding arrangement – Trust	Yes
2015-01-01	Plan benefit arrangement – Insurance	Yes
2015-01-01	Plan benefit arrangement - Trust	Yes
2014: NORTH RISK PARTNERS, LLC 401(K) 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
2014-01-01	Plan benefit arrangement - Trust	Yes

Insurance Providers Used on plan

MINNESOTA LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 66168 )
Policy contract number	012242-100
Policy instance	1
MINNESOTA LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 66168 )
Policy contract number	012242-100
Policy instance	1
MINNESOTA LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 66168 )
Policy contract number	012242
Policy instance	1

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Company Name:	NORTH RISK PARTNERS, LLC
Employer identification number (EIN):	461375576
NAIC Classification:	524210
NAIC Description:	Insurance Agencies and Brokerages