401k Plan data: GABRIEL, ROEDER, SMITH & COMPANY HOLDINGS, INC. SAVINGS AND THRIFT PLAN plan

GABRIEL, ROEDER, SMITH & COMPANY HOLDINGS, INC. SAVINGS AND THRIFT PLAN 401k Plan overview

Plan Name	GABRIEL, ROEDER, SMITH & COMPANY HOLDINGS, INC. SAVINGS AND THRIFT PLAN
Plan identification number	003

GABRIEL, ROEDER, SMITH & COMPANY HOLDINGS, INC. SAVINGS AND THRIFT 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.
Participant-directed brokerage accounts provided as an investment option under the plan.
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.
Plan sponsor(s) is (are) a member(s) of a controlled group (Code sections 414(b), (c), or (m)).

401k Sponsoring company profile

GABRIEL, ROEDER, SMITH & COMPANY HOLDINGS, INC. has sponsored the creation of one or more 401k plans.

Company Name: GABRIEL, ROEDER, SMITH & COMPANY HOLDINGS, INC.

Employer identification number (EIN): 475435846

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

Form 5500 Filing Information

Submission information for form 5500 for 401k plan GABRIEL, ROEDER, SMITH & COMPANY HOLDINGS, INC. SAVINGS AND THRIFT PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
003 2022-01-01
003 2021-01-01
003 2020-01-01
003 2019-01-01
003 2018-01-01
003 2017-01-01 CHRISTINE L. SCHEER CHRISTINE L. SCHEER 2018-10-09
003 2016-01-01 CHRISTINE L. SCHEER

Plan Statistics for GABRIEL, ROEDER, SMITH & COMPANY HOLDINGS, INC. SAVINGS AND THRIFT PLAN

401k plan membership statisitcs for GABRIEL, ROEDER, SMITH & COMPANY HOLDINGS, INC. SAVINGS AND THRIFT PLAN

Measure Date Value
2022: GABRIEL, ROEDER, SMITH & COMPANY HOLDINGS, INC. SAVINGS AND THRIFT PLAN 2022 401k membership
Total participants, beginning-of-year 2022-01-01 171
Total number of active participants reported on line 7a of the Form 5500 2022-01-01 128
Number of retired or separated participants receiving benefits 2022-01-01 6
Number of other retired or separated participants entitled to future benefits 2022-01-01 34
Total of all active and inactive participants 2022-01-01 168
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2022-01-01 0
Total participants 2022-01-01 168
Number of participants with account balances 2022-01-01 168
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2022-01-01 1
2021: GABRIEL, ROEDER, SMITH & COMPANY HOLDINGS, INC. SAVINGS AND THRIFT PLAN 2021 401k membership
Total participants, beginning-of-year 2021-01-01 172
Total number of active participants reported on line 7a of the Form 5500 2021-01-01 133
Number of retired or separated participants receiving benefits 2021-01-01 7
Number of other retired or separated participants entitled to future benefits 2021-01-01 31
Total of all active and inactive participants 2021-01-01 171
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2021-01-01 0
Total participants 2021-01-01 171
Number of participants with account balances 2021-01-01 171
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2021-01-01 3
2020: GABRIEL, ROEDER, SMITH & COMPANY HOLDINGS, INC. SAVINGS AND THRIFT PLAN 2020 401k membership
Total participants, beginning-of-year 2020-01-01 174
Total number of active participants reported on line 7a of the Form 5500 2020-01-01 138
Number of retired or separated participants receiving benefits 2020-01-01 6
Number of other retired or separated participants entitled to future benefits 2020-01-01 28
Total of all active and inactive participants 2020-01-01 172
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2020-01-01 0
Total participants 2020-01-01 172
Number of participants with account balances 2020-01-01 171
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2020-01-01 2
2019: GABRIEL, ROEDER, SMITH & COMPANY HOLDINGS, INC. SAVINGS AND THRIFT PLAN 2019 401k membership
Total participants, beginning-of-year 2019-01-01 173
Total number of active participants reported on line 7a of the Form 5500 2019-01-01 138
Number of retired or separated participants receiving benefits 2019-01-01 7
Number of other retired or separated participants entitled to future benefits 2019-01-01 29
Total of all active and inactive participants 2019-01-01 174
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2019-01-01 0
Total participants 2019-01-01 174
Number of participants with account balances 2019-01-01 173
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2019-01-01 4
2018: GABRIEL, ROEDER, SMITH & COMPANY HOLDINGS, INC. SAVINGS AND THRIFT PLAN 2018 401k membership
Total participants, beginning-of-year 2018-01-01 171
Total number of active participants reported on line 7a of the Form 5500 2018-01-01 139
Number of retired or separated participants receiving benefits 2018-01-01 7
Number of other retired or separated participants entitled to future benefits 2018-01-01 27
Total of all active and inactive participants 2018-01-01 173
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2018-01-01 0
Total participants 2018-01-01 173
Number of participants with account balances 2018-01-01 170
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2018-01-01 2
2017: GABRIEL, ROEDER, SMITH & COMPANY HOLDINGS, INC. SAVINGS AND THRIFT PLAN 2017 401k membership
Total participants, beginning-of-year 2017-01-01 173
Total number of active participants reported on line 7a of the Form 5500 2017-01-01 136
Number of retired or separated participants receiving benefits 2017-01-01 7
Number of other retired or separated participants entitled to future benefits 2017-01-01 28
Total of all active and inactive participants 2017-01-01 171
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2017-01-01 0
Total participants 2017-01-01 171
Number of participants with account balances 2017-01-01 171
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2017-01-01 4
2016: GABRIEL, ROEDER, SMITH & COMPANY HOLDINGS, INC. SAVINGS AND THRIFT PLAN 2016 401k membership
Total participants, beginning-of-year 2016-01-01 172
Total number of active participants reported on line 7a of the Form 5500 2016-01-01 134
Number of retired or separated participants receiving benefits 2016-01-01 8
Number of other retired or separated participants entitled to future benefits 2016-01-01 31
Total of all active and inactive participants 2016-01-01 173
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2016-01-01 0
Total participants 2016-01-01 173
Number of participants with account balances 2016-01-01 173
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2016-01-01 3

Measure	Date	Value
2022: GABRIEL, ROEDER, SMITH & COMPANY HOLDINGS, INC. SAVINGS AND THRIFT PLAN 2022 401k membership
Total participants, beginning-of-year	2022-01-01	171
Total number of active participants reported on line 7a of the Form 5500	2022-01-01	128
Number of retired or separated participants receiving benefits	2022-01-01	6
Number of other retired or separated participants entitled to future benefits	2022-01-01	34
Total of all active and inactive participants	2022-01-01	168
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2022-01-01	0
Total participants	2022-01-01	168
Number of participants with account balances	2022-01-01	168
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2022-01-01	1
2021: GABRIEL, ROEDER, SMITH & COMPANY HOLDINGS, INC. SAVINGS AND THRIFT PLAN 2021 401k membership
Total participants, beginning-of-year	2021-01-01	172
Total number of active participants reported on line 7a of the Form 5500	2021-01-01	133
Number of retired or separated participants receiving benefits	2021-01-01	7
Number of other retired or separated participants entitled to future benefits	2021-01-01	31
Total of all active and inactive participants	2021-01-01	171
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2021-01-01	0
Total participants	2021-01-01	171
Number of participants with account balances	2021-01-01	171
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2021-01-01	3
2020: GABRIEL, ROEDER, SMITH & COMPANY HOLDINGS, INC. SAVINGS AND THRIFT PLAN 2020 401k membership
Total participants, beginning-of-year	2020-01-01	174
Total number of active participants reported on line 7a of the Form 5500	2020-01-01	138
Number of retired or separated participants receiving benefits	2020-01-01	6
Number of other retired or separated participants entitled to future benefits	2020-01-01	28
Total of all active and inactive participants	2020-01-01	172
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2020-01-01	0
Total participants	2020-01-01	172
Number of participants with account balances	2020-01-01	171
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2020-01-01	2
2019: GABRIEL, ROEDER, SMITH & COMPANY HOLDINGS, INC. SAVINGS AND THRIFT PLAN 2019 401k membership
Total participants, beginning-of-year	2019-01-01	173
Total number of active participants reported on line 7a of the Form 5500	2019-01-01	138
Number of retired or separated participants receiving benefits	2019-01-01	7
Number of other retired or separated participants entitled to future benefits	2019-01-01	29
Total of all active and inactive participants	2019-01-01	174
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2019-01-01	0
Total participants	2019-01-01	174
Number of participants with account balances	2019-01-01	173
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2019-01-01	4
2018: GABRIEL, ROEDER, SMITH & COMPANY HOLDINGS, INC. SAVINGS AND THRIFT PLAN 2018 401k membership
Total participants, beginning-of-year	2018-01-01	171
Total number of active participants reported on line 7a of the Form 5500	2018-01-01	139
Number of retired or separated participants receiving benefits	2018-01-01	7
Number of other retired or separated participants entitled to future benefits	2018-01-01	27
Total of all active and inactive participants	2018-01-01	173
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2018-01-01	0
Total participants	2018-01-01	173
Number of participants with account balances	2018-01-01	170
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2018-01-01	2
2017: GABRIEL, ROEDER, SMITH & COMPANY HOLDINGS, INC. SAVINGS AND THRIFT PLAN 2017 401k membership
Total participants, beginning-of-year	2017-01-01	173
Total number of active participants reported on line 7a of the Form 5500	2017-01-01	136
Number of retired or separated participants receiving benefits	2017-01-01	7
Number of other retired or separated participants entitled to future benefits	2017-01-01	28
Total of all active and inactive participants	2017-01-01	171
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2017-01-01	0
Total participants	2017-01-01	171
Number of participants with account balances	2017-01-01	171
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2017-01-01	4
2016: GABRIEL, ROEDER, SMITH & COMPANY HOLDINGS, INC. SAVINGS AND THRIFT PLAN 2016 401k membership
Total participants, beginning-of-year	2016-01-01	172
Total number of active participants reported on line 7a of the Form 5500	2016-01-01	134
Number of retired or separated participants receiving benefits	2016-01-01	8
Number of other retired or separated participants entitled to future benefits	2016-01-01	31
Total of all active and inactive participants	2016-01-01	173
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2016-01-01	0
Total participants	2016-01-01	173
Number of participants with account balances	2016-01-01	173
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2016-01-01	3

Financial Data on GABRIEL, ROEDER, SMITH & COMPANY HOLDINGS, INC. SAVINGS AND THRIFT PLAN

Measure	Date	Value
2022 : GABRIEL, ROEDER, SMITH & COMPANY HOLDINGS, INC. SAVINGS AND THRIFT PLAN 2022 401k financial data
Total unrealized appreciation/depreciation of assets	2022-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2022-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2022-12-31	$0
Total income from all sources (including contributions)	2022-12-31	$-11,199,296
Total loss/gain on sale of assets	2022-12-31	$0
Total of all expenses incurred	2022-12-31	$2,206,788
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2022-12-31	$2,162,130
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2022-12-31	$2,993,682
Value of total assets at end of year	2022-12-31	$60,436,588
Value of total assets at beginning of year	2022-12-31	$73,842,672
Total of administrative expenses incurred including professional, contract, advisory and management fees	2022-12-31	$44,658
Total interest from all sources	2022-12-31	$22,816
Total dividends received (eg from common stock, registered investment company shares)	2022-12-31	$1,841,215
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2022-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2022-12-31	$1,841,215
Was this plan covered by a fidelity bond	2022-12-31	Yes
Value of fidelity bond cover	2022-12-31	$1,000,000
If this is an individual account plan, was there a blackout period	2022-12-31	No
Were there any nonexempt tranactions with any party-in-interest	2022-12-31	No
Contributions received from participants	2022-12-31	$2,061,156
Participant contributions at end of year	2022-12-31	$451,946
Participant contributions at beginning of year	2022-12-31	$485,131
Assets. Other investments not covered elsewhere at end of year	2022-12-31	$284,609
Assets. Other investments not covered elsewhere at beginning of year	2022-12-31	$253,645
Income. Received or receivable in cash from other sources (including rollovers)	2022-12-31	$501,131
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)	2022-12-31	$110
Other income not declared elsewhere	2022-12-31	$-54,976
Administrative expenses (other) incurred	2022-12-31	$44,658
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2022-12-31	No
Value of net income/loss	2022-12-31	$-13,406,084
Value of net assets at end of year (total assets less liabilities)	2022-12-31	$60,436,588
Value of net assets at beginning of year (total assets less liabilities)	2022-12-31	$73,842,672
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2022-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2022-12-31	No
Were any leases to which the plan was party in default or uncollectible	2022-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2022-12-31	$59,700,033
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2022-12-31	$73,103,896
Interest on participant loans	2022-12-31	$22,816
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2022-12-31	$-16,002,033
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2022-12-31	No
Was there a failure to transmit to the plan any participant contributions	2022-12-31	No
Has the plan failed to provide any benefit when due under the plan	2022-12-31	No
Contributions received in cash from employer	2022-12-31	$431,395
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2022-12-31	$2,162,020
Did the plan have assets held for investment	2022-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2022-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2022-12-31	No
Opinion of an independent qualified public accountant for this plan	2022-12-31	Disclaimer
Accountancy firm name	2022-12-31	CORRELL ASSOCIATES PC
Accountancy firm EIN	2022-12-31	382746717
2021 : GABRIEL, ROEDER, SMITH & COMPANY HOLDINGS, INC. SAVINGS AND THRIFT PLAN 2021 401k financial data
Total unrealized appreciation/depreciation of assets	2021-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2021-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2021-12-31	$0
Total income from all sources (including contributions)	2021-12-31	$13,092,499
Total loss/gain on sale of assets	2021-12-31	$0
Total of all expenses incurred	2021-12-31	$809,070
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2021-12-31	$769,314
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2021-12-31	$2,744,291
Value of total assets at end of year	2021-12-31	$73,842,672
Value of total assets at beginning of year	2021-12-31	$61,559,243
Total of administrative expenses incurred including professional, contract, advisory and management fees	2021-12-31	$39,756
Total interest from all sources	2021-12-31	$20,750
Total dividends received (eg from common stock, registered investment company shares)	2021-12-31	$3,698,812
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2021-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2021-12-31	$3,698,812
Was this plan covered by a fidelity bond	2021-12-31	Yes
Value of fidelity bond cover	2021-12-31	$1,000,000
If this is an individual account plan, was there a blackout period	2021-12-31	No
Were there any nonexempt tranactions with any party-in-interest	2021-12-31	No
Contributions received from participants	2021-12-31	$2,043,970
Participant contributions at end of year	2021-12-31	$485,131
Participant contributions at beginning of year	2021-12-31	$360,237
Assets. Other investments not covered elsewhere at end of year	2021-12-31	$253,645
Assets. Other investments not covered elsewhere at beginning of year	2021-12-31	$247,794
Income. Received or receivable in cash from other sources (including rollovers)	2021-12-31	$263,191
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)	2021-12-31	$581
Other income not declared elsewhere	2021-12-31	$-5,992
Administrative expenses (other) incurred	2021-12-31	$39,756
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2021-12-31	No
Value of net income/loss	2021-12-31	$12,283,429
Value of net assets at end of year (total assets less liabilities)	2021-12-31	$73,842,672
Value of net assets at beginning of year (total assets less liabilities)	2021-12-31	$61,559,243
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2021-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2021-12-31	No
Were any leases to which the plan was party in default or uncollectible	2021-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2021-12-31	$73,103,896
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2021-12-31	$60,951,212
Interest on participant loans	2021-12-31	$20,750
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2021-12-31	$6,634,638
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2021-12-31	No
Was there a failure to transmit to the plan any participant contributions	2021-12-31	No
Has the plan failed to provide any benefit when due under the plan	2021-12-31	No
Contributions received in cash from employer	2021-12-31	$437,130
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2021-12-31	$768,733
Did the plan have assets held for investment	2021-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2021-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2021-12-31	No
Opinion of an independent qualified public accountant for this plan	2021-12-31	Disclaimer
Accountancy firm name	2021-12-31	CORRELL ASSOCIATES PC
Accountancy firm EIN	2021-12-31	382746717
2020 : GABRIEL, ROEDER, SMITH & COMPANY HOLDINGS, INC. SAVINGS AND THRIFT PLAN 2020 401k financial data
Total unrealized appreciation/depreciation of assets	2020-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2020-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2020-12-31	$0
Total income from all sources (including contributions)	2020-12-31	$12,474,117
Total loss/gain on sale of assets	2020-12-31	$0
Total of all expenses incurred	2020-12-31	$4,661,869
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2020-12-31	$4,623,385
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2020-12-31	$3,234,807
Value of total assets at end of year	2020-12-31	$61,559,243
Value of total assets at beginning of year	2020-12-31	$53,746,995
Total of administrative expenses incurred including professional, contract, advisory and management fees	2020-12-31	$38,484
Total interest from all sources	2020-12-31	$22,223
Total dividends received (eg from common stock, registered investment company shares)	2020-12-31	$1,596,369
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2020-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2020-12-31	$1,596,369
Was this plan covered by a fidelity bond	2020-12-31	Yes
Value of fidelity bond cover	2020-12-31	$1,000,000
If this is an individual account plan, was there a blackout period	2020-12-31	No
Were there any nonexempt tranactions with any party-in-interest	2020-12-31	No
Contributions received from participants	2020-12-31	$2,042,561
Participant contributions at end of year	2020-12-31	$360,237
Participant contributions at beginning of year	2020-12-31	$408,379
Assets. Other investments not covered elsewhere at end of year	2020-12-31	$247,794
Assets. Other investments not covered elsewhere at beginning of year	2020-12-31	$133,465
Income. Received or receivable in cash from other sources (including rollovers)	2020-12-31	$756,002
Other income not declared elsewhere	2020-12-31	$969
Administrative expenses (other) incurred	2020-12-31	$38,484
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2020-12-31	No
Value of net income/loss	2020-12-31	$7,812,248
Value of net assets at end of year (total assets less liabilities)	2020-12-31	$61,559,243
Value of net assets at beginning of year (total assets less liabilities)	2020-12-31	$53,746,995
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2020-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2020-12-31	No
Were any leases to which the plan was party in default or uncollectible	2020-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2020-12-31	$60,951,212
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2020-12-31	$53,205,151
Interest on participant loans	2020-12-31	$22,223
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2020-12-31	$7,619,749
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2020-12-31	No
Was there a failure to transmit to the plan any participant contributions	2020-12-31	No
Has the plan failed to provide any benefit when due under the plan	2020-12-31	No
Contributions received in cash from employer	2020-12-31	$436,244
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2020-12-31	$4,623,385
Did the plan have assets held for investment	2020-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2020-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2020-12-31	No
Opinion of an independent qualified public accountant for this plan	2020-12-31	Disclaimer
Accountancy firm name	2020-12-31	CORRELL ASSOCIATES PC
Accountancy firm EIN	2020-12-31	382746717
2019 : GABRIEL, ROEDER, SMITH & COMPANY HOLDINGS, INC. SAVINGS AND THRIFT PLAN 2019 401k financial data
Total unrealized appreciation/depreciation of assets	2019-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2019-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2019-12-31	$0
Total income from all sources (including contributions)	2019-12-31	$12,701,903
Total loss/gain on sale of assets	2019-12-31	$0
Total of all expenses incurred	2019-12-31	$1,916,422
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2019-12-31	$1,872,598
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2019-12-31	$2,505,249
Value of total assets at end of year	2019-12-31	$53,746,995
Value of total assets at beginning of year	2019-12-31	$42,961,514
Total of administrative expenses incurred including professional, contract, advisory and management fees	2019-12-31	$43,824
Total interest from all sources	2019-12-31	$18,850
Total dividends received (eg from common stock, registered investment company shares)	2019-12-31	$1,509,695
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2019-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2019-12-31	$1,509,695
Was this plan covered by a fidelity bond	2019-12-31	Yes
Value of fidelity bond cover	2019-12-31	$1,000,000
If this is an individual account plan, was there a blackout period	2019-12-31	Yes
Were there any nonexempt tranactions with any party-in-interest	2019-12-31	No
Contributions received from participants	2019-12-31	$1,949,508
Participant contributions at end of year	2019-12-31	$408,379
Participant contributions at beginning of year	2019-12-31	$320,693
Assets. Other investments not covered elsewhere at end of year	2019-12-31	$133,465
Assets. Other investments not covered elsewhere at beginning of year	2019-12-31	$108,725
Income. Received or receivable in cash from other sources (including rollovers)	2019-12-31	$128,682
Other income not declared elsewhere	2019-12-31	$18,713
Administrative expenses (other) incurred	2019-12-31	$43,824
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2019-12-31	No
Value of net income/loss	2019-12-31	$10,785,481
Value of net assets at end of year (total assets less liabilities)	2019-12-31	$53,746,995
Value of net assets at beginning of year (total assets less liabilities)	2019-12-31	$42,961,514
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2019-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2019-12-31	No
Were any leases to which the plan was party in default or uncollectible	2019-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2019-12-31	$53,205,151
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2019-12-31	$42,532,096
Interest on participant loans	2019-12-31	$18,850
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2019-12-31	$8,649,396
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2019-12-31	No
Was there a failure to transmit to the plan any participant contributions	2019-12-31	No
Has the plan failed to provide any benefit when due under the plan	2019-12-31	No
Contributions received in cash from employer	2019-12-31	$427,059
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2019-12-31	$1,872,598
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	2019-12-31	Yes
Did the plan have assets held for investment	2019-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2019-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2019-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2019-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2019-12-31	Disclaimer
Accountancy firm name	2019-12-31	CORRELL ASSOCIATES PC
Accountancy firm EIN	2019-12-31	382746717
2018 : GABRIEL, ROEDER, SMITH & COMPANY HOLDINGS, INC. SAVINGS AND THRIFT PLAN 2018 401k financial data
Total unrealized appreciation/depreciation of assets	2018-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2018-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2018-12-31	$0
Total income from all sources (including contributions)	2018-12-31	$-109,653
Total loss/gain on sale of assets	2018-12-31	$0
Total of all expenses incurred	2018-12-31	$1,486,092
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2018-12-31	$1,450,176
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2018-12-31	$2,256,983
Value of total assets at end of year	2018-12-31	$42,961,514
Value of total assets at beginning of year	2018-12-31	$44,557,259
Total of administrative expenses incurred including professional, contract, advisory and management fees	2018-12-31	$35,916
Total interest from all sources	2018-12-31	$16,948
Total dividends received (eg from common stock, registered investment company shares)	2018-12-31	$1,669,841
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2018-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2018-12-31	$1,669,841
Was this plan covered by a fidelity bond	2018-12-31	Yes
Value of fidelity bond cover	2018-12-31	$1,000,000
If this is an individual account plan, was there a blackout period	2018-12-31	Yes
Were there any nonexempt tranactions with any party-in-interest	2018-12-31	No
Contributions received from participants	2018-12-31	$1,712,475
Participant contributions at end of year	2018-12-31	$320,693
Participant contributions at beginning of year	2018-12-31	$389,104
Assets. Other investments not covered elsewhere at end of year	2018-12-31	$108,725
Assets. Other investments not covered elsewhere at beginning of year	2018-12-31	$101,314
Income. Received or receivable in cash from other sources (including rollovers)	2018-12-31	$134,874
Other income not declared elsewhere	2018-12-31	$-12,589
Administrative expenses (other) incurred	2018-12-31	$35,916
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2018-12-31	No
Value of net income/loss	2018-12-31	$-1,595,745
Value of net assets at end of year (total assets less liabilities)	2018-12-31	$42,961,514
Value of net assets at beginning of year (total assets less liabilities)	2018-12-31	$44,557,259
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2018-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2018-12-31	No
Were any leases to which the plan was party in default or uncollectible	2018-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2018-12-31	$42,532,096
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2018-12-31	$44,066,841
Interest on participant loans	2018-12-31	$16,948
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2018-12-31	$-4,040,836
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2018-12-31	No
Was there a failure to transmit to the plan any participant contributions	2018-12-31	No
Has the plan failed to provide any benefit when due under the plan	2018-12-31	No
Contributions received in cash from employer	2018-12-31	$409,634
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2018-12-31	$1,450,176
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	2018-12-31	Yes
Did the plan have assets held for investment	2018-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2018-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2018-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2018-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2018-12-31	Disclaimer
Accountancy firm name	2018-12-31	CORRELL ASSOCIATES PC
Accountancy firm EIN	2018-12-31	382746717
2017 : GABRIEL, ROEDER, SMITH & COMPANY HOLDINGS, INC. SAVINGS AND THRIFT PLAN 2017 401k financial data
Total unrealized appreciation/depreciation of assets	2017-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2017-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2017-12-31	$0
Total income from all sources (including contributions)	2017-12-31	$8,406,883
Total loss/gain on sale of assets	2017-12-31	$0
Total of all expenses incurred	2017-12-31	$1,630,399
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2017-12-31	$1,596,285
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2017-12-31	$1,853,839
Value of total assets at end of year	2017-12-31	$44,557,259
Value of total assets at beginning of year	2017-12-31	$37,780,775
Total of administrative expenses incurred including professional, contract, advisory and management fees	2017-12-31	$34,114
Total interest from all sources	2017-12-31	$21,647
Total dividends received (eg from common stock, registered investment company shares)	2017-12-31	$1,706,194
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2017-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2017-12-31	$1,706,194
Was this plan covered by a fidelity bond	2017-12-31	Yes
Value of fidelity bond cover	2017-12-31	$1,000,000
If this is an individual account plan, was there a blackout period	2017-12-31	No
Were there any nonexempt tranactions with any party-in-interest	2017-12-31	No
Contributions received from participants	2017-12-31	$1,500,494
Participant contributions at end of year	2017-12-31	$389,104
Participant contributions at beginning of year	2017-12-31	$558,997
Assets. Other investments not covered elsewhere at end of year	2017-12-31	$101,314
Assets. Other investments not covered elsewhere at beginning of year	2017-12-31	$90,181
Income. Received or receivable in cash from other sources (including rollovers)	2017-12-31	$111,286
Other income not declared elsewhere	2017-12-31	$11,134
Administrative expenses (other) incurred	2017-12-31	$34,114
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2017-12-31	No
Value of net income/loss	2017-12-31	$6,776,484
Value of net assets at end of year (total assets less liabilities)	2017-12-31	$44,557,259
Value of net assets at beginning of year (total assets less liabilities)	2017-12-31	$37,780,775
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2017-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2017-12-31	No
Were any leases to which the plan was party in default or uncollectible	2017-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2017-12-31	$44,066,841
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2017-12-31	$37,131,597
Interest on participant loans	2017-12-31	$21,647
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2017-12-31	$4,814,069
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2017-12-31	No
Was there a failure to transmit to the plan any participant contributions	2017-12-31	No
Has the plan failed to provide any benefit when due under the plan	2017-12-31	No
Contributions received in cash from employer	2017-12-31	$242,059
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2017-12-31	$1,596,285
Did the plan have assets held for investment	2017-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2017-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2017-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2017-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2017-12-31	Disclaimer
Accountancy firm name	2017-12-31	CORRELL ASSOCIATES PC
Accountancy firm EIN	2017-12-31	382746717
2016 : GABRIEL, ROEDER, SMITH & COMPANY HOLDINGS, INC. SAVINGS AND THRIFT PLAN 2016 401k financial data
Total unrealized appreciation/depreciation of assets	2016-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2016-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2016-12-31	$0
Total income from all sources (including contributions)	2016-12-31	$4,729,906
Total loss/gain on sale of assets	2016-12-31	$0
Total of all expenses incurred	2016-12-31	$719,683
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2016-12-31	$685,351
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2016-12-31	$2,127,735
Value of total assets at end of year	2016-12-31	$37,780,775
Value of total assets at beginning of year	2016-12-31	$33,770,552
Total of administrative expenses incurred including professional, contract, advisory and management fees	2016-12-31	$34,332
Total interest from all sources	2016-12-31	$19,354
Total dividends received (eg from common stock, registered investment company shares)	2016-12-31	$1,001,180
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2016-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2016-12-31	$1,001,180
Was this plan covered by a fidelity bond	2016-12-31	Yes
Value of fidelity bond cover	2016-12-31	$1,000,000
If this is an individual account plan, was there a blackout period	2016-12-31	No
Were there any nonexempt tranactions with any party-in-interest	2016-12-31	No
Contributions received from participants	2016-12-31	$1,350,071
Participant contributions at end of year	2016-12-31	$558,997
Participant contributions at beginning of year	2016-12-31	$370,372
Assets. Other investments not covered elsewhere at end of year	2016-12-31	$90,181
Assets. Other investments not covered elsewhere at beginning of year	2016-12-31	$92,432
Income. Received or receivable in cash from other sources (including rollovers)	2016-12-31	$494,713
Administrative expenses (other) incurred	2016-12-31	$34,332
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2016-12-31	No
Value of net income/loss	2016-12-31	$4,010,223
Value of net assets at end of year (total assets less liabilities)	2016-12-31	$37,780,775
Value of net assets at beginning of year (total assets less liabilities)	2016-12-31	$33,770,552
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2016-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2016-12-31	No
Were any leases to which the plan was party in default or uncollectible	2016-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2016-12-31	$37,131,597
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2016-12-31	$33,307,748
Interest on participant loans	2016-12-31	$19,354
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2016-12-31	$1,581,637
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2016-12-31	No
Was there a failure to transmit to the plan any participant contributions	2016-12-31	No
Has the plan failed to provide any benefit when due under the plan	2016-12-31	No
Contributions received in cash from employer	2016-12-31	$282,951
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2016-12-31	$685,351
Did the plan have assets held for investment	2016-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2016-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2016-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2016-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2016-12-31	Disclaimer
Accountancy firm name	2016-12-31	CORRELL ASSOCIATES PC
Accountancy firm EIN	2016-12-31	382746717

Form 5500 Responses for GABRIEL, ROEDER, SMITH & COMPANY HOLDINGS, INC. SAVINGS AND THRIFT PLAN

2022: GABRIEL, ROEDER, SMITH & COMPANY HOLDINGS, INC. SAVINGS AND THRIFT PLAN 2022 form 5500 responses
2022-01-01	Type of plan entity	Single employer plan
2022-01-01	Submission has been amended	No
2022-01-01	This submission is the final filing	No
2022-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2022-01-01	Plan is a collectively bargained plan	No
2022-01-01	Plan funding arrangement – Trust	Yes
2022-01-01	Plan benefit arrangement - Trust	Yes
2021: GABRIEL, ROEDER, SMITH & COMPANY HOLDINGS, INC. SAVINGS AND THRIFT PLAN 2021 form 5500 responses
2021-01-01	Type of plan entity	Single employer plan
2021-01-01	Submission has been amended	No
2021-01-01	This submission is the final filing	No
2021-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2021-01-01	Plan is a collectively bargained plan	No
2021-01-01	Plan funding arrangement – Trust	Yes
2021-01-01	Plan benefit arrangement - Trust	Yes
2020: GABRIEL, ROEDER, SMITH & COMPANY HOLDINGS, INC. SAVINGS AND THRIFT PLAN 2020 form 5500 responses
2020-01-01	Type of plan entity	Single employer plan
2020-01-01	Submission has been amended	No
2020-01-01	This submission is the final filing	No
2020-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2020-01-01	Plan is a collectively bargained plan	No
2020-01-01	Plan funding arrangement – Trust	Yes
2020-01-01	Plan benefit arrangement - Trust	Yes
2019: GABRIEL, ROEDER, SMITH & COMPANY HOLDINGS, INC. SAVINGS AND THRIFT PLAN 2019 form 5500 responses
2019-01-01	Type of plan entity	Single employer plan
2019-01-01	Submission has been amended	No
2019-01-01	This submission is the final filing	No
2019-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2019-01-01	Plan is a collectively bargained plan	No
2019-01-01	Plan funding arrangement – Trust	Yes
2019-01-01	Plan benefit arrangement - Trust	Yes
2018: GABRIEL, ROEDER, SMITH & COMPANY HOLDINGS, INC. SAVINGS AND THRIFT PLAN 2018 form 5500 responses
2018-01-01	Type of plan entity	Single employer plan
2018-01-01	Submission has been amended	No
2018-01-01	This submission is the final filing	No
2018-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2018-01-01	Plan is a collectively bargained plan	No
2018-01-01	Plan funding arrangement – Trust	Yes
2018-01-01	Plan benefit arrangement - Trust	Yes
2017: GABRIEL, ROEDER, SMITH & COMPANY HOLDINGS, INC. SAVINGS AND THRIFT PLAN 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	No
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 – Trust	Yes
2017-01-01	Plan benefit arrangement - Trust	Yes
2016: GABRIEL, ROEDER, SMITH & COMPANY HOLDINGS, INC. SAVINGS AND THRIFT 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	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 – Trust	Yes
2016-01-01	Plan benefit arrangement - Trust	Yes

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Company Name:	GABRIEL, ROEDER, SMITH & COMPANY HOLDINGS, INC.
Employer identification number (EIN):	475435846
NAIC Classification:	541990
NAIC Description:	All Other Professional, Scientific, and Technical Services