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CFA INSTITUTE 401(K) PLAN 401k Plan overview

Plan NameCFA INSTITUTE 401(K) PLAN
Plan identification number 002

CFA INSTITUTE 401(K) PLAN Benefits

401k Plan TypeDefined 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.
  • 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

CFA INSTITUTE has sponsored the creation of one or more 401k plans.

Company Name:CFA INSTITUTE
Employer identification number (EIN):541386480
NAIC Classification:813000
NAIC Description: Religious, Grantmaking, Civic, Professional, and Similar Organizations

Additional information about CFA INSTITUTE

Jurisdiction of Incorporation: Virginia Secretary of State
Incorporation Date: 1986-07-21
Company Identification Number: 0290164
Legal Registered Office Address: 915 EAST HIGH STREET

CHARLOTTESVILLE
United States of America (USA)
22902

More information about CFA INSTITUTE

Form 5500 Filing Information

Submission information for form 5500 for 401k plan CFA INSTITUTE 401(K) PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator SignedName of Company SponsorDate Sponsor Signed
0022022-01-01
0022021-01-01
0022020-01-01
0022019-01-01
0022018-01-01
0022017-01-01DIANE J. BASILE
0022016-01-01DIANE J. BASILE
0022015-01-01DONNA MARSHALL
0022014-01-01DONNA MARSHALL
0022014-01-01DONNA MARSHALL
0022013-01-01DONNA MARSHALL
0022012-01-01DONNA MARSHALL DONNA MARSHALL2013-07-31
0022011-01-01DONNA MARSHALL
0022009-09-01DONNA MARSHALL GUY WILLIAMS2010-07-29

Plan Statistics for CFA INSTITUTE 401(K) PLAN

401k plan membership statisitcs for CFA INSTITUTE 401(K) PLAN

Measure Date Value
2022: CFA INSTITUTE 401(K) PLAN 2022 401k membership
Total participants, beginning-of-year2022-01-01765
Total number of active participants reported on line 7a of the Form 55002022-01-01390
Number of retired or separated participants receiving benefits2022-01-0114
Number of other retired or separated participants entitled to future benefits2022-01-01336
Total of all active and inactive participants2022-01-01740
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2022-01-012
Total participants2022-01-01742
Number of participants with account balances2022-01-01739
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2022-01-010
2021: CFA INSTITUTE 401(K) PLAN 2021 401k membership
Total participants, beginning-of-year2021-01-01752
Total number of active participants reported on line 7a of the Form 55002021-01-01445
Number of retired or separated participants receiving benefits2021-01-0111
Number of other retired or separated participants entitled to future benefits2021-01-01307
Total of all active and inactive participants2021-01-01763
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2021-01-012
Total participants2021-01-01765
Number of participants with account balances2021-01-01761
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2021-01-010
2020: CFA INSTITUTE 401(K) PLAN 2020 401k membership
Total participants, beginning-of-year2020-01-01719
Total number of active participants reported on line 7a of the Form 55002020-01-01520
Number of retired or separated participants receiving benefits2020-01-019
Number of other retired or separated participants entitled to future benefits2020-01-01221
Total of all active and inactive participants2020-01-01750
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2020-01-012
Total participants2020-01-01752
Number of participants with account balances2020-01-01748
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2020-01-010
2019: CFA INSTITUTE 401(K) PLAN 2019 401k membership
Total participants, beginning-of-year2019-01-01671
Total number of active participants reported on line 7a of the Form 55002019-01-01488
Number of retired or separated participants receiving benefits2019-01-0110
Number of other retired or separated participants entitled to future benefits2019-01-01219
Total of all active and inactive participants2019-01-01717
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2019-01-012
Total participants2019-01-01719
Number of participants with account balances2019-01-01716
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2019-01-010
2018: CFA INSTITUTE 401(K) PLAN 2018 401k membership
Total participants, beginning-of-year2018-01-01658
Total number of active participants reported on line 7a of the Form 55002018-01-01455
Number of retired or separated participants receiving benefits2018-01-017
Number of other retired or separated participants entitled to future benefits2018-01-01206
Total of all active and inactive participants2018-01-01668
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2018-01-013
Total participants2018-01-01671
Number of participants with account balances2018-01-01668
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2018-01-012
2017: CFA INSTITUTE 401(K) PLAN 2017 401k membership
Total participants, beginning-of-year2017-01-01636
Total number of active participants reported on line 7a of the Form 55002017-01-01475
Number of retired or separated participants receiving benefits2017-01-018
Number of other retired or separated participants entitled to future benefits2017-01-01173
Total of all active and inactive participants2017-01-01656
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2017-01-012
Total participants2017-01-01658
Number of participants with account balances2017-01-01656
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2017-01-014
2016: CFA INSTITUTE 401(K) PLAN 2016 401k membership
Total participants, beginning-of-year2016-01-01604
Total number of active participants reported on line 7a of the Form 55002016-01-01487
Number of retired or separated participants receiving benefits2016-01-017
Number of other retired or separated participants entitled to future benefits2016-01-01140
Total of all active and inactive participants2016-01-01634
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2016-01-012
Total participants2016-01-01636
Number of participants with account balances2016-01-01634
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2016-01-019
2015: CFA INSTITUTE 401(K) PLAN 2015 401k membership
Total participants, beginning-of-year2015-01-01572
Total number of active participants reported on line 7a of the Form 55002015-01-01468
Number of retired or separated participants receiving benefits2015-01-014
Number of other retired or separated participants entitled to future benefits2015-01-01130
Total of all active and inactive participants2015-01-01602
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2015-01-012
Total participants2015-01-01604
Number of participants with account balances2015-01-01601
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2015-01-0111
2014: CFA INSTITUTE 401(K) PLAN 2014 401k membership
Total participants, beginning-of-year2014-01-01550
Total number of active participants reported on line 7a of the Form 55002014-01-01455
Number of retired or separated participants receiving benefits2014-01-013
Number of other retired or separated participants entitled to future benefits2014-01-01113
Total of all active and inactive participants2014-01-01571
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2014-01-011
Total participants2014-01-01572
Number of participants with account balances2014-01-01570
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2014-01-0113
2013: CFA INSTITUTE 401(K) PLAN 2013 401k membership
Total participants, beginning-of-year2013-01-01543
Total number of active participants reported on line 7a of the Form 55002013-01-01447
Number of retired or separated participants receiving benefits2013-01-012
Number of other retired or separated participants entitled to future benefits2013-01-01100
Total of all active and inactive participants2013-01-01549
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2013-01-011
Total participants2013-01-01550
Number of participants with account balances2013-01-01546
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2013-01-017
2012: CFA INSTITUTE 401(K) PLAN 2012 401k membership
Total participants, beginning-of-year2012-01-01535
Total number of active participants reported on line 7a of the Form 55002012-01-01441
Number of retired or separated participants receiving benefits2012-01-010
Number of other retired or separated participants entitled to future benefits2012-01-01101
Total of all active and inactive participants2012-01-01542
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2012-01-011
Total participants2012-01-01543
Number of participants with account balances2012-01-01539
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2012-01-0117
2011: CFA INSTITUTE 401(K) PLAN 2011 401k membership
Total participants, beginning-of-year2011-01-01482
Total number of active participants reported on line 7a of the Form 55002011-01-01418
Number of retired or separated participants receiving benefits2011-01-010
Number of other retired or separated participants entitled to future benefits2011-01-01116
Total of all active and inactive participants2011-01-01534
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2011-01-011
Total participants2011-01-01535
Number of participants with account balances2011-01-01530
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2011-01-0118
2009: CFA INSTITUTE 401(K) PLAN 2009 401k membership
Total participants, beginning-of-year2009-09-01448
Total number of active participants reported on line 7a of the Form 55002009-09-01353
Number of retired or separated participants receiving benefits2009-09-010
Number of other retired or separated participants entitled to future benefits2009-09-0199
Total of all active and inactive participants2009-09-01452
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2009-09-011
Total participants2009-09-01453
Number of participants with account balances2009-09-01448
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2009-09-013

Financial Data on CFA INSTITUTE 401(K) PLAN

Measure Date Value
2022 : CFA INSTITUTE 401(K) PLAN 2022 401k financial data
Total unrealized appreciation/depreciation of assets2022-12-31$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$0
Total income from all sources (including contributions)2022-12-31$-23,639,206
Total loss/gain on sale of assets2022-12-31$0
Total of all expenses incurred2022-12-31$12,244,701
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2022-12-31$12,211,608
Total contributions o plan (from employers,participants, others, non cash contrinutions)2022-12-31$12,219,744
Value of total assets at end of year2022-12-31$182,524,819
Value of total assets at beginning of year2022-12-31$218,408,726
Total of administrative expenses incurred including professional, contract, advisory and management fees2022-12-31$33,093
Total interest from all sources2022-12-31$73,251
Total dividends received (eg from common stock, registered investment company shares)2022-12-31$6,011,117
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2022-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2022-12-31$6,011,117
Was this plan covered by a fidelity bond2022-12-31Yes
Value of fidelity bond cover2022-12-31$500,000
If this is an individual account plan, was there a blackout period2022-12-31No
Were there any nonexempt tranactions with any party-in-interest2022-12-31No
Contributions received from participants2022-12-31$4,486,372
Participant contributions at end of year2022-12-31$1,430,170
Participant contributions at beginning of year2022-12-31$1,761,922
Income. Received or receivable in cash from other sources (including rollovers)2022-12-31$840,715
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)2022-12-31$789
Other income not declared elsewhere2022-12-31$32,201
Administrative expenses (other) incurred2022-12-31$33,093
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2022-12-31No
Value of net income/loss2022-12-31$-35,883,907
Value of net assets at end of year (total assets less liabilities)2022-12-31$182,524,819
Value of net assets at beginning of year (total assets less liabilities)2022-12-31$218,408,726
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2022-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2022-12-31No
Were any leases to which the plan was party in default or uncollectible2022-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2022-12-31$181,094,649
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2022-12-31$216,646,804
Interest on participant loans2022-12-31$73,251
Net investment gain/loss from registered investment companies (e.g. mutual funds)2022-12-31$-41,975,519
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2022-12-31No
Was there a failure to transmit to the plan any participant contributions2022-12-31Yes
Has the plan failed to provide any benefit when due under the plan2022-12-31No
Contributions received in cash from employer2022-12-31$6,892,657
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2022-12-31$12,210,819
Did the plan have assets held for investment2022-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2022-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2022-12-31No
Opinion of an independent qualified public accountant for this plan2022-12-31Unqualified
Accountancy firm name2022-12-31PBMARES LLP
Accountancy firm EIN2022-12-31540737372
2021 : CFA INSTITUTE 401(K) PLAN 2021 401k financial data
Total unrealized appreciation/depreciation of assets2021-12-31$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$39,169,938
Total loss/gain on sale of assets2021-12-31$0
Total of all expenses incurred2021-12-31$14,381,591
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2021-12-31$14,353,609
Value of total corrective distributions2021-12-31$683
Total contributions o plan (from employers,participants, others, non cash contrinutions)2021-12-31$13,112,021
Value of total assets at end of year2021-12-31$218,408,726
Value of total assets at beginning of year2021-12-31$193,620,379
Total of administrative expenses incurred including professional, contract, advisory and management fees2021-12-31$27,299
Total interest from all sources2021-12-31$90,200
Total dividends received (eg from common stock, registered investment company shares)2021-12-31$4,995,695
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2021-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2021-12-31$4,995,695
Was this plan covered by a fidelity bond2021-12-31Yes
Value of fidelity bond cover2021-12-31$500,000
If this is an individual account plan, was there a blackout period2021-12-31No
Were there any nonexempt tranactions with any party-in-interest2021-12-31No
Contributions received from participants2021-12-31$5,294,650
Participant contributions at end of year2021-12-31$1,761,922
Participant contributions at beginning of year2021-12-31$1,696,554
Income. Received or receivable in cash from other sources (including rollovers)2021-12-31$161,610
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)2021-12-31$139
Other income not declared elsewhere2021-12-31$2,525
Administrative expenses (other) incurred2021-12-31$27,299
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2021-12-31No
Value of net income/loss2021-12-31$24,788,347
Value of net assets at end of year (total assets less liabilities)2021-12-31$218,408,726
Value of net assets at beginning of year (total assets less liabilities)2021-12-31$193,620,379
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2021-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2021-12-31No
Were any leases to which the plan was party in default or uncollectible2021-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2021-12-31$216,646,804
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2021-12-31$191,923,825
Interest on participant loans2021-12-31$90,200
Net investment gain/loss from registered investment companies (e.g. mutual funds)2021-12-31$20,969,497
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2021-12-31No
Was there a failure to transmit to the plan any participant contributions2021-12-31Yes
Has the plan failed to provide any benefit when due under the plan2021-12-31No
Contributions received in cash from employer2021-12-31$7,655,761
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2021-12-31$14,353,470
Did the plan have assets held for investment2021-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2021-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2021-12-31No
Opinion of an independent qualified public accountant for this plan2021-12-31Unqualified
Accountancy firm name2021-12-31PBMARES LLP
Accountancy firm EIN2021-12-31540737372
2020 : CFA INSTITUTE 401(K) PLAN 2020 401k financial data
Total unrealized appreciation/depreciation of assets2020-12-31$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$38,825,830
Total loss/gain on sale of assets2020-12-31$0
Total of all expenses incurred2020-12-31$11,046,963
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2020-12-31$11,031,039
Total contributions o plan (from employers,participants, others, non cash contrinutions)2020-12-31$14,162,792
Value of total assets at end of year2020-12-31$193,620,379
Value of total assets at beginning of year2020-12-31$165,841,512
Total of administrative expenses incurred including professional, contract, advisory and management fees2020-12-31$15,924
Total interest from all sources2020-12-31$96,149
Total dividends received (eg from common stock, registered investment company shares)2020-12-31$3,512,242
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2020-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2020-12-31$3,512,242
Was this plan covered by a fidelity bond2020-12-31Yes
Value of fidelity bond cover2020-12-31$500,000
If this is an individual account plan, was there a blackout period2020-12-31No
Were there any nonexempt tranactions with any party-in-interest2020-12-31No
Contributions received from participants2020-12-31$4,946,804
Participant contributions at end of year2020-12-31$1,696,554
Participant contributions at beginning of year2020-12-31$1,634,351
Income. Received or receivable in cash from other sources (including rollovers)2020-12-31$2,398,283
Other income not declared elsewhere2020-12-31$17,058
Administrative expenses (other) incurred2020-12-31$15,924
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2020-12-31No
Value of net income/loss2020-12-31$27,778,867
Value of net assets at end of year (total assets less liabilities)2020-12-31$193,620,379
Value of net assets at beginning of year (total assets less liabilities)2020-12-31$165,841,512
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2020-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2020-12-31No
Were any leases to which the plan was party in default or uncollectible2020-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2020-12-31$191,923,825
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2020-12-31$160,478,015
Interest on participant loans2020-12-31$96,149
Net investment gain/loss from registered investment companies (e.g. mutual funds)2020-12-31$21,037,589
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2020-12-31No
Was there a failure to transmit to the plan any participant contributions2020-12-31No
Has the plan failed to provide any benefit when due under the plan2020-12-31No
Contributions received in cash from employer2020-12-31$6,817,705
Employer contributions (assets) at end of year2020-12-31$0
Employer contributions (assets) at beginning of year2020-12-31$3,729,146
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2020-12-31$11,031,039
Did the plan have assets held for investment2020-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2020-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2020-12-31No
Accountancy firm name2020-12-31KPMG LLP
Accountancy firm EIN2020-12-31135565207
2019 : CFA INSTITUTE 401(K) PLAN 2019 401k financial data
Total unrealized appreciation/depreciation of assets2019-12-31$0
Total unrealized appreciation/depreciation of assets2019-12-31$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 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$40,530,488
Total income from all sources (including contributions)2019-12-31$40,530,488
Total loss/gain on sale of assets2019-12-31$0
Total loss/gain on sale of assets2019-12-31$0
Total of all expenses incurred2019-12-31$13,428,677
Total of all expenses incurred2019-12-31$13,428,677
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2019-12-31$13,425,424
Value of total corrective distributions2019-12-31$325
Value of total corrective distributions2019-12-31$325
Total contributions o plan (from employers,participants, others, non cash contrinutions)2019-12-31$11,481,000
Total contributions o plan (from employers,participants, others, non cash contrinutions)2019-12-31$11,481,000
Value of total assets at end of year2019-12-31$165,841,512
Value of total assets at end of year2019-12-31$165,841,512
Value of total assets at beginning of year2019-12-31$138,739,701
Value of total assets at beginning of year2019-12-31$138,739,701
Total of administrative expenses incurred including professional, contract, advisory and management fees2019-12-31$2,928
Total of administrative expenses incurred including professional, contract, advisory and management fees2019-12-31$2,928
Total interest from all sources2019-12-31$84,238
Total interest from all sources2019-12-31$84,238
Total dividends received (eg from common stock, registered investment company shares)2019-12-31$3,794,820
Total dividends received (eg from common stock, registered investment company shares)2019-12-31$3,794,820
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2019-12-31No
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2019-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2019-12-31$3,794,820
Total dividends received from registered investment company shares (eg mutual funds)2019-12-31$3,794,820
Was this plan covered by a fidelity bond2019-12-31Yes
Was this plan covered by a fidelity bond2019-12-31Yes
Value of fidelity bond cover2019-12-31$500,000
Value of fidelity bond cover2019-12-31$500,000
If this is an individual account plan, was there a blackout period2019-12-31No
Were there any nonexempt tranactions with any party-in-interest2019-12-31No
Were there any nonexempt tranactions with any party-in-interest2019-12-31No
Contributions received from participants2019-12-31$4,601,305
Contributions received from participants2019-12-31$4,601,305
Participant contributions at end of year2019-12-31$1,634,351
Participant contributions at end of year2019-12-31$1,634,351
Participant contributions at beginning of year2019-12-31$1,557,969
Participant contributions at beginning of year2019-12-31$1,557,969
Income. Received or receivable in cash from other sources (including rollovers)2019-12-31$353,039
Income. Received or receivable in cash from other sources (including rollovers)2019-12-31$353,039
Administrative expenses (other) incurred2019-12-31$2,928
Administrative expenses (other) incurred2019-12-31$2,928
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2019-12-31No
Value of net income/loss2019-12-31$27,101,811
Value of net income/loss2019-12-31$27,101,811
Value of net assets at end of year (total assets less liabilities)2019-12-31$165,841,512
Value of net assets at end of year (total assets less liabilities)2019-12-31$165,841,512
Value of net assets at beginning of year (total assets less liabilities)2019-12-31$138,739,701
Value of net assets at beginning of year (total assets less liabilities)2019-12-31$138,739,701
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2019-12-31No
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2019-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2019-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2019-12-31No
Were any leases to which the plan was party in default or uncollectible2019-12-31No
Were any leases to which the plan was party in default or uncollectible2019-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2019-12-31$160,478,015
Value of interest in registered invesment companies (eg mutual funds) at end of year2019-12-31$160,478,015
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2019-12-31$133,641,872
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2019-12-31$133,641,872
Interest on participant loans2019-12-31$84,238
Interest on participant loans2019-12-31$84,238
Net investment gain/loss from registered investment companies (e.g. mutual funds)2019-12-31$25,170,430
Net investment gain/loss from registered investment companies (e.g. mutual funds)2019-12-31$25,170,430
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2019-12-31No
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2019-12-31No
Was there a failure to transmit to the plan any participant contributions2019-12-31No
Was there a failure to transmit to the plan any participant contributions2019-12-31No
Has the plan failed to provide any benefit when due under the plan2019-12-31No
Has the plan failed to provide any benefit when due under the plan2019-12-31No
Contributions received in cash from employer2019-12-31$6,526,656
Contributions received in cash from employer2019-12-31$6,526,656
Employer contributions (assets) at end of year2019-12-31$3,729,146
Employer contributions (assets) at end of year2019-12-31$3,729,146
Employer contributions (assets) at beginning of year2019-12-31$3,539,860
Employer contributions (assets) at beginning of year2019-12-31$3,539,860
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2019-12-31$13,425,424
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2019-12-31$13,425,424
Did the plan have assets held for investment2019-12-31Yes
Did the plan have assets held for investment2019-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2019-12-31No
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2019-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2019-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2019-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2019-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2019-12-31No
Opinion of an independent qualified public accountant for this plan2019-12-31Unqualified
Opinion of an independent qualified public accountant for this plan2019-12-31Unqualified
Accountancy firm name2019-12-31KPMG LLP
Accountancy firm name2019-12-31KPMG LLP
Accountancy firm EIN2019-12-31135565207
Accountancy firm EIN2019-12-31135565207
2018 : CFA INSTITUTE 401(K) PLAN 2018 401k financial data
Total unrealized appreciation/depreciation of assets2018-12-31$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$4,012,317
Total loss/gain on sale of assets2018-12-31$0
Total of all expenses incurred2018-12-31$7,871,389
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2018-12-31$7,868,739
Total contributions o plan (from employers,participants, others, non cash contrinutions)2018-12-31$11,661,700
Value of total assets at end of year2018-12-31$138,816,955
Value of total assets at beginning of year2018-12-31$142,676,027
Total of administrative expenses incurred including professional, contract, advisory and management fees2018-12-31$2,650
Total interest from all sources2018-12-31$76,687
Total dividends received (eg from common stock, registered investment company shares)2018-12-31$3,190,051
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2018-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2018-12-31$3,190,051
Was this plan covered by a fidelity bond2018-12-31Yes
Value of fidelity bond cover2018-12-31$500,000
If this is an individual account plan, was there a blackout period2018-12-31No
Were there any nonexempt tranactions with any party-in-interest2018-12-31No
Contributions received from participants2018-12-31$4,429,761
Participant contributions at end of year2018-12-31$1,557,969
Participant contributions at beginning of year2018-12-31$1,470,950
Income. Received or receivable in cash from other sources (including rollovers)2018-12-31$826,227
Administrative expenses (other) incurred2018-12-31$2,650
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2018-12-31No
Value of net income/loss2018-12-31$-3,859,072
Value of net assets at end of year (total assets less liabilities)2018-12-31$138,816,955
Value of net assets at beginning of year (total assets less liabilities)2018-12-31$142,676,027
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2018-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2018-12-31No
Were any leases to which the plan was party in default or uncollectible2018-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2018-12-31$133,641,872
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2018-12-31$137,670,063
Interest on participant loans2018-12-31$76,687
Net investment gain/loss from registered investment companies (e.g. mutual funds)2018-12-31$-10,916,121
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2018-12-31No
Was there a failure to transmit to the plan any participant contributions2018-12-31No
Has the plan failed to provide any benefit when due under the plan2018-12-31No
Contributions received in cash from employer2018-12-31$6,405,712
Employer contributions (assets) at end of year2018-12-31$3,617,114
Employer contributions (assets) at beginning of year2018-12-31$3,535,014
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2018-12-31$7,868,739
Did the plan have assets held for investment2018-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2018-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2018-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2018-12-31No
Opinion of an independent qualified public accountant for this plan2018-12-31Unqualified
Accountancy firm name2018-12-31PRICEWATERHOUSECOOPERS LLP
Accountancy firm EIN2018-12-31134008324
2017 : CFA INSTITUTE 401(K) PLAN 2017 401k financial data
Total unrealized appreciation/depreciation of assets2017-12-31$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$33,363,122
Total loss/gain on sale of assets2017-12-31$0
Total of all expenses incurred2017-12-31$2,532,742
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2017-12-31$2,530,092
Total contributions o plan (from employers,participants, others, non cash contrinutions)2017-12-31$14,332,790
Value of total assets at end of year2017-12-31$142,676,027
Value of total assets at beginning of year2017-12-31$111,845,647
Total of administrative expenses incurred including professional, contract, advisory and management fees2017-12-31$2,650
Total interest from all sources2017-12-31$68,324
Total dividends received (eg from common stock, registered investment company shares)2017-12-31$2,570,536
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2017-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2017-12-31$2,570,536
Was this plan covered by a fidelity bond2017-12-31Yes
Value of fidelity bond cover2017-12-31$500,000
If this is an individual account plan, was there a blackout period2017-12-31No
Were there any nonexempt tranactions with any party-in-interest2017-12-31No
Contributions received from participants2017-12-31$4,640,928
Participant contributions at end of year2017-12-31$1,470,950
Participant contributions at beginning of year2017-12-31$1,457,004
Income. Received or receivable in cash from other sources (including rollovers)2017-12-31$3,397,045
Other income not declared elsewhere2017-12-31$2
Administrative expenses (other) incurred2017-12-31$2,650
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2017-12-31No
Value of net income/loss2017-12-31$30,830,380
Value of net assets at end of year (total assets less liabilities)2017-12-31$142,676,027
Value of net assets at beginning of year (total assets less liabilities)2017-12-31$111,845,647
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2017-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2017-12-31No
Were any leases to which the plan was party in default or uncollectible2017-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2017-12-31$137,670,063
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2017-12-31$107,011,782
Interest on participant loans2017-12-31$68,324
Net investment gain/loss from registered investment companies (e.g. mutual funds)2017-12-31$16,391,470
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2017-12-31No
Was there a failure to transmit to the plan any participant contributions2017-12-31No
Has the plan failed to provide any benefit when due under the plan2017-12-31No
Contributions received in cash from employer2017-12-31$6,294,817
Employer contributions (assets) at end of year2017-12-31$3,535,014
Employer contributions (assets) at beginning of year2017-12-31$3,376,861
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2017-12-31$2,530,092
Did the plan have assets held for investment2017-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2017-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2017-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2017-12-31No
Opinion of an independent qualified public accountant for this plan2017-12-31Unqualified
Accountancy firm name2017-12-31PRICEWATERHOUSECOOPERS LLP
Accountancy firm EIN2017-12-31134008324
2016 : CFA INSTITUTE 401(K) PLAN 2016 401k financial data
Total unrealized appreciation/depreciation of assets2016-12-31$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$20,194,121
Total loss/gain on sale of assets2016-12-31$0
Total of all expenses incurred2016-12-31$4,165,794
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2016-12-31$4,163,169
Total contributions o plan (from employers,participants, others, non cash contrinutions)2016-12-31$12,227,269
Value of total assets at end of year2016-12-31$111,845,647
Value of total assets at beginning of year2016-12-31$95,817,320
Total of administrative expenses incurred including professional, contract, advisory and management fees2016-12-31$2,625
Total interest from all sources2016-12-31$62,261
Total dividends received (eg from common stock, registered investment company shares)2016-12-31$2,107,028
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2016-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2016-12-31$2,107,028
Was this plan covered by a fidelity bond2016-12-31Yes
Value of fidelity bond cover2016-12-31$500,000
If this is an individual account plan, was there a blackout period2016-12-31No
Were there any nonexempt tranactions with any party-in-interest2016-12-31No
Contributions received from participants2016-12-31$4,264,946
Participant contributions at end of year2016-12-31$1,457,004
Participant contributions at beginning of year2016-12-31$1,398,157
Income. Received or receivable in cash from other sources (including rollovers)2016-12-31$2,059,981
Other income not declared elsewhere2016-12-31$0
Administrative expenses (other) incurred2016-12-31$2,625
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2016-12-31No
Value of net income/loss2016-12-31$16,028,327
Value of net assets at end of year (total assets less liabilities)2016-12-31$111,845,647
Value of net assets at beginning of year (total assets less liabilities)2016-12-31$95,817,320
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2016-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2016-12-31No
Were any leases to which the plan was party in default or uncollectible2016-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2016-12-31$107,011,782
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2016-12-31$91,396,853
Interest on participant loans2016-12-31$62,261
Net investment gain/loss from registered investment companies (e.g. mutual funds)2016-12-31$5,797,563
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2016-12-31No
Was there a failure to transmit to the plan any participant contributions2016-12-31No
Has the plan failed to provide any benefit when due under the plan2016-12-31No
Contributions received in cash from employer2016-12-31$5,902,342
Employer contributions (assets) at end of year2016-12-31$3,376,861
Employer contributions (assets) at beginning of year2016-12-31$3,022,310
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2016-12-31$4,163,169
Did the plan have assets held for investment2016-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2016-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2016-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2016-12-31No
Opinion of an independent qualified public accountant for this plan2016-12-31Unqualified
Accountancy firm name2016-12-31PRICEWATERHOUSECOOPERS LLP
Accountancy firm EIN2016-12-31134008324
2015 : CFA INSTITUTE 401(K) PLAN 2015 401k financial data
Total unrealized appreciation/depreciation of assets2015-12-31$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$8,923,052
Total loss/gain on sale of assets2015-12-31$0
Total of all expenses incurred2015-12-31$5,309,593
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2015-12-31$5,306,768
Total contributions o plan (from employers,participants, others, non cash contrinutions)2015-12-31$9,324,396
Value of total assets at end of year2015-12-31$95,817,320
Value of total assets at beginning of year2015-12-31$92,203,861
Total of administrative expenses incurred including professional, contract, advisory and management fees2015-12-31$2,825
Total interest from all sources2015-12-31$63,213
Total dividends received (eg from common stock, registered investment company shares)2015-12-31$1,260,511
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2015-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2015-12-31$1,260,511
Was this plan covered by a fidelity bond2015-12-31Yes
Value of fidelity bond cover2015-12-31$500,000
If this is an individual account plan, was there a blackout period2015-12-31No
Were there any nonexempt tranactions with any party-in-interest2015-12-31No
Contributions received from participants2015-12-31$3,726,414
Participant contributions at end of year2015-12-31$1,398,157
Participant contributions at beginning of year2015-12-31$1,597,012
Income. Received or receivable in cash from other sources (including rollovers)2015-12-31$242,193
Administrative expenses (other) incurred2015-12-31$2,825
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2015-12-31No
Value of net income/loss2015-12-31$3,613,459
Value of net assets at end of year (total assets less liabilities)2015-12-31$95,817,320
Value of net assets at beginning of year (total assets less liabilities)2015-12-31$92,203,861
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2015-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2015-12-31No
Were any leases to which the plan was party in default or uncollectible2015-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2015-12-31$91,396,853
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2015-12-31$87,604,979
Interest on participant loans2015-12-31$63,213
Net investment gain/loss from registered investment companies (e.g. mutual funds)2015-12-31$-1,725,068
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2015-12-31No
Was there a failure to transmit to the plan any participant contributions2015-12-31No
Has the plan failed to provide any benefit when due under the plan2015-12-31No
Contributions received in cash from employer2015-12-31$5,355,789
Employer contributions (assets) at end of year2015-12-31$3,022,310
Employer contributions (assets) at beginning of year2015-12-31$3,001,870
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2015-12-31$5,306,768
Did the plan have assets held for investment2015-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2015-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2015-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2015-12-31No
Opinion of an independent qualified public accountant for this plan2015-12-31Unqualified
Accountancy firm name2015-12-31PRICEWATERHOUSECOOPERS LLP
Accountancy firm EIN2015-12-31134008324
2014 : CFA INSTITUTE 401(K) PLAN 2014 401k financial data
Total unrealized appreciation/depreciation of assets2014-12-31$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$15,190,681
Total loss/gain on sale of assets2014-12-31$0
Total of all expenses incurred2014-12-31$3,234,741
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2014-12-31$3,231,841
Total contributions o plan (from employers,participants, others, non cash contrinutions)2014-12-31$9,321,240
Value of total assets at end of year2014-12-31$92,203,861
Value of total assets at beginning of year2014-12-31$80,247,921
Total of administrative expenses incurred including professional, contract, advisory and management fees2014-12-31$2,900
Total interest from all sources2014-12-31$67,695
Total dividends received (eg from common stock, registered investment company shares)2014-12-31$1,722,467
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2014-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2014-12-31$1,722,467
Was this plan covered by a fidelity bond2014-12-31Yes
Value of fidelity bond cover2014-12-31$500,000
If this is an individual account plan, was there a blackout period2014-12-31No
Were there any nonexempt tranactions with any party-in-interest2014-12-31No
Contributions received from participants2014-12-31$3,435,733
Participant contributions at end of year2014-12-31$1,597,012
Participant contributions at beginning of year2014-12-31$1,621,874
Income. Received or receivable in cash from other sources (including rollovers)2014-12-31$643,402
Administrative expenses (other) incurred2014-12-31$2,900
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2014-12-31No
Value of net income/loss2014-12-31$11,955,940
Value of net assets at end of year (total assets less liabilities)2014-12-31$92,203,861
Value of net assets at beginning of year (total assets less liabilities)2014-12-31$80,247,921
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2014-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2014-12-31No
Were any leases to which the plan was party in default or uncollectible2014-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2014-12-31$87,604,979
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2014-12-31$75,617,581
Interest on participant loans2014-12-31$67,695
Net investment gain/loss from registered investment companies (e.g. mutual funds)2014-12-31$4,079,279
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2014-12-31No
Was there a failure to transmit to the plan any participant contributions2014-12-31No
Has the plan failed to provide any benefit when due under the plan2014-12-31No
Contributions received in cash from employer2014-12-31$5,242,105
Employer contributions (assets) at end of year2014-12-31$3,001,870
Employer contributions (assets) at beginning of year2014-12-31$3,008,466
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2014-12-31$3,231,841
Did the plan have assets held for investment2014-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2014-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2014-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2014-12-31No
Opinion of an independent qualified public accountant for this plan2014-12-31Unqualified
Accountancy firm name2014-12-31PRICEWATERHOUSECOOPERS LLP
Accountancy firm EIN2014-12-31134008324
2013 : CFA INSTITUTE 401(K) PLAN 2013 401k financial data
Total unrealized appreciation/depreciation of assets2013-12-31$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$20,402,053
Total loss/gain on sale of assets2013-12-31$0
Total of all expenses incurred2013-12-31$3,186,004
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2013-12-31$3,183,729
Total contributions o plan (from employers,participants, others, non cash contrinutions)2013-12-31$8,673,136
Value of total assets at end of year2013-12-31$80,247,921
Value of total assets at beginning of year2013-12-31$63,031,872
Total of administrative expenses incurred including professional, contract, advisory and management fees2013-12-31$2,275
Total interest from all sources2013-12-31$64,512
Total dividends received (eg from common stock, registered investment company shares)2013-12-31$1,361,720
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2013-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2013-12-31$1,361,720
Was this plan covered by a fidelity bond2013-12-31Yes
Value of fidelity bond cover2013-12-31$500,000
If this is an individual account plan, was there a blackout period2013-12-31No
Were there any nonexempt tranactions with any party-in-interest2013-12-31No
Contributions received from participants2013-12-31$3,139,067
Participant contributions at end of year2013-12-31$1,621,874
Participant contributions at beginning of year2013-12-31$1,247,661
Income. Received or receivable in cash from other sources (including rollovers)2013-12-31$366,981
Administrative expenses (other) incurred2013-12-31$2,275
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2013-12-31No
Value of net income/loss2013-12-31$17,216,049
Value of net assets at end of year (total assets less liabilities)2013-12-31$80,247,921
Value of net assets at beginning of year (total assets less liabilities)2013-12-31$63,031,872
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2013-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2013-12-31No
Were any leases to which the plan was party in default or uncollectible2013-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2013-12-31$75,617,581
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2013-12-31$58,997,217
Interest on participant loans2013-12-31$64,512
Net investment gain/loss from registered investment companies (e.g. mutual funds)2013-12-31$10,302,685
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2013-12-31No
Was there a failure to transmit to the plan any participant contributions2013-12-31No
Has the plan failed to provide any benefit when due under the plan2013-12-31No
Contributions received in cash from employer2013-12-31$5,167,088
Employer contributions (assets) at end of year2013-12-31$3,008,466
Employer contributions (assets) at beginning of year2013-12-31$2,786,994
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2013-12-31$3,183,729
Did the plan have assets held for investment2013-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2013-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2013-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2013-12-31No
Opinion of an independent qualified public accountant for this plan2013-12-31Unqualified
Accountancy firm name2013-12-31PRICEWATERHOUSECOOPERS LLP
Accountancy firm EIN2013-12-31134008324
2012 : CFA INSTITUTE 401(K) PLAN 2012 401k financial data
Total unrealized appreciation/depreciation of assets2012-12-31$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$14,571,753
Total loss/gain on sale of assets2012-12-31$0
Total of all expenses incurred2012-12-31$2,422,800
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2012-12-31$2,411,928
Value of total corrective distributions2012-12-31$8,897
Total contributions o plan (from employers,participants, others, non cash contrinutions)2012-12-31$8,272,537
Value of total assets at end of year2012-12-31$63,031,872
Value of total assets at beginning of year2012-12-31$50,882,919
Total of administrative expenses incurred including professional, contract, advisory and management fees2012-12-31$1,975
Total interest from all sources2012-12-31$47,770
Total dividends received (eg from common stock, registered investment company shares)2012-12-31$1,307,606
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2012-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2012-12-31$1,307,606
Was this plan covered by a fidelity bond2012-12-31Yes
Value of fidelity bond cover2012-12-31$500,000
If this is an individual account plan, was there a blackout period2012-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2012-12-31$0
Were there any nonexempt tranactions with any party-in-interest2012-12-31No
Contributions received from participants2012-12-31$2,858,495
Participant contributions at end of year2012-12-31$1,247,661
Participant contributions at beginning of year2012-12-31$997,280
Income. Received or receivable in cash from other sources (including rollovers)2012-12-31$709,484
Administrative expenses (other) incurred2012-12-31$1,975
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2012-12-31No
Value of net income/loss2012-12-31$12,148,953
Value of net assets at end of year (total assets less liabilities)2012-12-31$63,031,872
Value of net assets at beginning of year (total assets less liabilities)2012-12-31$50,882,919
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2012-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2012-12-31No
Were any leases to which the plan was party in default or uncollectible2012-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2012-12-31$58,997,217
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2012-12-31$47,468,666
Interest on participant loans2012-12-31$47,770
Net investment gain/loss from registered investment companies (e.g. mutual funds)2012-12-31$4,943,840
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2012-12-31No
Was there a failure to transmit to the plan any participant contributions2012-12-31No
Has the plan failed to provide any benefit when due under the plan2012-12-31No
Contributions received in cash from employer2012-12-31$4,704,558
Employer contributions (assets) at end of year2012-12-31$2,786,994
Employer contributions (assets) at beginning of year2012-12-31$2,416,973
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2012-12-31$2,411,928
Did the plan have assets held for investment2012-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2012-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2012-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2012-12-31No
Opinion of an independent qualified public accountant for this plan2012-12-31Unqualified
Accountancy firm name2012-12-31PRICEWATERHOUSECOOPERS LLP
Accountancy firm EIN2012-12-31134008324
2011 : CFA INSTITUTE 401(K) PLAN 2011 401k financial data
Total unrealized appreciation/depreciation of assets2011-12-31$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$7,176,999
Total loss/gain on sale of assets2011-12-31$0
Total of all expenses incurred2011-12-31$1,273,005
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2011-12-31$1,271,380
Total contributions o plan (from employers,participants, others, non cash contrinutions)2011-12-31$6,987,423
Value of total assets at end of year2011-12-31$50,882,919
Value of total assets at beginning of year2011-12-31$44,978,925
Total of administrative expenses incurred including professional, contract, advisory and management fees2011-12-31$1,625
Total interest from all sources2011-12-31$40,223
Total dividends received (eg from common stock, registered investment company shares)2011-12-31$1,061,496
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2011-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2011-12-31$1,061,496
Was this plan covered by a fidelity bond2011-12-31Yes
Value of fidelity bond cover2011-12-31$500,000
If this is an individual account plan, was there a blackout period2011-12-31No
Were there any nonexempt tranactions with any party-in-interest2011-12-31No
Contributions received from participants2011-12-31$2,514,186
Participant contributions at end of year2011-12-31$997,280
Participant contributions at beginning of year2011-12-31$725,519
Income. Received or receivable in cash from other sources (including rollovers)2011-12-31$241,355
Administrative expenses (other) incurred2011-12-31$1,625
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2011-12-31No
Value of net income/loss2011-12-31$5,903,994
Value of net assets at end of year (total assets less liabilities)2011-12-31$50,882,919
Value of net assets at beginning of year (total assets less liabilities)2011-12-31$44,978,925
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2011-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2011-12-31No
Were any leases to which the plan was party in default or uncollectible2011-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2011-12-31$47,468,666
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2011-12-31$42,183,537
Interest on participant loans2011-12-31$40,223
Net investment gain/loss from registered investment companies (e.g. mutual funds)2011-12-31$-912,143
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2011-12-31No
Was there a failure to transmit to the plan any participant contributions2011-12-31Yes
Has the plan failed to provide any benefit when due under the plan2011-12-31No
Contributions received in cash from employer2011-12-31$4,231,882
Employer contributions (assets) at end of year2011-12-31$2,416,973
Employer contributions (assets) at beginning of year2011-12-31$2,069,869
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2011-12-31$1,271,380
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-32011-12-31No
Did the plan have assets held for investment2011-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2011-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2011-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2011-12-31No
Opinion of an independent qualified public accountant for this plan2011-12-31Unqualified
Accountancy firm name2011-12-31PRICEWATERHOUSECOOPERS LLP
Accountancy firm EIN2011-12-31134008324
2010 : CFA INSTITUTE 401(K) PLAN 2010 401k financial data
Total unrealized appreciation/depreciation of assets2010-12-31$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$10,909,520
Total loss/gain on sale of assets2010-12-31$0
Total of all expenses incurred2010-12-31$824,423
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2010-12-31$823,273
Total contributions o plan (from employers,participants, others, non cash contrinutions)2010-12-31$6,292,081
Value of total assets at end of year2010-12-31$44,978,925
Value of total assets at beginning of year2010-12-31$34,893,828
Total of administrative expenses incurred including professional, contract, advisory and management fees2010-12-31$1,150
Total interest from all sources2010-12-31$31,994
Total dividends received (eg from common stock, registered investment company shares)2010-12-31$764,595
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2010-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2010-12-31$764,595
Was this plan covered by a fidelity bond2010-12-31Yes
Value of fidelity bond cover2010-12-31$500,000
If this is an individual account plan, was there a blackout period2010-12-31No
Were there any nonexempt tranactions with any party-in-interest2010-12-31No
Contributions received from participants2010-12-31$2,253,800
Participant contributions at end of year2010-12-31$725,519
Participant contributions at beginning of year2010-12-31$552,582
Income. Received or receivable in cash from other sources (including rollovers)2010-12-31$427,891
Administrative expenses (other) incurred2010-12-31$1,150
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2010-12-31No
Value of net income/loss2010-12-31$10,085,097
Value of net assets at end of year (total assets less liabilities)2010-12-31$44,978,925
Value of net assets at beginning of year (total assets less liabilities)2010-12-31$34,893,828
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2010-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2010-12-31No
Were any leases to which the plan was party in default or uncollectible2010-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2010-12-31$42,183,537
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2010-12-31$33,580,694
Interest on participant loans2010-12-31$31,994
Net investment gain/loss from registered investment companies (e.g. mutual funds)2010-12-31$3,820,850
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2010-12-31No
Was there a failure to transmit to the plan any participant contributions2010-12-31No
Has the plan failed to provide any benefit when due under the plan2010-12-31No
Contributions received in cash from employer2010-12-31$3,610,390
Employer contributions (assets) at end of year2010-12-31$2,069,869
Employer contributions (assets) at beginning of year2010-12-31$760,552
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2010-12-31$823,273
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-32010-12-31No
Did the plan have assets held for investment2010-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2010-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2010-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2010-12-31No
Opinion of an independent qualified public accountant for this plan2010-12-31Unqualified
Accountancy firm name2010-12-31PRICEWATERHOUSECOOPERS LLP
Accountancy firm EIN2010-12-31134008324

Form 5500 Responses for CFA INSTITUTE 401(K) PLAN

2022: CFA INSTITUTE 401(K) PLAN 2022 form 5500 responses
2022-01-01Type of plan entitySingle employer plan
2022-01-01Submission has been amendedNo
2022-01-01This submission is the final filingNo
2022-01-01This return/report is a short plan year return/report (less than 12 months)No
2022-01-01Plan is a collectively bargained planNo
2022-01-01Plan funding arrangement – TrustYes
2022-01-01Plan benefit arrangement - TrustYes
2021: CFA INSTITUTE 401(K) PLAN 2021 form 5500 responses
2021-01-01Type of plan entitySingle employer plan
2021-01-01Submission has been amendedNo
2021-01-01This submission is the final filingNo
2021-01-01This return/report is a short plan year return/report (less than 12 months)No
2021-01-01Plan is a collectively bargained planNo
2021-01-01Plan funding arrangement – TrustYes
2021-01-01Plan benefit arrangement - TrustYes
2020: CFA INSTITUTE 401(K) PLAN 2020 form 5500 responses
2020-01-01Type of plan entitySingle employer plan
2020-01-01Submission has been amendedNo
2020-01-01This submission is the final filingNo
2020-01-01This return/report is a short plan year return/report (less than 12 months)No
2020-01-01Plan is a collectively bargained planNo
2020-01-01Plan funding arrangement – TrustYes
2020-01-01Plan benefit arrangement - TrustYes
2019: CFA INSTITUTE 401(K) PLAN 2019 form 5500 responses
2019-01-01Type of plan entitySingle employer plan
2019-01-01Submission has been amendedNo
2019-01-01This submission is the final filingNo
2019-01-01This return/report is a short plan year return/report (less than 12 months)No
2019-01-01Plan is a collectively bargained planNo
2019-01-01Plan funding arrangement – TrustYes
2019-01-01Plan benefit arrangement - TrustYes
2018: CFA INSTITUTE 401(K) PLAN 2018 form 5500 responses
2018-01-01Type of plan entitySingle employer plan
2018-01-01Submission has been amendedNo
2018-01-01This submission is the final filingNo
2018-01-01This return/report is a short plan year return/report (less than 12 months)No
2018-01-01Plan is a collectively bargained planNo
2018-01-01Plan funding arrangement – TrustYes
2018-01-01Plan benefit arrangement - TrustYes
2017: CFA INSTITUTE 401(K) PLAN 2017 form 5500 responses
2017-01-01Type of plan entitySingle employer plan
2017-01-01Submission has been amendedNo
2017-01-01This submission is the final filingNo
2017-01-01This return/report is a short plan year return/report (less than 12 months)No
2017-01-01Plan is a collectively bargained planNo
2017-01-01Plan funding arrangement – TrustYes
2017-01-01Plan benefit arrangement - TrustYes
2016: CFA INSTITUTE 401(K) PLAN 2016 form 5500 responses
2016-01-01Type of plan entitySingle employer plan
2016-01-01Submission has been amendedNo
2016-01-01This submission is the final filingNo
2016-01-01This return/report is a short plan year return/report (less than 12 months)No
2016-01-01Plan is a collectively bargained planNo
2016-01-01Plan funding arrangement – TrustYes
2016-01-01Plan benefit arrangement - TrustYes
2015: CFA INSTITUTE 401(K) PLAN 2015 form 5500 responses
2015-01-01Type of plan entitySingle employer plan
2015-01-01Submission has been amendedNo
2015-01-01This submission is the final filingNo
2015-01-01This return/report is a short plan year return/report (less than 12 months)No
2015-01-01Plan is a collectively bargained planNo
2015-01-01Plan funding arrangement – TrustYes
2015-01-01Plan benefit arrangement - TrustYes
2014: CFA INSTITUTE 401(K) PLAN 2014 form 5500 responses
2014-01-01Type of plan entitySingle employer plan
2014-01-01Submission has been amendedNo
2014-01-01This submission is the final filingNo
2014-01-01This return/report is a short plan year return/report (less than 12 months)No
2014-01-01Plan is a collectively bargained planNo
2014-01-01Plan funding arrangement – TrustYes
2014-01-01Plan benefit arrangement - TrustYes
2013: CFA INSTITUTE 401(K) PLAN 2013 form 5500 responses
2013-01-01Type of plan entitySingle employer plan
2013-01-01Submission has been amendedNo
2013-01-01This submission is the final filingNo
2013-01-01This return/report is a short plan year return/report (less than 12 months)No
2013-01-01Plan is a collectively bargained planNo
2013-01-01Plan funding arrangement – TrustYes
2013-01-01Plan benefit arrangement - TrustYes
2012: CFA INSTITUTE 401(K) PLAN 2012 form 5500 responses
2012-01-01Type of plan entitySingle employer plan
2012-01-01Submission has been amendedNo
2012-01-01This submission is the final filingNo
2012-01-01This return/report is a short plan year return/report (less than 12 months)No
2012-01-01Plan is a collectively bargained planNo
2012-01-01Plan funding arrangement – TrustYes
2012-01-01Plan benefit arrangement - TrustYes
2011: CFA INSTITUTE 401(K) PLAN 2011 form 5500 responses
2011-01-01Type of plan entitySingle employer plan
2011-01-01Submission has been amendedNo
2011-01-01This submission is the final filingNo
2011-01-01This return/report is a short plan year return/report (less than 12 months)No
2011-01-01Plan is a collectively bargained planNo
2011-01-01Plan funding arrangement – TrustYes
2011-01-01Plan benefit arrangement - TrustYes
2009: CFA INSTITUTE 401(K) PLAN 2009 form 5500 responses
2009-09-01Type of plan entitySingle employer plan
2009-09-01Submission has been amendedNo
2009-09-01This submission is the final filingNo
2009-09-01This return/report is a short plan year return/report (less than 12 months)Yes
2009-09-01Plan is a collectively bargained planNo
2009-09-01Plan funding arrangement – TrustYes
2009-09-01Plan benefit arrangement - TrustYes

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