401k Plan data: ASSUREDPARTNERS 401(K) PLAN plan

ASSUREDPARTNERS 401(K) PLAN 401k Plan overview

Plan Name	ASSUREDPARTNERS 401(K) PLAN
Plan identification number	001

ASSUREDPARTNERS 401(K) 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.
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.
Prototype plan - A pension plan that is made available by a sponsor for adoption by employers; that is the subject of a favorable opinion or notification letter; and under which a seperate funding medium (for example, a seperate trust or custodial account) is established for the use of each adopting employer.
Plan sponsor(s) is (are) a member(s) of a controlled group (Code sections 414(b), (c), or (m)).

401k Sponsoring company profile

ASSUREDPARTNERS CAPITAL, INC. has sponsored the creation of one or more 401k plans.

Company Name: ASSUREDPARTNERS CAPITAL, INC.

Employer identification number (EIN): 611391283

NAIC Classification: 524210
NAIC Description: Insurance Agencies and Brokerages

Form 5500 Filing Information

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

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2011-01-01 GERALD BUDDE
001 2009-01-01 WALT KONETZKA
001 2008-01-01 GERALD BUDDE

Plan id#	Filing Submission Date	Name of Administrator
001	2011-01-01	GERALD BUDDE
001	2009-01-01	WALT KONETZKA
001	2008-01-01	GERALD BUDDE

Plan Statistics for ASSUREDPARTNERS 401(K) PLAN

401k plan membership statisitcs for ASSUREDPARTNERS 401(K) PLAN

Measure Date Value
2011: ASSUREDPARTNERS 401(K) PLAN 2011 401k membership
Total participants, beginning-of-year 2011-01-01 660
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 541
Number of retired or separated participants receiving benefits 2011-01-01 0
Number of other retired or separated participants entitled to future benefits 2011-01-01 128
Total of all active and inactive participants 2011-01-01 669
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-01-01 0
Total participants 2011-01-01 669
Number of participants with account balances 2011-01-01 592
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-01-01 55
2009: ASSUREDPARTNERS 401(K) PLAN 2009 401k membership
Total participants, beginning-of-year 2009-01-01 575
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 496
Number of retired or separated participants receiving benefits 2009-01-01 0
Number of other retired or separated participants entitled to future benefits 2009-01-01 78
Total of all active and inactive participants 2009-01-01 574
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-01-01 0
Total participants 2009-01-01 574
Number of participants with account balances 2009-01-01 487
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-01-01 27
2008: ASSUREDPARTNERS 401(K) PLAN 2008 401k membership
Total participants, beginning-of-year 2008-01-01 561
Total number of active participants reported on line 7a of the Form 5500 2008-01-01 504
Number of retired or separated participants receiving benefits 2008-01-01 0
Number of other retired or separated participants entitled to future benefits 2008-01-01 68
Total of all active and inactive participants 2008-01-01 572
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2008-01-01 0
Total participants 2008-01-01 572
Number of participants with account balances 2008-01-01 47
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2008-01-01 28

Measure	Date	Value
2011: ASSUREDPARTNERS 401(K) PLAN 2011 401k membership
Total participants, beginning-of-year	2011-01-01	660
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	541
Number of retired or separated participants receiving benefits	2011-01-01	0
Number of other retired or separated participants entitled to future benefits	2011-01-01	128
Total of all active and inactive participants	2011-01-01	669
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-01-01	0
Total participants	2011-01-01	669
Number of participants with account balances	2011-01-01	592
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-01-01	55
2009: ASSUREDPARTNERS 401(K) PLAN 2009 401k membership
Total participants, beginning-of-year	2009-01-01	575
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	496
Number of retired or separated participants receiving benefits	2009-01-01	0
Number of other retired or separated participants entitled to future benefits	2009-01-01	78
Total of all active and inactive participants	2009-01-01	574
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-01-01	0
Total participants	2009-01-01	574
Number of participants with account balances	2009-01-01	487
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-01-01	27
2008: ASSUREDPARTNERS 401(K) PLAN 2008 401k membership
Total participants, beginning-of-year	2008-01-01	561
Total number of active participants reported on line 7a of the Form 5500	2008-01-01	504
Number of retired or separated participants receiving benefits	2008-01-01	0
Number of other retired or separated participants entitled to future benefits	2008-01-01	68
Total of all active and inactive participants	2008-01-01	572
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2008-01-01	0
Total participants	2008-01-01	572
Number of participants with account balances	2008-01-01	47
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2008-01-01	28

Financial Data on ASSUREDPARTNERS 401(K) PLAN

Measure	Date	Value
2011 : ASSUREDPARTNERS 401(K) PLAN 2011 401k financial data
Total unrealized appreciation/depreciation of assets	2011-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2011-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2011-12-31	$0
Total income from all sources (including contributions)	2011-12-31	$3,645,409
Total loss/gain on sale of assets	2011-12-31	$0
Total of all expenses incurred	2011-12-31	$2,034,200
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2011-12-31	$1,969,994
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2011-12-31	$4,372,467
Value of total assets at end of year	2011-12-31	$26,728,381
Value of total assets at beginning of year	2011-12-31	$25,117,172
Total of administrative expenses incurred including professional, contract, advisory and management fees	2011-12-31	$64,206
Total interest from all sources	2011-12-31	$7,619
Total dividends received (eg from common stock, registered investment company shares)	2011-12-31	$490,177
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2011-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2011-12-31	$490,177
Was this plan covered by a fidelity bond	2011-12-31	Yes
Value of fidelity bond cover	2011-12-31	$500,000
If this is an individual account plan, was there a blackout period	2011-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2011-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2011-12-31	No
Contributions received from participants	2011-12-31	$2,760,409
Participant contributions at end of year	2011-12-31	$187,062
Participant contributions at beginning of year	2011-12-31	$171,227
Income. Received or receivable in cash from other sources (including rollovers)	2011-12-31	$635,603
Administrative expenses (other) incurred	2011-12-31	$23
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2011-12-31	No
Value of net income/loss	2011-12-31	$1,611,209
Value of net assets at end of year (total assets less liabilities)	2011-12-31	$26,728,381
Value of net assets at beginning of year (total assets less liabilities)	2011-12-31	$25,117,172
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2011-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2011-12-31	No
Were any leases to which the plan was party in default or uncollectible	2011-12-31	No
Investment advisory and management fees	2011-12-31	$32,961
Value of interest in registered invesment companies (eg mutual funds) at end of year	2011-12-31	$16,743,919
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2011-12-31	$18,039,791
Interest on participant loans	2011-12-31	$7,619
Value of interest in common/collective trusts at end of year	2011-12-31	$9,797,400
Value of interest in common/collective trusts at beginning of year	2011-12-31	$6,905,792
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2011-12-31	$0
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2011-12-31	$362
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2011-12-31	$362
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2011-12-31	$-1,144,256
Net investment gain or loss from common/collective trusts	2011-12-31	$-80,598
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2011-12-31	No
Was there a failure to transmit to the plan any participant contributions	2011-12-31	Yes
Has the plan failed to provide any benefit when due under the plan	2011-12-31	No
Contributions received in cash from employer	2011-12-31	$976,455
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2011-12-31	$1,969,994
Contract administrator fees	2011-12-31	$31,222
Did the plan have assets held for investment	2011-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2011-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2011-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2011-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2011-12-31	Disclaimer
Accountancy firm name	2011-12-31	BUETOW, LEMASTUS AND DICK, PLLC
Accountancy firm EIN	2011-12-31	611315679
2010 : ASSUREDPARTNERS 401(K) PLAN 2010 401k financial data
Total unrealized appreciation/depreciation of assets	2010-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2010-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2010-12-31	$0
Total income from all sources (including contributions)	2010-12-31	$6,547,362
Total loss/gain on sale of assets	2010-12-31	$0
Total of all expenses incurred	2010-12-31	$1,656,260
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2010-12-31	$1,607,236
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2010-12-31	$4,204,496
Value of total assets at end of year	2010-12-31	$25,117,172
Value of total assets at beginning of year	2010-12-31	$20,226,070
Total of administrative expenses incurred including professional, contract, advisory and management fees	2010-12-31	$49,024
Total interest from all sources	2010-12-31	$9,585
Total dividends received (eg from common stock, registered investment company shares)	2010-12-31	$330,192
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2010-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2010-12-31	$330,192
Was this plan covered by a fidelity bond	2010-12-31	Yes
Value of fidelity bond cover	2010-12-31	$500,000
If this is an individual account plan, was there a blackout period	2010-12-31	Yes
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2010-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2010-12-31	No
Contributions received from participants	2010-12-31	$2,532,143
Participant contributions at end of year	2010-12-31	$171,227
Participant contributions at beginning of year	2010-12-31	$175,829
Participant contributions at beginning of year	2010-12-31	$55,978
Income. Received or receivable in cash from other sources (including rollovers)	2010-12-31	$775,475
Administrative expenses (other) incurred	2010-12-31	$1,945
Total non interest bearing cash at beginning of year	2010-12-31	$19,966,708
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2010-12-31	No
Value of net income/loss	2010-12-31	$4,891,102
Value of net assets at end of year (total assets less liabilities)	2010-12-31	$25,117,172
Value of net assets at beginning of year (total assets less liabilities)	2010-12-31	$20,226,070
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2010-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2010-12-31	No
Were any leases to which the plan was party in default or uncollectible	2010-12-31	No
Investment advisory and management fees	2010-12-31	$20,285
Value of interest in registered invesment companies (eg mutual funds) at end of year	2010-12-31	$18,039,791
Interest on participant loans	2010-12-31	$9,585
Value of interest in common/collective trusts at end of year	2010-12-31	$6,905,792
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2010-12-31	$362
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2010-12-31	$1,657,206
Net investment gain or loss from common/collective trusts	2010-12-31	$345,883
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2010-12-31	No
Was there a failure to transmit to the plan any participant contributions	2010-12-31	Yes
Has the plan failed to provide any benefit when due under the plan	2010-12-31	No
Contributions received in cash from employer	2010-12-31	$896,878
Employer contributions (assets) at beginning of year	2010-12-31	$27,555
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2010-12-31	$1,607,236
Contract administrator fees	2010-12-31	$26,794
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	2010-12-31	Yes
Did the plan have assets held for investment	2010-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2010-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2010-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2010-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2010-12-31	Disclaimer
Accountancy firm name	2010-12-31	BUETOW, LEMASTUS AND DICK, PLLC
Accountancy firm EIN	2010-12-31	611315679
2009 : ASSUREDPARTNERS 401(K) PLAN 2009 401k financial data
Funding deficiency by the employer to the plan for this plan year	2009-12-31	$0
Minimum employer required contribution for this plan year	2009-12-31	$0
Amount contributed by the employer to the plan for this plan year	2009-12-31	$0

Form 5500 Responses for ASSUREDPARTNERS 401(K) PLAN

2011: ASSUREDPARTNERS 401(K) PLAN 2011 form 5500 responses
2011-01-01	Type of plan entity	Single employer plan
2011-01-01	Submission has been amended	No
2011-01-01	This submission is the final filing	No
2011-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2011-01-01	Plan is a collectively bargained plan	No
2011-01-01	Plan funding arrangement – Trust	Yes
2011-01-01	Plan benefit arrangement - Trust	Yes
2009: ASSUREDPARTNERS 401(K) PLAN 2009 form 5500 responses
2009-01-01	Type of plan entity	Single employer plan
2009-01-01	Plan funding arrangement – Insurance	Yes
2009-01-01	Plan funding arrangement – Trust	Yes
2009-01-01	Plan benefit arrangement – Insurance	Yes
2009-01-01	Plan benefit arrangement - Trust	Yes
2008: ASSUREDPARTNERS 401(K) PLAN 2008 form 5500 responses
2008-01-01	Type of plan entity	Single employer plan
2008-01-01	Submission has been amended	Yes
2008-01-01	Plan funding arrangement – Insurance	Yes
2008-01-01	Plan funding arrangement – Trust	Yes
2008-01-01	Plan benefit arrangement – Insurance	Yes
2008-01-01	Plan benefit arrangement - Trust	Yes

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Company Name:	ASSUREDPARTNERS CAPITAL, INC.
Employer identification number (EIN):	611391283
NAIC Classification:	524210
NAIC Description:	Insurance Agencies and Brokerages