401k Plan data: RAWLINGS BROKERAGE COMPANY PROFIT SHARING PLAN AND TRUST plan

RAWLINGS BROKERAGE COMPANY PROFIT SHARING PLAN AND TRUST 401k Plan overview

Plan Name	RAWLINGS BROKERAGE COMPANY PROFIT SHARING PLAN AND TRUST
Plan identification number	001

RAWLINGS BROKERAGE COMPANY PROFIT SHARING PLAN AND TRUST Benefits

401k Plan Type

Defined Contribution Pension

Plan Features/Benefits

Profit-sharing
Total participant-directed account plan - Participants have the opportunity to direct the investment of all the assets allocated to their individual accounts, regardless of whether 29 CFR 2550.404c-1 is intended to be met.
Code section 401(k) feature - A cash or deferred arrangement described in Code section 401(k) that is part of a qualified defined contribution plan that provides for an election by employees to defer part of their compensation or receive these amounts in cash.
Code section 401(m) arrangement - Employee contributions are allocated to separate accounts under the plan or employer contributions are based, in whole or in part, on employee deferrals or contribtions to the plan. Not applicable if plan is 401(k) plan with only QNECs and/or QMACs. Also not applicable if Code section 403(b)(1), 403(b)(7) or 408 arrangements/accounts/annuities.
Participant-directed brokerage accounts provided as an investment option under the plan.
Master plan - A pension plan that is made available by a sponsor for adoption by employers; that is the subject of a favorable opinion letter; and for which a single funding medium (for example, a trust or custodial account) is established for the joint use of all adopting employers.

401k Sponsoring company profile

RAWLINGS BROKERAGE CO has sponsored the creation of one or more 401k plans.

Company Name: RAWLINGS BROKERAGE CO

Employer identification number (EIN): 640627799

NAIC Classification: 523130
NAIC Description: Commodity Contracts Dealing

Form 5500 Filing Information

Submission information for form 5500 for 401k plan RAWLINGS BROKERAGE COMPANY PROFIT SHARING PLAN AND TRUST

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2023-07-01 KENNON SINGLEY 2024-09-23 KENNON SINGLEY 2024-09-23
001 2022-07-01 KENNON SINGLEY 2023-12-31 KENNON SINGLEY 2023-12-31
001 2021-07-01 KENNON SINGLEY 2022-12-02
001 2020-07-01 KENNON SINGLEY 2021-09-28 KENNON SINGLEY 2021-09-28
001 2019-07-01 KENNON SINGLEY 2020-09-09 KENNON SINGLEY 2020-09-09
001 2017-07-01 KENNON SINGLEY 2018-10-08 KENNON SINGLEY 2018-10-08
001 2016-07-01 JAMES W RAWLINGS JAMES W RAWLINGS 2017-09-12
001 2015-07-01 JAMES W RAWLINGS JAMES W RAWLINGS 2016-10-15
001 2014-07-01 JAMES W RAWLINGS JAMES W RAWLINGS 2015-09-10
001 2013-07-01 JAMES W RAWLINGS JAMES W RAWLINGS 2014-09-02
001 2012-07-01 JAMES W RAWLINGS JAMES W RAWLINGS 2013-08-21
001 2011-07-01 JAMES W RAWLINGS 2012-08-16 JAMES W RAWLINGS 2012-08-16

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed	Name of Company Sponsor	Date Sponsor Signed
001	2023-07-01	KENNON SINGLEY	2024-09-23	KENNON SINGLEY	2024-09-23
001	2022-07-01	KENNON SINGLEY	2023-12-31	KENNON SINGLEY	2023-12-31
001	2021-07-01	KENNON SINGLEY	2022-12-02
001	2020-07-01	KENNON SINGLEY	2021-09-28	KENNON SINGLEY	2021-09-28
001	2019-07-01	KENNON SINGLEY	2020-09-09	KENNON SINGLEY	2020-09-09
001	2017-07-01	KENNON SINGLEY	2018-10-08	KENNON SINGLEY	2018-10-08
001	2016-07-01	JAMES W RAWLINGS		JAMES W RAWLINGS	2017-09-12
001	2015-07-01	JAMES W RAWLINGS		JAMES W RAWLINGS	2016-10-15
001	2014-07-01	JAMES W RAWLINGS		JAMES W RAWLINGS	2015-09-10
001	2013-07-01	JAMES W RAWLINGS		JAMES W RAWLINGS	2014-09-02
001	2012-07-01	JAMES W RAWLINGS		JAMES W RAWLINGS	2013-08-21
001	2011-07-01	JAMES W RAWLINGS	2012-08-16	JAMES W RAWLINGS	2012-08-16

Plan Statistics for RAWLINGS BROKERAGE COMPANY PROFIT SHARING PLAN AND TRUST

401k plan membership statisitcs for RAWLINGS BROKERAGE COMPANY PROFIT SHARING PLAN AND TRUST

Measure Date Value
2025: RAWLINGS BROKERAGE COMPANY PROFIT SHARING PLAN AND TRUST 2025 401k membership
Total number of particpants at beginning of year 2025-11-17 6
Total number of particpants at end of year 2025-11-17 5
2024: RAWLINGS BROKERAGE COMPANY PROFIT SHARING PLAN AND TRUST 2024 401k membership
Total number of particpants at beginning of year 2024-09-26 5
Total number of particpants at end of year 2024-09-26 6
2023: RAWLINGS BROKERAGE COMPANY PROFIT SHARING PLAN AND TRUST 2023 401k membership
Total number of particpants at beginning of year 2023-01-23 5
Total number of particpants at end of year 2023-01-23 5
2016: RAWLINGS BROKERAGE COMPANY PROFIT SHARING PLAN AND TRUST 2016 401k membership
Total participants, beginning-of-year 2016-07-01 5
Total number of active participants reported on line 7a of the Form 5500 2016-07-01 4
Number of retired or separated participants receiving benefits 2016-07-01 0
Number of other retired or separated participants entitled to future benefits 2016-07-01 0
Total of all active and inactive participants 2016-07-01 4
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2016-07-01 0
Total participants 2016-07-01 4
Number of participants with account balances 2016-07-01 4
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2016-07-01 1
2015: RAWLINGS BROKERAGE COMPANY PROFIT SHARING PLAN AND TRUST 2015 401k membership
Total participants, beginning-of-year 2015-07-01 5
Total number of active participants reported on line 7a of the Form 5500 2015-07-01 5
Number of retired or separated participants receiving benefits 2015-07-01 0
Number of other retired or separated participants entitled to future benefits 2015-07-01 0
Total of all active and inactive participants 2015-07-01 5
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2015-07-01 0
Total participants 2015-07-01 5
Number of participants with account balances 2015-07-01 5
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2015-07-01 5
2014: RAWLINGS BROKERAGE COMPANY PROFIT SHARING PLAN AND TRUST 2014 401k membership
Total participants, beginning-of-year 2014-07-01 5
Total number of active participants reported on line 7a of the Form 5500 2014-07-01 5
Number of retired or separated participants receiving benefits 2014-07-01 0
Number of other retired or separated participants entitled to future benefits 2014-07-01 0
Total of all active and inactive participants 2014-07-01 5
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2014-07-01 0
Total participants 2014-07-01 5
Number of participants with account balances 2014-07-01 5
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2014-07-01 0
2013: RAWLINGS BROKERAGE COMPANY PROFIT SHARING PLAN AND TRUST 2013 401k membership
Total participants, beginning-of-year 2013-07-01 5
Total number of active participants reported on line 7a of the Form 5500 2013-07-01 5
Number of retired or separated participants receiving benefits 2013-07-01 0
Number of other retired or separated participants entitled to future benefits 2013-07-01 0
Total of all active and inactive participants 2013-07-01 5
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2013-07-01 0
Total participants 2013-07-01 5
Number of participants with account balances 2013-07-01 5
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2013-07-01 5
2012: RAWLINGS BROKERAGE COMPANY PROFIT SHARING PLAN AND TRUST 2012 401k membership
Total participants, beginning-of-year 2012-07-01 5
Total number of active participants reported on line 7a of the Form 5500 2012-07-01 5
Number of retired or separated participants receiving benefits 2012-07-01 0
Number of other retired or separated participants entitled to future benefits 2012-07-01 0
Total of all active and inactive participants 2012-07-01 5
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2012-07-01 0
Total participants 2012-07-01 5
Number of participants with account balances 2012-07-01 5
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2012-07-01 0

Measure	Date	Value
2025: RAWLINGS BROKERAGE COMPANY PROFIT SHARING PLAN AND TRUST 2025 401k membership
Total number of particpants at beginning of year	2025-11-17	6
Total number of particpants at end of year	2025-11-17	5
2024: RAWLINGS BROKERAGE COMPANY PROFIT SHARING PLAN AND TRUST 2024 401k membership
Total number of particpants at beginning of year	2024-09-26	5
Total number of particpants at end of year	2024-09-26	6
2023: RAWLINGS BROKERAGE COMPANY PROFIT SHARING PLAN AND TRUST 2023 401k membership
Total number of particpants at beginning of year	2023-01-23	5
Total number of particpants at end of year	2023-01-23	5
2016: RAWLINGS BROKERAGE COMPANY PROFIT SHARING PLAN AND TRUST 2016 401k membership
Total participants, beginning-of-year	2016-07-01	5
Total number of active participants reported on line 7a of the Form 5500	2016-07-01	4
Number of retired or separated participants receiving benefits	2016-07-01	0
Number of other retired or separated participants entitled to future benefits	2016-07-01	0
Total of all active and inactive participants	2016-07-01	4
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2016-07-01	0
Total participants	2016-07-01	4
Number of participants with account balances	2016-07-01	4
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2016-07-01	1
2015: RAWLINGS BROKERAGE COMPANY PROFIT SHARING PLAN AND TRUST 2015 401k membership
Total participants, beginning-of-year	2015-07-01	5
Total number of active participants reported on line 7a of the Form 5500	2015-07-01	5
Number of retired or separated participants receiving benefits	2015-07-01	0
Number of other retired or separated participants entitled to future benefits	2015-07-01	0
Total of all active and inactive participants	2015-07-01	5
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2015-07-01	0
Total participants	2015-07-01	5
Number of participants with account balances	2015-07-01	5
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2015-07-01	5
2014: RAWLINGS BROKERAGE COMPANY PROFIT SHARING PLAN AND TRUST 2014 401k membership
Total participants, beginning-of-year	2014-07-01	5
Total number of active participants reported on line 7a of the Form 5500	2014-07-01	5
Number of retired or separated participants receiving benefits	2014-07-01	0
Number of other retired or separated participants entitled to future benefits	2014-07-01	0
Total of all active and inactive participants	2014-07-01	5
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2014-07-01	0
Total participants	2014-07-01	5
Number of participants with account balances	2014-07-01	5
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2014-07-01	0
2013: RAWLINGS BROKERAGE COMPANY PROFIT SHARING PLAN AND TRUST 2013 401k membership
Total participants, beginning-of-year	2013-07-01	5
Total number of active participants reported on line 7a of the Form 5500	2013-07-01	5
Number of retired or separated participants receiving benefits	2013-07-01	0
Number of other retired or separated participants entitled to future benefits	2013-07-01	0
Total of all active and inactive participants	2013-07-01	5
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2013-07-01	0
Total participants	2013-07-01	5
Number of participants with account balances	2013-07-01	5
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2013-07-01	5
2012: RAWLINGS BROKERAGE COMPANY PROFIT SHARING PLAN AND TRUST 2012 401k membership
Total participants, beginning-of-year	2012-07-01	5
Total number of active participants reported on line 7a of the Form 5500	2012-07-01	5
Number of retired or separated participants receiving benefits	2012-07-01	0
Number of other retired or separated participants entitled to future benefits	2012-07-01	0
Total of all active and inactive participants	2012-07-01	5
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2012-07-01	0
Total participants	2012-07-01	5
Number of participants with account balances	2012-07-01	5
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2012-07-01	0

Financial Data on RAWLINGS BROKERAGE COMPANY PROFIT SHARING PLAN AND TRUST

Measure	Date	Value
2025 : RAWLINGS BROKERAGE COMPANY PROFIT SHARING PLAN AND TRUST 2025 401k financial data
Total expenses incurred by plan in this plan year	2025-11-17	174780
Net assets as of the end of the plan year	2025-11-17	3042186
Total assets as of the beginning of the plan year	2025-11-17	2779132
Participant contributions to plan in this plan year	2025-11-17	17872
Other expenses paid from plan in this plan year	2025-11-17	200
Other income to plan in this plan year	2025-11-17	405340
Plan net income in this plan year	2025-11-17	263054
Net assets as of the end of the plan year	2025-11-17	3042186
Net assets as of the beginning of the plan year	2025-11-17	2779132
Employer contributions to plan in this plan year	2025-11-17	14622
2024 : RAWLINGS BROKERAGE COMPANY PROFIT SHARING PLAN AND TRUST 2024 401k financial data
Total expenses incurred by plan in this plan year	2024-09-26	135050
Net assets as of the end of the plan year	2024-09-26	2779132
Total assets as of the beginning of the plan year	2024-09-26	2525604
Participant contributions to plan in this plan year	2024-09-26	17625
Other income to plan in this plan year	2024-09-26	357633
Plan net income in this plan year	2024-09-26	253528
Net assets as of the end of the plan year	2024-09-26	2779132
Net assets as of the beginning of the plan year	2024-09-26	2525604
Employer contributions to plan in this plan year	2024-09-26	13320
2023 : RAWLINGS BROKERAGE COMPANY PROFIT SHARING PLAN AND TRUST 2023 401k financial data
Total expenses incurred by plan in this plan year	2023-01-23	165262
Net assets as of the end of the plan year	2023-01-23	2381663
Total assets as of the beginning of the plan year	2023-01-23	2878719
Value of plan covered by a fidelity bond	2023-01-23	500000
Participant contributions to plan in this plan year	2023-01-23	14328
Other income to plan in this plan year	2023-01-23	-375780
Plan net income in this plan year	2023-01-23	-497056
Net assets as of the end of the plan year	2023-01-23	2381663
Net assets as of the beginning of the plan year	2023-01-23	2878719
Employer contributions to plan in this plan year	2023-01-23	29658
2017 : RAWLINGS BROKERAGE COMPANY PROFIT SHARING PLAN AND TRUST 2017 401k financial data
Total income from all sources	2017-06-30	$384,557
Expenses. Total of all expenses incurred	2017-06-30	$126,367
Benefits paid (including direct rollovers)	2017-06-30	$126,367
Total plan assets at end of year	2017-06-30	$2,604,297
Total plan assets at beginning of year	2017-06-30	$2,346,107
Total contributions received or receivable from participants	2017-06-30	$22,661
Other income received	2017-06-30	$300,379
Net income (gross income less expenses)	2017-06-30	$258,190
Net plan assets at end of year (total assets less liabilities)	2017-06-30	$2,604,297
Net plan assets at beginning of year (total assets less liabilities)	2017-06-30	$2,346,107
Total contributions received or receivable from employer(s)	2017-06-30	$61,517
2016 : RAWLINGS BROKERAGE COMPANY PROFIT SHARING PLAN AND TRUST 2016 401k financial data
Total income from all sources	2016-06-30	$101,016
Total plan assets at end of year	2016-06-30	$2,346,107
Total plan assets at beginning of year	2016-06-30	$2,245,091
Total contributions received or receivable from participants	2016-06-30	$43,478
Other income received	2016-06-30	$1,446
Net income (gross income less expenses)	2016-06-30	$101,016
Net plan assets at end of year (total assets less liabilities)	2016-06-30	$2,346,107
Net plan assets at beginning of year (total assets less liabilities)	2016-06-30	$2,245,091
Total contributions received or receivable from employer(s)	2016-06-30	$56,092
2015 : RAWLINGS BROKERAGE COMPANY PROFIT SHARING PLAN AND TRUST 2015 401k financial data
Total income from all sources	2015-06-30	$160,939
Total plan assets at end of year	2015-06-30	$2,245,091
Total plan assets at beginning of year	2015-06-30	$2,084,152
Total contributions received or receivable from participants	2015-06-30	$23,248
Other income received	2015-06-30	$72,937
Net income (gross income less expenses)	2015-06-30	$160,939
Net plan assets at end of year (total assets less liabilities)	2015-06-30	$2,245,091
Net plan assets at beginning of year (total assets less liabilities)	2015-06-30	$2,084,152
Total contributions received or receivable from employer(s)	2015-06-30	$64,754
2014 : RAWLINGS BROKERAGE COMPANY PROFIT SHARING PLAN AND TRUST 2014 401k financial data
Total income from all sources	2014-06-30	$310,143
Total plan assets at end of year	2014-06-30	$2,084,152
Total plan assets at beginning of year	2014-06-30	$1,774,009
Total contributions received or receivable from participants	2014-06-30	$20,910
Other income received	2014-06-30	$229,983
Net income (gross income less expenses)	2014-06-30	$310,143
Net plan assets at end of year (total assets less liabilities)	2014-06-30	$2,084,152
Net plan assets at beginning of year (total assets less liabilities)	2014-06-30	$1,774,009
Total contributions received or receivable from employer(s)	2014-06-30	$59,250
2013 : RAWLINGS BROKERAGE COMPANY PROFIT SHARING PLAN AND TRUST 2013 401k financial data
Total income from all sources	2013-06-30	$141,133
Total plan assets at end of year	2013-06-30	$1,774,009
Total plan assets at beginning of year	2013-06-30	$1,632,876
Total contributions received or receivable from participants	2013-06-30	$13,247
Other income received	2013-06-30	$76,570
Net income (gross income less expenses)	2013-06-30	$141,133
Net plan assets at end of year (total assets less liabilities)	2013-06-30	$1,774,009
Net plan assets at beginning of year (total assets less liabilities)	2013-06-30	$1,632,876
Total contributions received or receivable from employer(s)	2013-06-30	$51,316

Form 5500 Responses for RAWLINGS BROKERAGE COMPANY PROFIT SHARING PLAN AND TRUST

2016: RAWLINGS BROKERAGE COMPANY PROFIT SHARING PLAN AND TRUST 2016 form 5500 responses
2016-07-01	Type of plan entity	Single employer plan
2016-07-01	Plan funding arrangement – Insurance	Yes
2016-07-01	Plan funding arrangement – Trust	Yes
2016-07-01	Plan benefit arrangement – Insurance	Yes
2016-07-01	Plan benefit arrangement - Trust	Yes
2015: RAWLINGS BROKERAGE COMPANY PROFIT SHARING PLAN AND TRUST 2015 form 5500 responses
2015-07-01	Type of plan entity	Single employer plan
2015-07-01	Plan funding arrangement – Insurance	Yes
2015-07-01	Plan funding arrangement – Trust	Yes
2015-07-01	Plan benefit arrangement – Insurance	Yes
2015-07-01	Plan benefit arrangement - Trust	Yes
2014: RAWLINGS BROKERAGE COMPANY PROFIT SHARING PLAN AND TRUST 2014 form 5500 responses
2014-07-01	Type of plan entity	Single employer plan
2014-07-01	Plan funding arrangement – Insurance	Yes
2014-07-01	Plan funding arrangement – Trust	Yes
2014-07-01	Plan benefit arrangement – Insurance	Yes
2014-07-01	Plan benefit arrangement - Trust	Yes
2013: RAWLINGS BROKERAGE COMPANY PROFIT SHARING PLAN AND TRUST 2013 form 5500 responses
2013-07-01	Type of plan entity	Single employer plan
2013-07-01	Plan funding arrangement – Insurance	Yes
2013-07-01	Plan funding arrangement – Trust	Yes
2013-07-01	Plan benefit arrangement – Insurance	Yes
2013-07-01	Plan benefit arrangement - Trust	Yes
2012: RAWLINGS BROKERAGE COMPANY PROFIT SHARING PLAN AND TRUST 2012 form 5500 responses
2012-07-01	Type of plan entity	Single employer plan
2012-07-01	Plan funding arrangement – Insurance	Yes
2012-07-01	Plan funding arrangement – Trust	Yes
2012-07-01	Plan benefit arrangement – Insurance	Yes
2012-07-01	Plan benefit arrangement - Trust	Yes

Insurance Providers Used on plan

PRINCIPAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 61271 )
Policy contract number	458612
Policy instance	1
PRINCIPAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 61271 )
Policy contract number	458612
Policy instance	1
PRINCIPAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 61271 )
Policy contract number	458612
Policy instance	1
PRINCIPAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 61271 )
Policy contract number	458612
Policy instance	1

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Company Name:	RAWLINGS BROKERAGE CO
Employer identification number (EIN):	640627799
NAIC Classification:	523130
NAIC Description:	Commodity Contracts Dealing