401k Plan data: AXA ROSENBERG GROUP, LLC MONEY PURCHASE PENSION PLAN plan

AXA ROSENBERG GROUP, LLC MONEY PURCHASE PENSION PLAN 401k Plan overview

Plan Name	AXA ROSENBERG GROUP, LLC MONEY PURCHASE PENSION PLAN
Plan identification number	001

AXA ROSENBERG GROUP, LLC MONEY PURCHASE PENSION PLAN Benefits

401k Plan Type

Defined Contribution Pension

Plan Features/Benefits

Money purchase (other than target benefit)
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.
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

AXA ROSENBERG GROUP, LLC has sponsored the creation of one or more 401k plans.

Company Name: AXA ROSENBERG GROUP, LLC

Employer identification number (EIN): 680422640

NAIC Classification: 523900

Additional information about AXA ROSENBERG GROUP, LLC

Jurisdiction of Incorporation: State of Delaware Division of Corporations

Incorporation Date:

Company Identification Number: 2966619

More information about AXA ROSENBERG GROUP, LLC

Form 5500 Filing Information

Submission information for form 5500 for 401k plan AXA ROSENBERG GROUP, LLC MONEY PURCHASE PENSION PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2013-01-01 HEIDI RIDLEY
001 2012-01-01 HEIDI RIDLEY
001 2011-01-01 HEIDI RIDLEY
001 2010-01-01 HEIDI RIDLEY
001 2009-01-01 MARTHA CLARK MARTHA CLARK 2011-03-31
001 2009-01-01 MARTHA CLARK MARTHA CLARK 2010-10-14

Plan id#	Filing Submission Date	Name of Administrator	Name of Company Sponsor	Date Sponsor Signed
001	2013-01-01	HEIDI RIDLEY
001	2012-01-01	HEIDI RIDLEY
001	2011-01-01	HEIDI RIDLEY
001	2010-01-01	HEIDI RIDLEY
001	2009-01-01	MARTHA CLARK	MARTHA CLARK	2011-03-31
001	2009-01-01	MARTHA CLARK	MARTHA CLARK	2010-10-14

Plan Statistics for AXA ROSENBERG GROUP, LLC MONEY PURCHASE PENSION PLAN

401k plan membership statisitcs for AXA ROSENBERG GROUP, LLC MONEY PURCHASE PENSION PLAN

Measure Date Value
2013: AXA ROSENBERG GROUP, LLC MONEY PURCHASE PENSION PLAN 2013 401k membership
Total participants, beginning-of-year 2013-01-01 175
Total number of active participants reported on line 7a of the Form 5500 2013-01-01 0
Number of retired or separated participants receiving benefits 2013-01-01 0
Number of other retired or separated participants entitled to future benefits 2013-01-01 0
Total of all active and inactive participants 2013-01-01 0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2013-01-01 0
Total participants 2013-01-01 0
Number of participants with account balances 2013-01-01 0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2013-01-01 0
2012: AXA ROSENBERG GROUP, LLC MONEY PURCHASE PENSION PLAN 2012 401k membership
Total participants, beginning-of-year 2012-01-01 183
Total number of active participants reported on line 7a of the Form 5500 2012-01-01 85
Number of retired or separated participants receiving benefits 2012-01-01 0
Number of other retired or separated participants entitled to future benefits 2012-01-01 89
Total of all active and inactive participants 2012-01-01 174
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2012-01-01 1
Total participants 2012-01-01 175
Number of participants with account balances 2012-01-01 168
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2012-01-01 2
2011: AXA ROSENBERG GROUP, LLC MONEY PURCHASE PENSION PLAN 2011 401k membership
Total participants, beginning-of-year 2011-01-01 206
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 92
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 90
Total of all active and inactive participants 2011-01-01 182
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-01-01 1
Total participants 2011-01-01 183
Number of participants with account balances 2011-01-01 176
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-01-01 1
2010: AXA ROSENBERG GROUP, LLC MONEY PURCHASE PENSION PLAN 2010 401k membership
Total participants, beginning-of-year 2010-01-01 229
Total number of active participants reported on line 7a of the Form 5500 2010-01-01 118
Number of retired or separated participants receiving benefits 2010-01-01 0
Number of other retired or separated participants entitled to future benefits 2010-01-01 88
Total of all active and inactive participants 2010-01-01 206
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2010-01-01 0
Total participants 2010-01-01 206
Number of participants with account balances 2010-01-01 198
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2010-01-01 3
2009: AXA ROSENBERG GROUP, LLC MONEY PURCHASE PENSION PLAN 2009 401k membership
Total participants, beginning-of-year 2009-01-01 240
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 191
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 38
Total of all active and inactive participants 2009-01-01 229
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-01-01 0
Total participants 2009-01-01 229
Number of participants with account balances 2009-01-01 229
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-01-01 1

Measure	Date	Value
2013: AXA ROSENBERG GROUP, LLC MONEY PURCHASE PENSION PLAN 2013 401k membership
Total participants, beginning-of-year	2013-01-01	175
Total number of active participants reported on line 7a of the Form 5500	2013-01-01	0
Number of retired or separated participants receiving benefits	2013-01-01	0
Number of other retired or separated participants entitled to future benefits	2013-01-01	0
Total of all active and inactive participants	2013-01-01	0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2013-01-01	0
Total participants	2013-01-01	0
Number of participants with account balances	2013-01-01	0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2013-01-01	0
2012: AXA ROSENBERG GROUP, LLC MONEY PURCHASE PENSION PLAN 2012 401k membership
Total participants, beginning-of-year	2012-01-01	183
Total number of active participants reported on line 7a of the Form 5500	2012-01-01	85
Number of retired or separated participants receiving benefits	2012-01-01	0
Number of other retired or separated participants entitled to future benefits	2012-01-01	89
Total of all active and inactive participants	2012-01-01	174
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2012-01-01	1
Total participants	2012-01-01	175
Number of participants with account balances	2012-01-01	168
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2012-01-01	2
2011: AXA ROSENBERG GROUP, LLC MONEY PURCHASE PENSION PLAN 2011 401k membership
Total participants, beginning-of-year	2011-01-01	206
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	92
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	90
Total of all active and inactive participants	2011-01-01	182
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-01-01	1
Total participants	2011-01-01	183
Number of participants with account balances	2011-01-01	176
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-01-01	1
2010: AXA ROSENBERG GROUP, LLC MONEY PURCHASE PENSION PLAN 2010 401k membership
Total participants, beginning-of-year	2010-01-01	229
Total number of active participants reported on line 7a of the Form 5500	2010-01-01	118
Number of retired or separated participants receiving benefits	2010-01-01	0
Number of other retired or separated participants entitled to future benefits	2010-01-01	88
Total of all active and inactive participants	2010-01-01	206
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2010-01-01	0
Total participants	2010-01-01	206
Number of participants with account balances	2010-01-01	198
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2010-01-01	3
2009: AXA ROSENBERG GROUP, LLC MONEY PURCHASE PENSION PLAN 2009 401k membership
Total participants, beginning-of-year	2009-01-01	240
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	191
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	38
Total of all active and inactive participants	2009-01-01	229
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-01-01	0
Total participants	2009-01-01	229
Number of participants with account balances	2009-01-01	229
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-01-01	1

Financial Data on AXA ROSENBERG GROUP, LLC MONEY PURCHASE PENSION PLAN

Measure	Date	Value
2013 : AXA ROSENBERG GROUP, LLC MONEY PURCHASE PENSION PLAN 2013 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets	2013-12-31	$0
Total unrealized appreciation/depreciation of assets	2013-12-31	$0
Total transfer of assets to this plan	2013-12-31	$0
Total transfer of assets from this plan	2013-12-31	$37,143,904
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2013-12-31	$37,143,904
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	$7,069,304
Total loss/gain on sale of assets	2013-12-31	$0
Total of all expenses incurred	2013-12-31	$4,329,115
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2013-12-31	$4,329,115
Expenses. Certain deemed distributions of participant loans	2013-12-31	$0
Value of total corrective distributions	2013-12-31	$0
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2013-12-31	$0
Value of total assets at end of year	2013-12-31	$37,143,904
Value of total assets at beginning of year	2013-12-31	$34,403,715
Total of administrative expenses incurred including professional, contract, advisory and management fees	2013-12-31	$0
Total interest from all sources	2013-12-31	$2,692
Total dividends received (eg from common stock, registered investment company shares)	2013-12-31	$708,778
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2013-12-31	Yes
Value of any plan assets that reverted to the employer resulting from resoluton to terminate the plan	2013-12-31	$0
Total dividends received from registered investment company shares (eg mutual funds)	2013-12-31	$708,778
Administrative expenses professional fees incurred	2013-12-31	$0
Was this plan covered by a fidelity bond	2013-12-31	Yes
Value of fidelity bond cover	2013-12-31	$5,000,000
If this is an individual account plan, was there a blackout period	2013-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2013-12-31	$0
Funding deficiency by the employer to the plan for this plan year	2013-12-31	$0
Minimum employer required contribution for this plan year	2013-12-31	$0
Amount contributed by the employer to the plan for this plan year	2013-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2013-12-31	No
Contributions received from participants	2013-12-31	$0
Assets. Other investments not covered elsewhere at end of year	2013-12-31	$2,280,872
Assets. Other investments not covered elsewhere at beginning of year	2013-12-31	$3,142,084
Income. Received or receivable in cash from other sources (including rollovers)	2013-12-31	$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2013-12-31	$37,143,904
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2013-12-31	$0
Other income not declared elsewhere	2013-12-31	$395,159
Administrative expenses (other) incurred	2013-12-31	$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2013-12-31	No
Value of net income/loss	2013-12-31	$2,740,189
Value of net assets at end of year (total assets less liabilities)	2013-12-31	$0
Value of net assets at beginning of year (total assets less liabilities)	2013-12-31	$34,403,715
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2013-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2013-12-31	No
Were any leases to which the plan was party in default or uncollectible	2013-12-31	No
Investment advisory and management fees	2013-12-31	$0
Value of interest in registered invesment companies (eg mutual funds) at end of year	2013-12-31	$27,617,041
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2013-12-31	$27,006,240
Interest on participant loans	2013-12-31	$0
Income. Interest from US Government securities	2013-12-31	$0
Income. Interest from corporate debt instruments	2013-12-31	$0
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2013-12-31	$7,245,991
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2013-12-31	$2,760,010
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2013-12-31	$2,760,010
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2013-12-31	$2,692
Expenses. Payments to insurance carriers foe the provision of benefits	2013-12-31	$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2013-12-31	$5,962,675
Net investment gain/loss from pooled separate accounts	2013-12-31	$0
Net investment gain or loss from common/collective trusts	2013-12-31	$0
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2013-12-31	No
Was there a failure to transmit to the plan any participant contributions	2013-12-31	No
Has the plan failed to provide any benefit when due under the plan	2013-12-31	No
Contributions received in cash from employer	2013-12-31	$0
Employer contributions (assets) at end of year	2013-12-31	$0
Employer contributions (assets) at beginning of year	2013-12-31	$1,495,381
Income. Dividends from preferred stock	2013-12-31	$0
Income. Dividends from common stock	2013-12-31	$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2013-12-31	$4,329,115
Did the plan have assets held for investment	2013-12-31	No
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2013-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2013-12-31	Yes
Aggregate proceeds on sale of assets	2013-12-31	$0
Aggregate carrying amount (costs) on sale of assets	2013-12-31	$0
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2013-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2013-12-31	Disclaimer
Accountancy firm name	2013-12-31	SHEA LABAGH DOBBERSTEIN
Accountancy firm EIN	2013-12-31	942290202
2012 : AXA ROSENBERG GROUP, LLC MONEY PURCHASE PENSION PLAN 2012 401k financial data
Total unrealized appreciation/depreciation of assets	2012-12-31	$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	$5,640,046
Total loss/gain on sale of assets	2012-12-31	$0
Total of all expenses incurred	2012-12-31	$2,176,766
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2012-12-31	$2,176,266
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2012-12-31	$1,495,381
Value of total assets at end of year	2012-12-31	$34,403,715
Value of total assets at beginning of year	2012-12-31	$30,940,435
Total of administrative expenses incurred including professional, contract, advisory and management fees	2012-12-31	$500
Total interest from all sources	2012-12-31	$1,317
Total dividends received (eg from common stock, registered investment company shares)	2012-12-31	$562,572
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2012-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2012-12-31	$562,572
Was this plan covered by a fidelity bond	2012-12-31	Yes
Value of fidelity bond cover	2012-12-31	$5,000,000
If this is an individual account plan, was there a blackout period	2012-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2012-12-31	$0
Funding deficiency by the employer to the plan for this plan year	2012-12-31	$0
Minimum employer required contribution for this plan year	2012-12-31	$1,495,381
Amount contributed by the employer to the plan for this plan year	2012-12-31	$1,495,381
Were there any nonexempt tranactions with any party-in-interest	2012-12-31	No
Assets. Other investments not covered elsewhere at end of year	2012-12-31	$3,142,084
Assets. Other investments not covered elsewhere at beginning of year	2012-12-31	$3,798,118
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2012-12-31	$1,169
Other income not declared elsewhere	2012-12-31	$302,460
Administrative expenses (other) incurred	2012-12-31	$500
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2012-12-31	No
Value of net income/loss	2012-12-31	$3,463,280
Value of net assets at end of year (total assets less liabilities)	2012-12-31	$34,403,715
Value of net assets at beginning of year (total assets less liabilities)	2012-12-31	$30,940,435
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2012-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2012-12-31	No
Were any leases to which the plan was party in default or uncollectible	2012-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2012-12-31	$27,006,240
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2012-12-31	$19,525,314
Value of interest in common/collective trusts at beginning of year	2012-12-31	$2,976,584
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2012-12-31	$2,760,010
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2012-12-31	$2,923,534
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2012-12-31	$2,923,534
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2012-12-31	$1,317
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2012-12-31	$3,246,430
Net investment gain or loss from common/collective trusts	2012-12-31	$31,886
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2012-12-31	No
Was there a failure to transmit to the plan any participant contributions	2012-12-31	No
Has the plan failed to provide any benefit when due under the plan	2012-12-31	No
Contributions received in cash from employer	2012-12-31	$1,495,381
Employer contributions (assets) at end of year	2012-12-31	$1,495,381
Employer contributions (assets) at beginning of year	2012-12-31	$1,715,716
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2012-12-31	$2,176,266
Did the plan have assets held for investment	2012-12-31	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	2012-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2012-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2012-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2012-12-31	Disclaimer
Accountancy firm name	2012-12-31	SHEA LABAGH DOBBERSTEIN
Accountancy firm EIN	2012-12-31	942290202
2011 : AXA ROSENBERG GROUP, LLC MONEY PURCHASE PENSION 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	$569,269
Total loss/gain on sale of assets	2011-12-31	$0
Total of all expenses incurred	2011-12-31	$6,135,178
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2011-12-31	$6,125,923
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2011-12-31	$1,715,716
Value of total assets at end of year	2011-12-31	$30,940,435
Value of total assets at beginning of year	2011-12-31	$36,506,344
Total of administrative expenses incurred including professional, contract, advisory and management fees	2011-12-31	$9,255
Total interest from all sources	2011-12-31	$298
Total dividends received (eg from common stock, registered investment company shares)	2011-12-31	$334,490
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	$334,490
Administrative expenses professional fees incurred	2011-12-31	$255
Was this plan covered by a fidelity bond	2011-12-31	Yes
Value of fidelity bond cover	2011-12-31	$5,000,000
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
Funding deficiency by the employer to the plan for this plan year	2011-12-31	$0
Minimum employer required contribution for this plan year	2011-12-31	$1,715,716
Amount contributed by the employer to the plan for this plan year	2011-12-31	$1,715,716
Were there any nonexempt tranactions with any party-in-interest	2011-12-31	No
Assets. Other investments not covered elsewhere at end of year	2011-12-31	$3,798,118
Assets. Other investments not covered elsewhere at beginning of year	2011-12-31	$3,552,363
Value of other receiveables (less allowance for doubtful accounts) at end of year	2011-12-31	$1,169
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2011-12-31	$2,408
Other income not declared elsewhere	2011-12-31	$-161,078
Administrative expenses (other) incurred	2011-12-31	$1,000
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	$-5,565,909
Value of net assets at end of year (total assets less liabilities)	2011-12-31	$30,940,435
Value of net assets at beginning of year (total assets less liabilities)	2011-12-31	$36,506,344
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
Assets. partnership/joint venture interests at beginning of year	2011-12-31	$20,140
Investment advisory and management fees	2011-12-31	$8,000
Value of interest in registered invesment companies (eg mutual funds) at end of year	2011-12-31	$19,525,314
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2011-12-31	$24,403,717
Value of interest in common/collective trusts at end of year	2011-12-31	$2,976,584
Value of interest in common/collective trusts at beginning of year	2011-12-31	$3,284,471
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2011-12-31	$2,923,534
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2011-12-31	$2,910,621
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2011-12-31	$2,910,621
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2011-12-31	$298
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2011-12-31	$-1,204,429
Net investment gain or loss from common/collective trusts	2011-12-31	$-115,728
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	No
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	$1,715,716
Employer contributions (assets) at end of year	2011-12-31	$1,715,716
Employer contributions (assets) at beginning of year	2011-12-31	$2,332,624
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2011-12-31	$6,125,923
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	SHEA LABAGH DOBBERSTEIN
Accountancy firm EIN	2011-12-31	942290202
2010 : AXA ROSENBERG GROUP, LLC MONEY PURCHASE PENSION 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	$7,794,864
Total loss/gain on sale of assets	2010-12-31	$0
Total of all expenses incurred	2010-12-31	$2,445,770
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2010-12-31	$2,445,270
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2010-12-31	$2,332,624
Value of total assets at end of year	2010-12-31	$36,506,344
Value of total assets at beginning of year	2010-12-31	$31,157,250
Total of administrative expenses incurred including professional, contract, advisory and management fees	2010-12-31	$500
Total interest from all sources	2010-12-31	$267
Total dividends received (eg from common stock, registered investment company shares)	2010-12-31	$298,146
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	$298,146
Was this plan covered by a fidelity bond	2010-12-31	Yes
Value of fidelity bond cover	2010-12-31	$5,000,000
If this is an individual account plan, was there a blackout period	2010-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2010-12-31	$0
Funding deficiency by the employer to the plan for this plan year	2010-12-31	$0
Minimum employer required contribution for this plan year	2010-12-31	$2,332,624
Amount contributed by the employer to the plan for this plan year	2010-12-31	$2,332,624
Were there any nonexempt tranactions with any party-in-interest	2010-12-31	No
Assets. Other investments not covered elsewhere at end of year	2010-12-31	$3,552,363
Assets. Other investments not covered elsewhere at beginning of year	2010-12-31	$1,063,995
Value of other receiveables (less allowance for doubtful accounts) at end of year	2010-12-31	$2,408
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2010-12-31	$1,060
Other income not declared elsewhere	2010-12-31	$393,248
Administrative expenses (other) incurred	2010-12-31	$500
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	$5,349,094
Value of net assets at end of year (total assets less liabilities)	2010-12-31	$36,506,344
Value of net assets at beginning of year (total assets less liabilities)	2010-12-31	$31,157,250
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
Assets. partnership/joint venture interests at end of year	2010-12-31	$20,140
Assets. partnership/joint venture interests at beginning of year	2010-12-31	$10,590
Value of interest in registered invesment companies (eg mutual funds) at end of year	2010-12-31	$24,403,717
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2010-12-31	$22,829,730
Value of interest in common/collective trusts at end of year	2010-12-31	$3,284,471
Value of interest in common/collective trusts at beginning of year	2010-12-31	$2,180,888
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2010-12-31	$2,910,621
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2010-12-31	$2,077,469
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2010-12-31	$2,077,469
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2010-12-31	$267
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2010-12-31	$4,384,026
Net investment gain or loss from common/collective trusts	2010-12-31	$386,553
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	No
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	$2,332,624
Employer contributions (assets) at end of year	2010-12-31	$2,332,624
Employer contributions (assets) at beginning of year	2010-12-31	$2,993,518
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2010-12-31	$2,445,270
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	No
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	SHEA LABAGH DOBBERSTEIN
Accountancy firm EIN	2010-12-31	942290202
2009 : AXA ROSENBERG GROUP, LLC MONEY PURCHASE PENSION PLAN 2009 401k financial data
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2009-12-31	$0
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	$2,993,518
Amount contributed by the employer to the plan for this plan year	2009-12-31	$2,993,518

Form 5500 Responses for AXA ROSENBERG GROUP, LLC MONEY PURCHASE PENSION PLAN

2013: AXA ROSENBERG GROUP, LLC MONEY PURCHASE PENSION PLAN 2013 form 5500 responses
2013-01-01	Type of plan entity	Single employer plan
2013-01-01	Submission has been amended	No
2013-01-01	This submission is the final filing	Yes
2013-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2013-01-01	Plan is a collectively bargained plan	No
2013-01-01	Plan funding arrangement – Trust	Yes
2013-01-01	Plan benefit arrangement - Trust	Yes
2012: AXA ROSENBERG GROUP, LLC MONEY PURCHASE PENSION PLAN 2012 form 5500 responses
2012-01-01	Type of plan entity	Single employer plan
2012-01-01	Submission has been amended	No
2012-01-01	This submission is the final filing	No
2012-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2012-01-01	Plan is a collectively bargained plan	No
2012-01-01	Plan funding arrangement – Trust	Yes
2012-01-01	Plan benefit arrangement - Trust	Yes
2011: AXA ROSENBERG GROUP, LLC MONEY PURCHASE PENSION 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
2010: AXA ROSENBERG GROUP, LLC MONEY PURCHASE PENSION PLAN 2010 form 5500 responses
2010-01-01	Type of plan entity	Single employer plan
2010-01-01	Submission has been amended	No
2010-01-01	This submission is the final filing	No
2010-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2010-01-01	Plan is a collectively bargained plan	No
2010-01-01	Plan funding arrangement – Trust	Yes
2010-01-01	Plan benefit arrangement - Trust	Yes
2009: AXA ROSENBERG GROUP, LLC MONEY PURCHASE PENSION PLAN 2009 form 5500 responses
2009-01-01	Type of plan entity	Single employer plan
2009-01-01	Submission has been amended	Yes
2009-01-01	This submission is the final filing	No
2009-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2009-01-01	Plan is a collectively bargained plan	No
2009-01-01	Plan funding arrangement – Trust	Yes
2009-01-01	Plan benefit arrangement - Trust	Yes

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Company Name:	AXA ROSENBERG GROUP, LLC
Employer identification number (EIN):	680422640
NAIC Classification:	523900

Jurisdiction of Incorporation:	State of Delaware Division of Corporations
Incorporation Date:
Company Identification Number:	2966619