401k Plan data: AXA ROSENBERG GROUP LLC 401(K) PROFIT SHARING PLAN plan

AXA ROSENBERG GROUP LLC 401(K) PROFIT SHARING PLAN 401k Plan overview

Plan Name	AXA ROSENBERG GROUP LLC 401(K) PROFIT SHARING PLAN
Plan identification number	002

AXA ROSENBERG GROUP LLC 401(K) PROFIT SHARING PLAN Benefits

401k Plan Type

Defined Contribution Pension

Plan Features/Benefits

Profit-sharing
ERISA section 404(c) Plan - This plan, or any part of it is intended to meet the conditions of 29 CFR 2550.404c-1.
Total participant-directed account plan - Participants have the opportunity to direct the investment of all the assets allocated to their individual accounts, regardless of whether 29 CFR 2550.404c-1 is intended to be met.
Code section 401(k) feature - A cash or deferred arrangement described in Code section 401(k) that is part of a qualified defined contribution plan that provides for an election by employees to defer part of their compensation or receive these amounts in cash.
Code section 401(m) arrangement - Employee contributions are allocated to separate accounts under the plan or employer contributions are based, in whole or in part, on employee deferrals or contribtions to the plan. Not applicable if plan is 401(k) plan with only QNECs and/or QMACs. Also not applicable if Code section 403(b)(1), 403(b)(7) or 408 arrangements/accounts/annuities.
Participant-directed brokerage accounts provided as an investment option under the plan.
Plan provides for automatic enrollment in plan that has employee contributions deducted from payroll.
Total or partial participant-directed account plan - plan uses default investment account for participants who fail to direct assets in their account.
Master plan - A pension plan that is made available by a sponsor for adoption by employers; that is the subject of a favorable opinion letter; and for which a single funding medium (for example, a trust or custodial account) is established for the joint use of all adopting employers.
Plan sponsor(s) is (are) a member(s) of a controlled group (Code sections 414(b), (c), or (m)).

401k Sponsoring company profile

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 401(K) PROFIT SHARING PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
002 2017-01-01 HEIDI RIDLEY
002 2016-01-01 HEIDI RIDLEY
002 2015-01-01 HEIDI RIDLEY
002 2014-01-01 HEIDI RIDLEY
002 2013-01-01 HEIDI RIDLEY
002 2012-01-01 HEIDI RIDLEY
002 2011-01-01 HEIDI RIDLEY
002 2010-01-01 HEIDI RIDLEY
002 2009-01-01 MARTHA CLARK MARTHA CLARK 2011-03-31
002 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
002	2017-01-01	HEIDI RIDLEY
002	2016-01-01	HEIDI RIDLEY
002	2015-01-01	HEIDI RIDLEY
002	2014-01-01	HEIDI RIDLEY
002	2013-01-01	HEIDI RIDLEY
002	2012-01-01	HEIDI RIDLEY
002	2011-01-01	HEIDI RIDLEY
002	2010-01-01	HEIDI RIDLEY
002	2009-01-01	MARTHA CLARK	MARTHA CLARK	2011-03-31
002	2009-01-01	MARTHA CLARK	MARTHA CLARK	2010-10-14

Plan Statistics for AXA ROSENBERG GROUP LLC 401(K) PROFIT SHARING PLAN

401k plan membership statisitcs for AXA ROSENBERG GROUP LLC 401(K) PROFIT SHARING PLAN

Measure Date Value
2017: AXA ROSENBERG GROUP LLC 401(K) PROFIT SHARING PLAN 2017 401k membership
Total participants, beginning-of-year 2017-01-01 155
Total number of active participants reported on line 7a of the Form 5500 2017-01-01 72
Number of retired or separated participants receiving benefits 2017-01-01 0
Number of other retired or separated participants entitled to future benefits 2017-01-01 76
Total of all active and inactive participants 2017-01-01 148
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2017-01-01 1
Total participants 2017-01-01 149
Number of participants with account balances 2017-01-01 147
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2017-01-01 1
2016: AXA ROSENBERG GROUP LLC 401(K) PROFIT SHARING PLAN 2016 401k membership
Total participants, beginning-of-year 2016-01-01 163
Total number of active participants reported on line 7a of the Form 5500 2016-01-01 77
Number of retired or separated participants receiving benefits 2016-01-01 0
Number of other retired or separated participants entitled to future benefits 2016-01-01 77
Total of all active and inactive participants 2016-01-01 154
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2016-01-01 1
Total participants 2016-01-01 155
Number of participants with account balances 2016-01-01 152
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2016-01-01 0
2015: AXA ROSENBERG GROUP LLC 401(K) PROFIT SHARING PLAN 2015 401k membership
Total participants, beginning-of-year 2015-01-01 170
Total number of active participants reported on line 7a of the Form 5500 2015-01-01 79
Number of retired or separated participants receiving benefits 2015-01-01 0
Number of other retired or separated participants entitled to future benefits 2015-01-01 83
Total of all active and inactive participants 2015-01-01 162
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2015-01-01 1
Total participants 2015-01-01 163
Number of participants with account balances 2015-01-01 159
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2015-01-01 3
2014: AXA ROSENBERG GROUP LLC 401(K) PROFIT SHARING PLAN 2014 401k membership
Total participants, beginning-of-year 2014-01-01 142
Total number of active participants reported on line 7a of the Form 5500 2014-01-01 80
Number of retired or separated participants receiving benefits 2014-01-01 0
Number of other retired or separated participants entitled to future benefits 2014-01-01 89
Total of all active and inactive participants 2014-01-01 169
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2014-01-01 1
Total participants 2014-01-01 170
Number of participants with account balances 2014-01-01 168
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2014-01-01 0
2013: AXA ROSENBERG GROUP LLC 401(K) PROFIT SHARING PLAN 2013 401k membership
Total participants, beginning-of-year 2013-01-01 155
Total number of active participants reported on line 7a of the Form 5500 2013-01-01 72
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 69
Total of all active and inactive participants 2013-01-01 141
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2013-01-01 1
Total participants 2013-01-01 142
Number of participants with account balances 2013-01-01 137
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 401(K) PROFIT SHARING PLAN 2012 401k membership
Total participants, beginning-of-year 2012-01-01 169
Total number of active participants reported on line 7a of the Form 5500 2012-01-01 84
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 70
Total of all active and inactive participants 2012-01-01 154
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2012-01-01 1
Total participants 2012-01-01 155
Number of participants with account balances 2012-01-01 152
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2012-01-01 0
2011: AXA ROSENBERG GROUP LLC 401(K) PROFIT SHARING PLAN 2011 401k membership
Total participants, beginning-of-year 2011-01-01 187
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 91
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 77
Total of all active and inactive participants 2011-01-01 168
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-01-01 1
Total participants 2011-01-01 169
Number of participants with account balances 2011-01-01 166
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-01-01 0
2010: AXA ROSENBERG GROUP LLC 401(K) PROFIT SHARING PLAN 2010 401k membership
Total participants, beginning-of-year 2010-01-01 218
Total number of active participants reported on line 7a of the Form 5500 2010-01-01 116
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 71
Total of all active and inactive participants 2010-01-01 187
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2010-01-01 0
Total participants 2010-01-01 187
Number of participants with account balances 2010-01-01 184
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2010-01-01 7
2009: AXA ROSENBERG GROUP LLC 401(K) PROFIT SHARING PLAN 2009 401k membership
Total participants, beginning-of-year 2009-01-01 226
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 189
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 29
Total of all active and inactive participants 2009-01-01 218
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-01-01 0
Total participants 2009-01-01 218
Number of participants with account balances 2009-01-01 212
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-01-01 9

Measure	Date	Value
2017: AXA ROSENBERG GROUP LLC 401(K) PROFIT SHARING PLAN 2017 401k membership
Total participants, beginning-of-year	2017-01-01	155
Total number of active participants reported on line 7a of the Form 5500	2017-01-01	72
Number of retired or separated participants receiving benefits	2017-01-01	0
Number of other retired or separated participants entitled to future benefits	2017-01-01	76
Total of all active and inactive participants	2017-01-01	148
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2017-01-01	1
Total participants	2017-01-01	149
Number of participants with account balances	2017-01-01	147
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2017-01-01	1
2016: AXA ROSENBERG GROUP LLC 401(K) PROFIT SHARING PLAN 2016 401k membership
Total participants, beginning-of-year	2016-01-01	163
Total number of active participants reported on line 7a of the Form 5500	2016-01-01	77
Number of retired or separated participants receiving benefits	2016-01-01	0
Number of other retired or separated participants entitled to future benefits	2016-01-01	77
Total of all active and inactive participants	2016-01-01	154
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2016-01-01	1
Total participants	2016-01-01	155
Number of participants with account balances	2016-01-01	152
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2016-01-01	0
2015: AXA ROSENBERG GROUP LLC 401(K) PROFIT SHARING PLAN 2015 401k membership
Total participants, beginning-of-year	2015-01-01	170
Total number of active participants reported on line 7a of the Form 5500	2015-01-01	79
Number of retired or separated participants receiving benefits	2015-01-01	0
Number of other retired or separated participants entitled to future benefits	2015-01-01	83
Total of all active and inactive participants	2015-01-01	162
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2015-01-01	1
Total participants	2015-01-01	163
Number of participants with account balances	2015-01-01	159
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2015-01-01	3
2014: AXA ROSENBERG GROUP LLC 401(K) PROFIT SHARING PLAN 2014 401k membership
Total participants, beginning-of-year	2014-01-01	142
Total number of active participants reported on line 7a of the Form 5500	2014-01-01	80
Number of retired or separated participants receiving benefits	2014-01-01	0
Number of other retired or separated participants entitled to future benefits	2014-01-01	89
Total of all active and inactive participants	2014-01-01	169
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2014-01-01	1
Total participants	2014-01-01	170
Number of participants with account balances	2014-01-01	168
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2014-01-01	0
2013: AXA ROSENBERG GROUP LLC 401(K) PROFIT SHARING PLAN 2013 401k membership
Total participants, beginning-of-year	2013-01-01	155
Total number of active participants reported on line 7a of the Form 5500	2013-01-01	72
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	69
Total of all active and inactive participants	2013-01-01	141
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2013-01-01	1
Total participants	2013-01-01	142
Number of participants with account balances	2013-01-01	137
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 401(K) PROFIT SHARING PLAN 2012 401k membership
Total participants, beginning-of-year	2012-01-01	169
Total number of active participants reported on line 7a of the Form 5500	2012-01-01	84
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	70
Total of all active and inactive participants	2012-01-01	154
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2012-01-01	1
Total participants	2012-01-01	155
Number of participants with account balances	2012-01-01	152
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2012-01-01	0
2011: AXA ROSENBERG GROUP LLC 401(K) PROFIT SHARING PLAN 2011 401k membership
Total participants, beginning-of-year	2011-01-01	187
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	91
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	77
Total of all active and inactive participants	2011-01-01	168
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-01-01	1
Total participants	2011-01-01	169
Number of participants with account balances	2011-01-01	166
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-01-01	0
2010: AXA ROSENBERG GROUP LLC 401(K) PROFIT SHARING PLAN 2010 401k membership
Total participants, beginning-of-year	2010-01-01	218
Total number of active participants reported on line 7a of the Form 5500	2010-01-01	116
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	71
Total of all active and inactive participants	2010-01-01	187
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2010-01-01	0
Total participants	2010-01-01	187
Number of participants with account balances	2010-01-01	184
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2010-01-01	7
2009: AXA ROSENBERG GROUP LLC 401(K) PROFIT SHARING PLAN 2009 401k membership
Total participants, beginning-of-year	2009-01-01	226
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	189
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	29
Total of all active and inactive participants	2009-01-01	218
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-01-01	0
Total participants	2009-01-01	218
Number of participants with account balances	2009-01-01	212
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-01-01	9

Financial Data on AXA ROSENBERG GROUP LLC 401(K) PROFIT SHARING PLAN

Measure	Date	Value
2017 : AXA ROSENBERG GROUP LLC 401(K) PROFIT SHARING PLAN 2017 401k financial data
Total unrealized appreciation/depreciation of assets	2017-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2017-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2017-12-31	$0
Total income from all sources (including contributions)	2017-12-31	$12,195,115
Total loss/gain on sale of assets	2017-12-31	$0
Total of all expenses incurred	2017-12-31	$10,732,333
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2017-12-31	$10,731,188
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2017-12-31	$2,479,094
Value of total assets at end of year	2017-12-31	$58,981,112
Value of total assets at beginning of year	2017-12-31	$57,518,330
Total of administrative expenses incurred including professional, contract, advisory and management fees	2017-12-31	$1,145
Total interest from all sources	2017-12-31	$766
Total dividends received (eg from common stock, registered investment company shares)	2017-12-31	$1,556,315
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2017-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2017-12-31	$1,556,315
Was this plan covered by a fidelity bond	2017-12-31	Yes
Value of fidelity bond cover	2017-12-31	$5,000,000
If this is an individual account plan, was there a blackout period	2017-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2017-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2017-12-31	No
Contributions received from participants	2017-12-31	$1,068,393
Participant contributions at end of year	2017-12-31	$12,972
Participant contributions at beginning of year	2017-12-31	$21,356
Assets. Other investments not covered elsewhere at end of year	2017-12-31	$12,159,367
Assets. Other investments not covered elsewhere at beginning of year	2017-12-31	$12,675,165
Income. Received or receivable in cash from other sources (including rollovers)	2017-12-31	$204,691
Other income not declared elsewhere	2017-12-31	$1,851,614
Administrative expenses (other) incurred	2017-12-31	$1,145
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2017-12-31	No
Value of net income/loss	2017-12-31	$1,462,782
Value of net assets at end of year (total assets less liabilities)	2017-12-31	$58,981,112
Value of net assets at beginning of year (total assets less liabilities)	2017-12-31	$57,518,330
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2017-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2017-12-31	No
Were any leases to which the plan was party in default or uncollectible	2017-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2017-12-31	$45,608,838
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2017-12-31	$43,559,109
Interest on participant loans	2017-12-31	$766
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2017-12-31	$0
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2017-12-31	$0
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2017-12-31	$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2017-12-31	$6,307,326
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2017-12-31	No
Was there a failure to transmit to the plan any participant contributions	2017-12-31	No
Has the plan failed to provide any benefit when due under the plan	2017-12-31	No
Contributions received in cash from employer	2017-12-31	$1,206,010
Employer contributions (assets) at end of year	2017-12-31	$1,199,935
Employer contributions (assets) at beginning of year	2017-12-31	$1,262,700
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2017-12-31	$10,731,188
Did the plan have assets held for investment	2017-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2017-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2017-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2017-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2017-12-31	Disclaimer
Accountancy firm name	2017-12-31	SHEA LABAGH DOBBERSTEIN
Accountancy firm EIN	2017-12-31	942290202
2016 : AXA ROSENBERG GROUP LLC 401(K) PROFIT SHARING PLAN 2016 401k financial data
Total unrealized appreciation/depreciation of assets	2016-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2016-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2016-12-31	$0
Total income from all sources (including contributions)	2016-12-31	$6,294,026
Total loss/gain on sale of assets	2016-12-31	$0
Total of all expenses incurred	2016-12-31	$3,053,634
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2016-12-31	$3,053,374
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2016-12-31	$2,434,066
Value of total assets at end of year	2016-12-31	$57,518,330
Value of total assets at beginning of year	2016-12-31	$54,277,938
Total of administrative expenses incurred including professional, contract, advisory and management fees	2016-12-31	$260
Total interest from all sources	2016-12-31	$740
Total dividends received (eg from common stock, registered investment company shares)	2016-12-31	$1,359,043
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2016-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2016-12-31	$1,359,043
Was this plan covered by a fidelity bond	2016-12-31	Yes
Value of fidelity bond cover	2016-12-31	$5,000,000
If this is an individual account plan, was there a blackout period	2016-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2016-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2016-12-31	No
Contributions received from participants	2016-12-31	$1,055,670
Participant contributions at end of year	2016-12-31	$21,356
Participant contributions at beginning of year	2016-12-31	$11,656
Assets. Other investments not covered elsewhere at end of year	2016-12-31	$12,675,165
Assets. Other investments not covered elsewhere at beginning of year	2016-12-31	$10,982,082
Income. Received or receivable in cash from other sources (including rollovers)	2016-12-31	$115,696
Other income not declared elsewhere	2016-12-31	$1,078,482
Administrative expenses (other) incurred	2016-12-31	$260
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2016-12-31	No
Value of net income/loss	2016-12-31	$3,240,392
Value of net assets at end of year (total assets less liabilities)	2016-12-31	$57,518,330
Value of net assets at beginning of year (total assets less liabilities)	2016-12-31	$54,277,938
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2016-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2016-12-31	No
Were any leases to which the plan was party in default or uncollectible	2016-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2016-12-31	$43,559,109
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2016-12-31	$37,579,270
Interest on participant loans	2016-12-31	$740
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2016-12-31	$0
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2016-12-31	$4,480,478
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2016-12-31	$4,480,478
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2016-12-31	$1,421,695
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2016-12-31	No
Was there a failure to transmit to the plan any participant contributions	2016-12-31	No
Has the plan failed to provide any benefit when due under the plan	2016-12-31	No
Contributions received in cash from employer	2016-12-31	$1,262,700
Employer contributions (assets) at end of year	2016-12-31	$1,262,700
Employer contributions (assets) at beginning of year	2016-12-31	$1,224,452
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2016-12-31	$3,053,374
Did the plan have assets held for investment	2016-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2016-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2016-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2016-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2016-12-31	Disclaimer
Accountancy firm name	2016-12-31	SHEA LABAGH DOBBERSTEIN
Accountancy firm EIN	2016-12-31	942290202
2015 : AXA ROSENBERG GROUP LLC 401(K) PROFIT SHARING PLAN 2015 401k financial data
Total unrealized appreciation/depreciation of assets	2015-12-31	$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	$2,817,840
Total loss/gain on sale of assets	2015-12-31	$0
Total of all expenses incurred	2015-12-31	$6,795,202
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2015-12-31	$6,794,111
Value of total corrective distributions	2015-12-31	$911
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2015-12-31	$2,829,606
Value of total assets at end of year	2015-12-31	$54,277,938
Value of total assets at beginning of year	2015-12-31	$58,255,300
Total of administrative expenses incurred including professional, contract, advisory and management fees	2015-12-31	$180
Total interest from all sources	2015-12-31	$5,364
Total dividends received (eg from common stock, registered investment company shares)	2015-12-31	$1,924,643
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2015-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2015-12-31	$1,924,643
Was this plan covered by a fidelity bond	2015-12-31	Yes
Value of fidelity bond cover	2015-12-31	$5,000,000
If this is an individual account plan, was there a blackout period	2015-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2015-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2015-12-31	No
Contributions received from participants	2015-12-31	$1,062,115
Participant contributions at end of year	2015-12-31	$11,656
Participant contributions at beginning of year	2015-12-31	$62,898
Assets. Other investments not covered elsewhere at end of year	2015-12-31	$10,982,082
Assets. Other investments not covered elsewhere at beginning of year	2015-12-31	$10,359,045
Income. Received or receivable in cash from other sources (including rollovers)	2015-12-31	$543,039
Other income not declared elsewhere	2015-12-31	$-297,520
Administrative expenses (other) incurred	2015-12-31	$180
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2015-12-31	No
Value of net income/loss	2015-12-31	$-3,977,362
Value of net assets at end of year (total assets less liabilities)	2015-12-31	$54,277,938
Value of net assets at beginning of year (total assets less liabilities)	2015-12-31	$58,255,300
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2015-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2015-12-31	No
Were any leases to which the plan was party in default or uncollectible	2015-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2015-12-31	$37,579,270
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2015-12-31	$38,325,454
Interest on participant loans	2015-12-31	$1,850
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2015-12-31	$4,480,478
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2015-12-31	$8,321,889
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2015-12-31	$8,321,889
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2015-12-31	$3,514
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2015-12-31	$-1,644,253
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2015-12-31	No
Was there a failure to transmit to the plan any participant contributions	2015-12-31	No
Has the plan failed to provide any benefit when due under the plan	2015-12-31	No
Contributions received in cash from employer	2015-12-31	$1,224,452
Employer contributions (assets) at end of year	2015-12-31	$1,224,452
Employer contributions (assets) at beginning of year	2015-12-31	$1,186,014
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2015-12-31	$6,794,111
Did the plan have assets held for investment	2015-12-31	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	2015-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2015-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2015-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2015-12-31	Disclaimer
Accountancy firm name	2015-12-31	SHEA LABAGH DOBBERSTEIN
Accountancy firm EIN	2015-12-31	942290202
2014 : AXA ROSENBERG GROUP LLC 401(K) PROFIT SHARING PLAN 2014 401k financial data
Total unrealized appreciation/depreciation of assets	2014-12-31	$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	$4,272,656
Total loss/gain on sale of assets	2014-12-31	$0
Total of all expenses incurred	2014-12-31	$8,068,292
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2014-12-31	$8,068,082
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2014-12-31	$2,239,030
Value of total assets at end of year	2014-12-31	$58,255,300
Value of total assets at beginning of year	2014-12-31	$62,050,936
Total of administrative expenses incurred including professional, contract, advisory and management fees	2014-12-31	$210
Total interest from all sources	2014-12-31	$3,849
Total dividends received (eg from common stock, registered investment company shares)	2014-12-31	$1,596,176
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2014-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2014-12-31	$1,596,176
Was this plan covered by a fidelity bond	2014-12-31	Yes
Value of fidelity bond cover	2014-12-31	$5,000,000
If this is an individual account plan, was there a blackout period	2014-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2014-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2014-12-31	No
Contributions received from participants	2014-12-31	$964,721
Participant contributions at end of year	2014-12-31	$62,898
Participant contributions at beginning of year	2014-12-31	$88,675
Assets. Other investments not covered elsewhere at end of year	2014-12-31	$10,359,045
Assets. Other investments not covered elsewhere at beginning of year	2014-12-31	$8,338,462
Income. Received or receivable in cash from other sources (including rollovers)	2014-12-31	$83,087
Value of other receiveables (less allowance for doubtful accounts) at end of year	2014-12-31	$0
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2014-12-31	$37,143,904
Other income not declared elsewhere	2014-12-31	$450,743
Administrative expenses (other) incurred	2014-12-31	$210
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2014-12-31	No
Value of net income/loss	2014-12-31	$-3,795,636
Value of net assets at end of year (total assets less liabilities)	2014-12-31	$58,255,300
Value of net assets at beginning of year (total assets less liabilities)	2014-12-31	$62,050,936
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2014-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2014-12-31	No
Were any leases to which the plan was party in default or uncollectible	2014-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2014-12-31	$38,325,454
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2014-12-31	$14,714,908
Interest on participant loans	2014-12-31	$3,030
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2014-12-31	$8,321,889
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2014-12-31	$524,612
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2014-12-31	$524,612
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2014-12-31	$819
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2014-12-31	$-17,142
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2014-12-31	No
Was there a failure to transmit to the plan any participant contributions	2014-12-31	No
Has the plan failed to provide any benefit when due under the plan	2014-12-31	No
Contributions received in cash from employer	2014-12-31	$1,191,222
Employer contributions (assets) at end of year	2014-12-31	$1,186,014
Employer contributions (assets) at beginning of year	2014-12-31	$1,240,375
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2014-12-31	$8,068,082
Did the plan have assets held for investment	2014-12-31	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	2014-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2014-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2014-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2014-12-31	Disclaimer
Accountancy firm name	2014-12-31	SHEA LABAGH DOBBERSTEIN
Accountancy firm EIN	2014-12-31	942290202
2013 : AXA ROSENBERG GROUP LLC 401(K) PROFIT SHARING 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	$37,143,904
Total transfer of assets from this plan	2013-12-31	$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	$6,182,137
Total loss/gain on sale of assets	2013-12-31	$0
Total of all expenses incurred	2013-12-31	$2,594,938
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2013-12-31	$2,593,613
Expenses. Certain deemed distributions of participant loans	2013-12-31	$0
Value of total corrective distributions	2013-12-31	$955
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2013-12-31	$2,267,669
Value of total assets at end of year	2013-12-31	$62,050,936
Value of total assets at beginning of year	2013-12-31	$21,319,833
Total of administrative expenses incurred including professional, contract, advisory and management fees	2013-12-31	$370
Total interest from all sources	2013-12-31	$3,299
Total dividends received (eg from common stock, registered investment company shares)	2013-12-31	$327,739
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2013-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2013-12-31	$327,739
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
Were there any nonexempt tranactions with any party-in-interest	2013-12-31	No
Contributions received from participants	2013-12-31	$939,833
Participant contributions at end of year	2013-12-31	$88,675
Participant contributions at beginning of year	2013-12-31	$123,538
Assets. Other investments not covered elsewhere at end of year	2013-12-31	$8,338,462
Assets. Other investments not covered elsewhere at beginning of year	2013-12-31	$7,573,748
Income. Received or receivable in cash from other sources (including rollovers)	2013-12-31	$88,277
Value of other receiveables (less allowance for doubtful accounts) at end of year	2013-12-31	$37,143,904
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2013-12-31	$0
Other income not declared elsewhere	2013-12-31	$1,145,453
Administrative expenses (other) incurred	2013-12-31	$370
Total non interest bearing cash at beginning of year	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	$3,587,199
Value of net assets at end of year (total assets less liabilities)	2013-12-31	$62,050,936
Value of net assets at beginning of year (total assets less liabilities)	2013-12-31	$21,319,833
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	$14,714,908
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2013-12-31	$12,975,399
Interest on participant loans	2013-12-31	$3,036
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	$524,612
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2013-12-31	$635,332
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2013-12-31	$635,332
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2013-12-31	$263
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	$2,437,977
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	$1,239,559
Employer contributions (assets) at end of year	2013-12-31	$1,240,375
Employer contributions (assets) at beginning of year	2013-12-31	$11,816
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	$2,593,613
Did the plan have assets held for investment	2013-12-31	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	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	No
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 401(K) PROFIT SHARING 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	$3,673,299
Total loss/gain on sale of assets	2012-12-31	$0
Total of all expenses incurred	2012-12-31	$2,395,058
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2012-12-31	$2,394,228
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2012-12-31	$1,111,024
Value of total assets at end of year	2012-12-31	$21,319,833
Value of total assets at beginning of year	2012-12-31	$20,041,592
Total of administrative expenses incurred including professional, contract, advisory and management fees	2012-12-31	$830
Total interest from all sources	2012-12-31	$3,558
Total dividends received (eg from common stock, registered investment company shares)	2012-12-31	$268,679
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	$268,679
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
Were there any nonexempt tranactions with any party-in-interest	2012-12-31	No
Contributions received from participants	2012-12-31	$1,092,601
Participant contributions at end of year	2012-12-31	$123,538
Participant contributions at beginning of year	2012-12-31	$49,511
Assets. Other investments not covered elsewhere at end of year	2012-12-31	$7,573,748
Assets. Other investments not covered elsewhere at beginning of year	2012-12-31	$7,822,148
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2012-12-31	$429
Other income not declared elsewhere	2012-12-31	$760,621
Administrative expenses (other) incurred	2012-12-31	$830
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	$1,278,241
Value of net assets at end of year (total assets less liabilities)	2012-12-31	$21,319,833
Value of net assets at beginning of year (total assets less liabilities)	2012-12-31	$20,041,592
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	$12,975,399
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2012-12-31	$9,381,935
Interest on participant loans	2012-12-31	$3,171
Value of interest in common/collective trusts at beginning of year	2012-12-31	$1,811,063
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2012-12-31	$635,332
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2012-12-31	$976,506
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2012-12-31	$976,506
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2012-12-31	$387
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2012-12-31	$1,510,332
Net investment gain or loss from common/collective trusts	2012-12-31	$19,085
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	$18,423
Employer contributions (assets) at end of year	2012-12-31	$11,816
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2012-12-31	$2,394,228
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 401(K) PROFIT SHARING 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	$1,114,922
Total loss/gain on sale of assets	2011-12-31	$0
Total of all expenses incurred	2011-12-31	$2,918,664
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2011-12-31	$2,910,268
Value of total corrective distributions	2011-12-31	$7,832
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2011-12-31	$1,923,425
Value of total assets at end of year	2011-12-31	$20,041,592
Value of total assets at beginning of year	2011-12-31	$21,845,334
Total of administrative expenses incurred including professional, contract, advisory and management fees	2011-12-31	$564
Total interest from all sources	2011-12-31	$2,877
Total dividends received (eg from common stock, registered investment company shares)	2011-12-31	$184,364
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	$184,364
Administrative expenses professional fees incurred	2011-12-31	$374
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
Were there any nonexempt tranactions with any party-in-interest	2011-12-31	No
Contributions received from participants	2011-12-31	$1,319,540
Participant contributions at end of year	2011-12-31	$49,511
Participant contributions at beginning of year	2011-12-31	$80,212
Participant contributions at beginning of year	2011-12-31	$18,888
Assets. Other investments not covered elsewhere at end of year	2011-12-31	$7,822,148
Assets. Other investments not covered elsewhere at beginning of year	2011-12-31	$8,561,757
Income. Received or receivable in cash from other sources (including rollovers)	2011-12-31	$603,885
Value of other receiveables (less allowance for doubtful accounts) at end of year	2011-12-31	$429
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2011-12-31	$1,148
Other income not declared elsewhere	2011-12-31	$-251,322
Administrative expenses (other) incurred	2011-12-31	$190
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	$-1,803,742
Value of net assets at end of year (total assets less liabilities)	2011-12-31	$20,041,592
Value of net assets at beginning of year (total assets less liabilities)	2011-12-31	$21,845,334
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
Value of interest in registered invesment companies (eg mutual funds) at end of year	2011-12-31	$9,381,935
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2011-12-31	$11,188,820
Interest on participant loans	2011-12-31	$2,780
Value of interest in common/collective trusts at end of year	2011-12-31	$1,811,063
Value of interest in common/collective trusts at beginning of year	2011-12-31	$1,358,402
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2011-12-31	$976,506
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2011-12-31	$625,214
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2011-12-31	$625,214
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2011-12-31	$97
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2011-12-31	$-696,771
Net investment gain or loss from common/collective trusts	2011-12-31	$-47,651
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
Employer contributions (assets) at beginning of year	2011-12-31	$10,893
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2011-12-31	$2,910,268
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 401(K) PROFIT SHARING 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	$5,047,829
Total loss/gain on sale of assets	2010-12-31	$0
Total of all expenses incurred	2010-12-31	$2,872,348
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2010-12-31	$2,867,484
Value of total corrective distributions	2010-12-31	$4,054
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2010-12-31	$2,141,467
Value of total assets at end of year	2010-12-31	$21,845,334
Value of total assets at beginning of year	2010-12-31	$19,669,853
Total of administrative expenses incurred including professional, contract, advisory and management fees	2010-12-31	$810
Total interest from all sources	2010-12-31	$5,912
Total dividends received (eg from common stock, registered investment company shares)	2010-12-31	$123,427
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	$123,427
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
Were there any nonexempt tranactions with any party-in-interest	2010-12-31	No
Contributions received from participants	2010-12-31	$2,111,316
Participant contributions at end of year	2010-12-31	$80,212
Participant contributions at beginning of year	2010-12-31	$128,129
Participant contributions at end of year	2010-12-31	$18,888
Assets. Other investments not covered elsewhere at end of year	2010-12-31	$8,561,757
Assets. Other investments not covered elsewhere at beginning of year	2010-12-31	$8,341,205
Income. Received or receivable in cash from other sources (including rollovers)	2010-12-31	$19,258
Value of other receiveables (less allowance for doubtful accounts) at end of year	2010-12-31	$1,148
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2010-12-31	$601
Other income not declared elsewhere	2010-12-31	$926,499
Administrative expenses (other) incurred	2010-12-31	$810
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	$2,175,481
Value of net assets at end of year (total assets less liabilities)	2010-12-31	$21,845,334
Value of net assets at beginning of year (total assets less liabilities)	2010-12-31	$19,669,853
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
Value of interest in registered invesment companies (eg mutual funds) at end of year	2010-12-31	$11,188,820
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2010-12-31	$9,307,890
Interest on participant loans	2010-12-31	$5,585
Value of interest in common/collective trusts at end of year	2010-12-31	$1,358,402
Value of interest in common/collective trusts at beginning of year	2010-12-31	$938,293
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2010-12-31	$625,214
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2010-12-31	$953,735
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2010-12-31	$953,735
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2010-12-31	$327
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2010-12-31	$1,683,425
Net investment gain or loss from common/collective trusts	2010-12-31	$167,099
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	$10,893
Employer contributions (assets) at end of year	2010-12-31	$10,893
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2010-12-31	$2,867,484
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 401(K) PROFIT SHARING 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

Form 5500 Responses for AXA ROSENBERG GROUP LLC 401(K) PROFIT SHARING PLAN

2017: AXA ROSENBERG GROUP LLC 401(K) PROFIT SHARING PLAN 2017 form 5500 responses
2017-01-01	Type of plan entity	Single employer plan
2017-01-01	Submission has been amended	No
2017-01-01	This submission is the final filing	No
2017-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2017-01-01	Plan is a collectively bargained plan	No
2017-01-01	Plan funding arrangement – Trust	Yes
2017-01-01	Plan benefit arrangement - Trust	Yes
2016: AXA ROSENBERG GROUP LLC 401(K) PROFIT SHARING PLAN 2016 form 5500 responses
2016-01-01	Type of plan entity	Single employer plan
2016-01-01	Submission has been amended	No
2016-01-01	This submission is the final filing	No
2016-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2016-01-01	Plan is a collectively bargained plan	No
2016-01-01	Plan funding arrangement – Trust	Yes
2016-01-01	Plan benefit arrangement - Trust	Yes
2015: AXA ROSENBERG GROUP LLC 401(K) PROFIT SHARING PLAN 2015 form 5500 responses
2015-01-01	Type of plan entity	Single employer plan
2015-01-01	Submission has been amended	No
2015-01-01	This submission is the final filing	No
2015-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2015-01-01	Plan is a collectively bargained plan	No
2015-01-01	Plan funding arrangement – Trust	Yes
2015-01-01	Plan benefit arrangement - Trust	Yes
2014: AXA ROSENBERG GROUP LLC 401(K) PROFIT SHARING PLAN 2014 form 5500 responses
2014-01-01	Type of plan entity	Single employer plan
2014-01-01	Submission has been amended	No
2014-01-01	This submission is the final filing	No
2014-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2014-01-01	Plan is a collectively bargained plan	No
2014-01-01	Plan funding arrangement – Trust	Yes
2014-01-01	Plan benefit arrangement - Trust	Yes
2013: AXA ROSENBERG GROUP LLC 401(K) PROFIT SHARING 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	No
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 401(K) PROFIT SHARING 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 401(K) PROFIT SHARING 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 401(K) PROFIT SHARING 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 401(K) PROFIT SHARING 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