401k Plan data: U. S. RISK LLC 401(K) PLAN plan

U. S. RISK LLC 401(K) PLAN 401k Plan overview

Plan Name	U. S. RISK LLC 401(K) PLAN
Plan identification number	003

U. S. RISK LLC 401(K) PLAN Benefits

401k Plan Type

Defined Contribution Pension

Plan Features/Benefits

Profit-sharing
ERISA section 404(c) Plan - This plan, or any part of it is intended to meet the conditions of 29 CFR 2550.404c-1.
Total participant-directed account plan - Participants have the opportunity to direct the investment of all the assets allocated to their individual accounts, regardless of whether 29 CFR 2550.404c-1 is intended to be met.
Code section 401(k) feature - A cash or deferred arrangement described in Code section 401(k) that is part of a qualified defined contribution plan that provides for an election by employees to defer part of their compensation or receive these amounts in cash.
Code section 401(m) arrangement - Employee contributions are allocated to separate accounts under the plan or employer contributions are based, in whole or in part, on employee deferrals or contribtions to the plan. Not applicable if plan is 401(k) plan with only QNECs and/or QMACs. Also not applicable if Code section 403(b)(1), 403(b)(7) or 408 arrangements/accounts/annuities.
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.

401k Sponsoring company profile

U.S. RISK LLC has sponsored the creation of one or more 401k plans.

Company Name: U.S. RISK LLC

Employer identification number (EIN): 752436502

NAIC Classification: 524210
NAIC Description: Insurance Agencies and Brokerages

Form 5500 Filing Information

Submission information for form 5500 for 401k plan U. S. RISK LLC 401(K) PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
003 2019-01-01
003 2018-01-01
003 2017-01-01 BROOKE BIRDSONG BROOKE BIRDSONG 2018-09-05
003 2016-01-01 JON CARLEY

Plan id#	Filing Submission Date	Name of Administrator	Name of Company Sponsor	Date Sponsor Signed
003	2019-01-01
003	2018-01-01
003	2017-01-01	BROOKE BIRDSONG	BROOKE BIRDSONG	2018-09-05
003	2016-01-01	JON CARLEY

Plan Statistics for U. S. RISK LLC 401(K) PLAN

401k plan membership statisitcs for U. S. RISK LLC 401(K) PLAN

Measure Date Value
2019: U. S. RISK LLC 401(K) PLAN 2019 401k membership
Total participants, beginning-of-year 2019-01-01 385
Total number of active participants reported on line 7a of the Form 5500 2019-01-01 0
Number of retired or separated participants receiving benefits 2019-01-01 0
Number of other retired or separated participants entitled to future benefits 2019-01-01 0
Total of all active and inactive participants 2019-01-01 0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2019-01-01 0
Total participants 2019-01-01 0
Number of participants with account balances 2019-01-01 0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2019-01-01 0
2018: U. S. RISK LLC 401(K) PLAN 2018 401k membership
Total participants, beginning-of-year 2018-01-01 372
Total number of active participants reported on line 7a of the Form 5500 2018-01-01 267
Number of retired or separated participants receiving benefits 2018-01-01 39
Number of other retired or separated participants entitled to future benefits 2018-01-01 77
Total of all active and inactive participants 2018-01-01 383
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2018-01-01 1
Total participants 2018-01-01 384
Number of participants with account balances 2018-01-01 319
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2018-01-01 15
2017: U. S. RISK LLC 401(K) PLAN 2017 401k membership
Total participants, beginning-of-year 2017-01-01 318
Total number of active participants reported on line 7a of the Form 5500 2017-01-01 270
Number of retired or separated participants receiving benefits 2017-01-01 38
Number of other retired or separated participants entitled to future benefits 2017-01-01 63
Total of all active and inactive participants 2017-01-01 371
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2017-01-01 1
Total participants 2017-01-01 372
Number of participants with account balances 2017-01-01 280
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2017-01-01 18
2016: U. S. RISK LLC 401(K) PLAN 2016 401k membership
Total participants, beginning-of-year 2016-01-01 288
Total number of active participants reported on line 7a of the Form 5500 2016-01-01 212
Number of retired or separated participants receiving benefits 2016-01-01 7
Number of other retired or separated participants entitled to future benefits 2016-01-01 62
Total of all active and inactive participants 2016-01-01 281
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2016-01-01 0
Total participants 2016-01-01 281
Number of participants with account balances 2016-01-01 215
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2016-01-01 19

Measure	Date	Value
2019: U. S. RISK LLC 401(K) PLAN 2019 401k membership
Total participants, beginning-of-year	2019-01-01	385
Total number of active participants reported on line 7a of the Form 5500	2019-01-01	0
Number of retired or separated participants receiving benefits	2019-01-01	0
Number of other retired or separated participants entitled to future benefits	2019-01-01	0
Total of all active and inactive participants	2019-01-01	0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2019-01-01	0
Total participants	2019-01-01	0
Number of participants with account balances	2019-01-01	0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2019-01-01	0
2018: U. S. RISK LLC 401(K) PLAN 2018 401k membership
Total participants, beginning-of-year	2018-01-01	372
Total number of active participants reported on line 7a of the Form 5500	2018-01-01	267
Number of retired or separated participants receiving benefits	2018-01-01	39
Number of other retired or separated participants entitled to future benefits	2018-01-01	77
Total of all active and inactive participants	2018-01-01	383
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2018-01-01	1
Total participants	2018-01-01	384
Number of participants with account balances	2018-01-01	319
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2018-01-01	15
2017: U. S. RISK LLC 401(K) PLAN 2017 401k membership
Total participants, beginning-of-year	2017-01-01	318
Total number of active participants reported on line 7a of the Form 5500	2017-01-01	270
Number of retired or separated participants receiving benefits	2017-01-01	38
Number of other retired or separated participants entitled to future benefits	2017-01-01	63
Total of all active and inactive participants	2017-01-01	371
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2017-01-01	1
Total participants	2017-01-01	372
Number of participants with account balances	2017-01-01	280
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2017-01-01	18
2016: U. S. RISK LLC 401(K) PLAN 2016 401k membership
Total participants, beginning-of-year	2016-01-01	288
Total number of active participants reported on line 7a of the Form 5500	2016-01-01	212
Number of retired or separated participants receiving benefits	2016-01-01	7
Number of other retired or separated participants entitled to future benefits	2016-01-01	62
Total of all active and inactive participants	2016-01-01	281
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2016-01-01	0
Total participants	2016-01-01	281
Number of participants with account balances	2016-01-01	215
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2016-01-01	19

Financial Data on U. S. RISK LLC 401(K) PLAN

Measure	Date	Value
2019 : U. S. RISK LLC 401(K) PLAN 2019 401k financial data
Total unrealized appreciation/depreciation of assets	2019-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2019-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2019-12-31	$0
Total income from all sources (including contributions)	2019-12-31	$4,150,382
Total loss/gain on sale of assets	2019-12-31	$0
Total of all expenses incurred	2019-12-31	$21,543,744
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2019-12-31	$21,221,727
Expenses. Certain deemed distributions of participant loans	2019-12-31	$283,009
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2019-12-31	$1,238,276
Value of total assets at end of year	2019-12-31	$0
Value of total assets at beginning of year	2019-12-31	$17,393,362
Total of administrative expenses incurred including professional, contract, advisory and management fees	2019-12-31	$39,008
Total interest from all sources	2019-12-31	$13,173
Total dividends received (eg from common stock, registered investment company shares)	2019-12-31	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2019-12-31	Yes
Value of any plan assets that reverted to the employer resulting from resoluton to terminate the plan	2019-12-31	$0
Was this plan covered by a fidelity bond	2019-12-31	Yes
Value of fidelity bond cover	2019-12-31	$500,000
If this is an individual account plan, was there a blackout period	2019-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2019-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2019-12-31	No
Contributions received from participants	2019-12-31	$881,198
Participant contributions at beginning of year	2019-12-31	$232,659
Income. Received or receivable in cash from other sources (including rollovers)	2019-12-31	$39,228
Administrative expenses (other) incurred	2019-12-31	$39,008
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2019-12-31	No
Value of net income/loss	2019-12-31	$-17,393,362
Value of net assets at end of year (total assets less liabilities)	2019-12-31	$0
Value of net assets at beginning of year (total assets less liabilities)	2019-12-31	$17,393,362
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2019-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2019-12-31	No
Were any leases to which the plan was party in default or uncollectible	2019-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2019-12-31	$15,633,766
Interest on participant loans	2019-12-31	$10,318
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2019-12-31	$177,513
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2019-12-31	$177,513
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2019-12-31	$2,855
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2019-12-31	$1,349,424
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2019-12-31	$2,898,933
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2019-12-31	No
Was there a failure to transmit to the plan any participant contributions	2019-12-31	No
Has the plan failed to provide any benefit when due under the plan	2019-12-31	No
Contributions received in cash from employer	2019-12-31	$317,850
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2019-12-31	$21,221,727
Did the plan have assets held for investment	2019-12-31	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	2019-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2019-12-31	Yes
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2019-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2019-12-31	Disclaimer
Accountancy firm name	2019-12-31	CROWE, LLP
Accountancy firm EIN	2019-12-31	350921680
2018 : U. S. RISK LLC 401(K) PLAN 2018 401k financial data
Total unrealized appreciation/depreciation of assets	2018-12-31	$0
Total transfer of assets to this plan	2018-12-31	$2,041,198
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2018-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2018-12-31	$0
Total income from all sources (including contributions)	2018-12-31	$853,585
Total loss/gain on sale of assets	2018-12-31	$0
Total of all expenses incurred	2018-12-31	$3,494,249
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2018-12-31	$3,473,228
Expenses. Certain deemed distributions of participant loans	2018-12-31	$0
Value of total corrective distributions	2018-12-31	$7,542
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2018-12-31	$1,863,723
Value of total assets at end of year	2018-12-31	$17,393,362
Value of total assets at beginning of year	2018-12-31	$17,992,828
Total of administrative expenses incurred including professional, contract, advisory and management fees	2018-12-31	$13,479
Total interest from all sources	2018-12-31	$10,378
Total dividends received (eg from common stock, registered investment company shares)	2018-12-31	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2018-12-31	No
Was this plan covered by a fidelity bond	2018-12-31	Yes
Value of fidelity bond cover	2018-12-31	$500,000
If this is an individual account plan, was there a blackout period	2018-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2018-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2018-12-31	No
Contributions received from participants	2018-12-31	$1,309,596
Participant contributions at end of year	2018-12-31	$232,659
Participant contributions at beginning of year	2018-12-31	$155,538
Income. Received or receivable in cash from other sources (including rollovers)	2018-12-31	$31,785
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2018-12-31	No
Value of net income/loss	2018-12-31	$-2,640,664
Value of net assets at end of year (total assets less liabilities)	2018-12-31	$17,393,362
Value of net assets at beginning of year (total assets less liabilities)	2018-12-31	$17,992,828
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2018-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2018-12-31	No
Were any leases to which the plan was party in default or uncollectible	2018-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2018-12-31	$15,633,766
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2018-12-31	$16,263,347
Interest on participant loans	2018-12-31	$10,378
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2018-12-31	$177,513
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2018-12-31	$318,490
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2018-12-31	$318,490
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2018-12-31	$1,349,424
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2018-12-31	$1,255,453
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2018-12-31	$-1,020,516
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2018-12-31	No
Was there a failure to transmit to the plan any participant contributions	2018-12-31	Yes
Has the plan failed to provide any benefit when due under the plan	2018-12-31	No
Contributions received in cash from employer	2018-12-31	$522,342
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2018-12-31	$3,473,228
Contract administrator fees	2018-12-31	$13,479
Did the plan have assets held for investment	2018-12-31	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	2018-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2018-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2018-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2018-12-31	Disclaimer
Accountancy firm name	2018-12-31	CROWE LLP
Accountancy firm EIN	2018-12-31	350921680
2017 : U. S. RISK LLC 401(K) 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	$5,094,601
Total loss/gain on sale of assets	2017-12-31	$0
Total of all expenses incurred	2017-12-31	$2,524,389
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2017-12-31	$2,519,152
Expenses. Certain deemed distributions of participant loans	2017-12-31	$968
Value of total corrective distributions	2017-12-31	$0
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2017-12-31	$2,510,273
Value of total assets at end of year	2017-12-31	$17,992,828
Value of total assets at beginning of year	2017-12-31	$15,422,616
Total of administrative expenses incurred including professional, contract, advisory and management fees	2017-12-31	$4,269
Total interest from all sources	2017-12-31	$6,807
Total dividends received (eg from common stock, registered investment company shares)	2017-12-31	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2017-12-31	No
Was this plan covered by a fidelity bond	2017-12-31	Yes
Value of fidelity bond cover	2017-12-31	$500,000
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	$1,227,573
Participant contributions at end of year	2017-12-31	$155,538
Participant contributions at beginning of year	2017-12-31	$93,587
Income. Received or receivable in cash from other sources (including rollovers)	2017-12-31	$882,223
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	$2,570,212
Value of net assets at end of year (total assets less liabilities)	2017-12-31	$17,992,828
Value of net assets at beginning of year (total assets less liabilities)	2017-12-31	$15,422,616
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	$16,263,347
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2017-12-31	$13,623,628
Interest on participant loans	2017-12-31	$5,753
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2017-12-31	$318,490
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2017-12-31	$435,770
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2017-12-31	$435,770
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2017-12-31	$1,054
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2017-12-31	$1,255,453
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2017-12-31	$1,268,815
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2017-12-31	$2,577,521
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	Yes
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	$400,477
Employer contributions (assets) at beginning of year	2017-12-31	$816
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2017-12-31	$2,519,152
Contract administrator fees	2017-12-31	$4,269
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	CROWE LLP
Accountancy firm EIN	2017-12-31	350921680
2016 : U. S. RISK LLC 401(K) 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	$2,411,678
Total loss/gain on sale of assets	2016-12-31	$0
Total of all expenses incurred	2016-12-31	$1,374,980
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2016-12-31	$1,297,673
Expenses. Certain deemed distributions of participant loans	2016-12-31	$65,147
Value of total corrective distributions	2016-12-31	$8,454
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2016-12-31	$1,504,140
Value of total assets at end of year	2016-12-31	$15,422,616
Value of total assets at beginning of year	2016-12-31	$14,385,918
Total of administrative expenses incurred including professional, contract, advisory and management fees	2016-12-31	$3,706
Total interest from all sources	2016-12-31	$5,032
Total dividends received (eg from common stock, registered investment company shares)	2016-12-31	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2016-12-31	No
Administrative expenses professional fees incurred	2016-12-31	$3,706
Was this plan covered by a fidelity bond	2016-12-31	Yes
Value of fidelity bond cover	2016-12-31	$500,000
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	$1,155,500
Participant contributions at end of year	2016-12-31	$93,587
Participant contributions at beginning of year	2016-12-31	$160,167
Participant contributions at beginning of year	2016-12-31	$33,253
Income. Received or receivable in cash from other sources (including rollovers)	2016-12-31	$8,254
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	$1,036,698
Value of net assets at end of year (total assets less liabilities)	2016-12-31	$15,422,616
Value of net assets at beginning of year (total assets less liabilities)	2016-12-31	$14,385,918
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	$13,623,628
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2016-12-31	$12,517,520
Interest on participant loans	2016-12-31	$5,032
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2016-12-31	$435,770
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2016-12-31	$504,432
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2016-12-31	$504,432
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2016-12-31	$1,268,815
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2016-12-31	$1,158,345
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2016-12-31	$902,506
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	Yes
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	$340,386
Employer contributions (assets) at end of year	2016-12-31	$816
Employer contributions (assets) at beginning of year	2016-12-31	$12,201
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2016-12-31	$1,297,673
Contract administrator fees	2016-12-31	$0
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	CROWE HORWATH LLP
Accountancy firm EIN	2016-12-31	350921680

Form 5500 Responses for U. S. RISK LLC 401(K) PLAN

2019: U. S. RISK LLC 401(K) PLAN 2019 form 5500 responses
2019-01-01	Type of plan entity	Single employer plan
2019-01-01	Submission has been amended	No
2019-01-01	This submission is the final filing	Yes
2019-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2019-01-01	Plan is a collectively bargained plan	No
2019-01-01	Plan funding arrangement – Insurance	Yes
2019-01-01	Plan funding arrangement – Trust	Yes
2019-01-01	Plan benefit arrangement – Insurance	Yes
2019-01-01	Plan benefit arrangement - Trust	Yes
2018: U. S. RISK LLC 401(K) PLAN 2018 form 5500 responses
2018-01-01	Type of plan entity	Single employer plan
2018-01-01	Submission has been amended	No
2018-01-01	This submission is the final filing	No
2018-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2018-01-01	Plan is a collectively bargained plan	No
2018-01-01	Plan funding arrangement – Insurance	Yes
2018-01-01	Plan funding arrangement – Trust	Yes
2018-01-01	Plan benefit arrangement – Insurance	Yes
2018-01-01	Plan benefit arrangement - Trust	Yes
2017: U. S. RISK LLC 401(K) 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 – Insurance	Yes
2017-01-01	Plan funding arrangement – Trust	Yes
2017-01-01	Plan benefit arrangement – Insurance	Yes
2017-01-01	Plan benefit arrangement - Trust	Yes
2016: U. S. RISK LLC 401(K) 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 – Insurance	Yes
2016-01-01	Plan funding arrangement – Trust	Yes
2016-01-01	Plan benefit arrangement – Insurance	Yes
2016-01-01	Plan benefit arrangement - Trust	Yes

Insurance Providers Used on plan

NATIONWIDE LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 66869 )

Policy contract number

GAP-44-D534

Policy instance

Insurance contract or identification number	GAP-44-D534
Number of Individuals Covered	0
Insurance policy start date	2019-01-01
Insurance policy end date	2019-12-31
Total amount of commissions paid to insurance broker	USD $0
Total amount of fees paid to insurance company	USD $0
Are there contracts with allocated funds for individual policies?	0
Are there contracts with allocated funds for group deferred annuity?	No
Are there contracts with allocated funds for types other than group deferred annuity or individual?	No
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Contracts With Unallocated Funds Deposit Administration	0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?	No
Are there contracts with unallocated funds for contracts of type guaranteed investment?	Yes
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	No
Health Insurance Welfare Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
Were dividends or retroactive rate refunds paid in cash?	No
Were dividends or retroactive rate refunds paid as a credit?	No
Commission paid to Insurance Broker	USD $0
Amount paid for insurance broker fees	0
Insurance broker organization code?	6

NATIONWIDE LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 66869 )

Policy contract number

GAP-44-D534

Policy instance

Insurance contract or identification number	GAP-44-D534
Insurance policy start date	2018-01-01
Insurance policy end date	2018-12-31
Total amount of commissions paid to insurance broker	USD $3,739
Total amount of fees paid to insurance company	USD $0
Are there contracts with allocated funds for individual policies?	0
Are there contracts with allocated funds for group deferred annuity?	No
Are there contracts with allocated funds for types other than group deferred annuity or individual?	No
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Contracts With Unallocated Funds Deposit Administration	0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?	No
Are there contracts with unallocated funds for contracts of type guaranteed investment?	Yes
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	No
Health Insurance Welfare Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
Were dividends or retroactive rate refunds paid in cash?	No
Were dividends or retroactive rate refunds paid as a credit?	No
Commission paid to Insurance Broker	USD $3,739
Insurance broker organization code?	6

NATIONWIDE LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 66869 )

Policy contract number

GAP-44-D534

Policy instance

Insurance contract or identification number	GAP-44-D534
Insurance policy start date	2017-01-01
Insurance policy end date	2017-12-31
Total amount of commissions paid to insurance broker	USD $3,732
Total amount of fees paid to insurance company	USD $0
Are there contracts with allocated funds for individual policies?	0
Are there contracts with allocated funds for group deferred annuity?	No
Are there contracts with allocated funds for types other than group deferred annuity or individual?	No
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Contracts With Unallocated Funds Deposit Administration	0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?	No
Are there contracts with unallocated funds for contracts of type guaranteed investment?	Yes
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	No
Health Insurance Welfare Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
Were dividends or retroactive rate refunds paid in cash?	No
Were dividends or retroactive rate refunds paid as a credit?	No
Commission paid to Insurance Broker	USD $3,732
Amount paid for insurance broker fees	0
Insurance broker organization code?	6
Insurance broker name	MORGAN STANLEY SMITH BARNEY LL

Potentially related plans

Was this data useful?

If you found the data here useful, PLEASE HELP US. We are a start-up and believe in making information freely available. By linking to us, posting on twitter, facebook and linkedin about us and generally spreading the word, you'll help us to grow. Our vision is to provide high quality data about the activities of all the companies in the world and where possible make it free to use and view. Finding and integrating data from thousands of data sources is time consuming and needs lots of effort. By simply spreading the word about us, you will help us. Please use the share buttons. It will only take a few seconds of your time. Thanks for helping

Information Disclaimer

The information provided on this website is not advice, endorsement or recommendation
The information published is supplied by third parties so we make no warranty on the accuracy, completeness etc. This information is provided "as-is". The information is subject to change as we obtain updates and corrections from the primary information sources.
You are free to use the information for your own personal research on the understanding to do so is at your own risk.

See full terms and conditions

Company Name:	U.S. RISK LLC
Employer identification number (EIN):	752436502
NAIC Classification:	524210
NAIC Description:	Insurance Agencies and Brokerages