401k Plan data: RICHARD HEATH & ASSOCIATES, INC. 401(K) PROFIT SHARING PLAN plan

RICHARD HEATH & ASSOCIATES, INC. 401(K) PROFIT SHARING PLAN 401k Plan overview

Plan Name	RICHARD HEATH & ASSOCIATES, INC. 401(K) PROFIT SHARING PLAN
Plan identification number	001

RICHARD HEATH & ASSOCIATES, INC. 401(K) PROFIT SHARING PLAN Benefits

401k Plan Type

Defined Contribution Pension

Plan Features/Benefits

Age/Service Weighted or new comparability or similar plan - Age/Service Weighted Plan: Allocations are based on age, service, or age and service. New comparability or similar plan: Allocations are based on participant classifications and a classification(s) consists entirely or predominantly of highly compensated employees; or the plan provides an additional allocation rate on compensation above a specified threshold, and the theshold or additional rate exceeds the maximum threshold or rate allowed under the permitted disparity rules of section 401(l).
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.

401k Sponsoring company profile

RICHARD HEATH & ASSOCIATES, INC. has sponsored the creation of one or more 401k plans.

Company Name: RICHARD HEATH & ASSOCIATES, INC.

Employer identification number (EIN): 942625839

NAIC Classification: 541600

Form 5500 Filing Information

Submission information for form 5500 for 401k plan RICHARD HEATH & ASSOCIATES, INC. 401(K) PROFIT SHARING PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2021-12-01
001 2020-12-01
001 2019-12-01
001 2018-12-01
001 2017-12-01
001 2016-12-01
001 2015-12-01
001 2014-12-01 STACEY ALEXANDER STACEY ALEXANDER 2016-09-15
001 2013-12-01 JENNIFER DIAZ JENNIFER DIAZ 2015-09-15
001 2012-12-01 JOE WILLIAMS JOE WILLIAMS 2014-09-15
001 2011-12-01 JOE WILLIAMS JOE WILLIAMS 2013-09-16
001 2009-12-01 RICHARD HEATH RICHARD HEATH 2011-09-09
001 2008-12-01

Plan id#	Filing Submission Date	Name of Administrator	Name of Company Sponsor	Date Sponsor Signed
001	2021-12-01
001	2020-12-01
001	2019-12-01
001	2018-12-01
001	2017-12-01
001	2016-12-01
001	2015-12-01
001	2014-12-01	STACEY ALEXANDER	STACEY ALEXANDER	2016-09-15
001	2013-12-01	JENNIFER DIAZ	JENNIFER DIAZ	2015-09-15
001	2012-12-01	JOE WILLIAMS	JOE WILLIAMS	2014-09-15
001	2011-12-01	JOE WILLIAMS	JOE WILLIAMS	2013-09-16
001	2009-12-01	RICHARD HEATH	RICHARD HEATH	2011-09-09
001	2008-12-01

Plan Statistics for RICHARD HEATH & ASSOCIATES, INC. 401(K) PROFIT SHARING PLAN

401k plan membership statisitcs for RICHARD HEATH & ASSOCIATES, INC. 401(K) PROFIT SHARING PLAN

Measure Date Value
2021: RICHARD HEATH & ASSOCIATES, INC. 401(K) PROFIT SHARING PLAN 2021 401k membership
Total participants, beginning-of-year 2021-12-01 254
Total number of active participants reported on line 7a of the Form 5500 2021-12-01 208
Number of retired or separated participants receiving benefits 2021-12-01 1
Number of other retired or separated participants entitled to future benefits 2021-12-01 40
Total of all active and inactive participants 2021-12-01 249
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2021-12-01 0
Total participants 2021-12-01 249
Number of participants with account balances 2021-12-01 244
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2021-12-01 10
2020: RICHARD HEATH & ASSOCIATES, INC. 401(K) PROFIT SHARING PLAN 2020 401k membership
Total participants, beginning-of-year 2020-12-01 228
Total number of active participants reported on line 7a of the Form 5500 2020-12-01 200
Number of retired or separated participants receiving benefits 2020-12-01 1
Number of other retired or separated participants entitled to future benefits 2020-12-01 50
Total of all active and inactive participants 2020-12-01 251
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2020-12-01 0
Total participants 2020-12-01 251
Number of participants with account balances 2020-12-01 246
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2020-12-01 16
2019: RICHARD HEATH & ASSOCIATES, INC. 401(K) PROFIT SHARING PLAN 2019 401k membership
Total participants, beginning-of-year 2019-12-01 314
Total number of active participants reported on line 7a of the Form 5500 2019-12-01 196
Number of retired or separated participants receiving benefits 2019-12-01 0
Number of other retired or separated participants entitled to future benefits 2019-12-01 31
Total of all active and inactive participants 2019-12-01 227
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2019-12-01 0
Total participants 2019-12-01 227
Number of participants with account balances 2019-12-01 222
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2019-12-01 18
2018: RICHARD HEATH & ASSOCIATES, INC. 401(K) PROFIT SHARING PLAN 2018 401k membership
Total participants, beginning-of-year 2018-12-01 362
Total number of active participants reported on line 7a of the Form 5500 2018-12-01 258
Number of retired or separated participants receiving benefits 2018-12-01 2
Number of other retired or separated participants entitled to future benefits 2018-12-01 48
Total of all active and inactive participants 2018-12-01 308
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2018-12-01 0
Total participants 2018-12-01 308
Number of participants with account balances 2018-12-01 304
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2018-12-01 3
2017: RICHARD HEATH & ASSOCIATES, INC. 401(K) PROFIT SHARING PLAN 2017 401k membership
Total participants, beginning-of-year 2017-12-01 331
Total number of active participants reported on line 7a of the Form 5500 2017-12-01 304
Number of retired or separated participants receiving benefits 2017-12-01 5
Number of other retired or separated participants entitled to future benefits 2017-12-01 53
Total of all active and inactive participants 2017-12-01 362
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2017-12-01 0
Total participants 2017-12-01 362
Number of participants with account balances 2017-12-01 353
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2017-12-01 14
2016: RICHARD HEATH & ASSOCIATES, INC. 401(K) PROFIT SHARING PLAN 2016 401k membership
Total participants, beginning-of-year 2016-12-01 339
Total number of active participants reported on line 7a of the Form 5500 2016-12-01 178
Number of retired or separated participants receiving benefits 2016-12-01 0
Number of other retired or separated participants entitled to future benefits 2016-12-01 164
Total of all active and inactive participants 2016-12-01 342
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2016-12-01 0
Total participants 2016-12-01 342
Number of participants with account balances 2016-12-01 334
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2016-12-01 15
2015: RICHARD HEATH & ASSOCIATES, INC. 401(K) PROFIT SHARING PLAN 2015 401k membership
Total participants, beginning-of-year 2015-12-01 351
Total number of active participants reported on line 7a of the Form 5500 2015-12-01 196
Number of other retired or separated participants entitled to future benefits 2015-12-01 122
Total of all active and inactive participants 2015-12-01 318
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2015-12-01 0
Total participants 2015-12-01 318
Number of participants with account balances 2015-12-01 313
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2015-12-01 27
2014: RICHARD HEATH & ASSOCIATES, INC. 401(K) PROFIT SHARING PLAN 2014 401k membership
Total participants, beginning-of-year 2014-12-01 364
Total number of active participants reported on line 7a of the Form 5500 2014-12-01 240
Number of retired or separated participants receiving benefits 2014-12-01 0
Number of other retired or separated participants entitled to future benefits 2014-12-01 75
Total of all active and inactive participants 2014-12-01 315
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2014-12-01 0
Total participants 2014-12-01 315
Number of participants with account balances 2014-12-01 313
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2014-12-01 29
2013: RICHARD HEATH & ASSOCIATES, INC. 401(K) PROFIT SHARING PLAN 2013 401k membership
Total participants, beginning-of-year 2013-12-01 336
Total number of active participants reported on line 7a of the Form 5500 2013-12-01 237
Number of retired or separated participants receiving benefits 2013-12-01 69
Total of all active and inactive participants 2013-12-01 306
Total participants 2013-12-01 306
Number of participants with account balances 2013-12-01 303
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2013-12-01 26
2012: RICHARD HEATH & ASSOCIATES, INC. 401(K) PROFIT SHARING PLAN 2012 401k membership
Total participants, beginning-of-year 2012-12-01 316
Total number of active participants reported on line 7a of the Form 5500 2012-12-01 248
Number of other retired or separated participants entitled to future benefits 2012-12-01 53
Total of all active and inactive participants 2012-12-01 301
Total participants 2012-12-01 301
Number of participants with account balances 2012-12-01 299
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2012-12-01 18
2011: RICHARD HEATH & ASSOCIATES, INC. 401(K) PROFIT SHARING PLAN 2011 401k membership
Total participants, beginning-of-year 2011-12-01 300
Total number of active participants reported on line 7a of the Form 5500 2011-12-01 237
Number of other retired or separated participants entitled to future benefits 2011-12-01 48
Total of all active and inactive participants 2011-12-01 285
Total participants 2011-12-01 285
Number of participants with account balances 2011-12-01 282
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-12-01 15
2009: RICHARD HEATH & ASSOCIATES, INC. 401(K) PROFIT SHARING PLAN 2009 401k membership
Total participants, beginning-of-year 2009-12-01 240
Total number of active participants reported on line 7a of the Form 5500 2009-12-01 211
Number of retired or separated participants receiving benefits 2009-12-01 0
Number of other retired or separated participants entitled to future benefits 2009-12-01 25
Total of all active and inactive participants 2009-12-01 236
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-12-01 0
Total participants 2009-12-01 236
Number of participants with account balances 2009-12-01 234
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-12-01 18

Measure	Date	Value
2021: RICHARD HEATH & ASSOCIATES, INC. 401(K) PROFIT SHARING PLAN 2021 401k membership
Total participants, beginning-of-year	2021-12-01	254
Total number of active participants reported on line 7a of the Form 5500	2021-12-01	208
Number of retired or separated participants receiving benefits	2021-12-01	1
Number of other retired or separated participants entitled to future benefits	2021-12-01	40
Total of all active and inactive participants	2021-12-01	249
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2021-12-01	0
Total participants	2021-12-01	249
Number of participants with account balances	2021-12-01	244
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2021-12-01	10
2020: RICHARD HEATH & ASSOCIATES, INC. 401(K) PROFIT SHARING PLAN 2020 401k membership
Total participants, beginning-of-year	2020-12-01	228
Total number of active participants reported on line 7a of the Form 5500	2020-12-01	200
Number of retired or separated participants receiving benefits	2020-12-01	1
Number of other retired or separated participants entitled to future benefits	2020-12-01	50
Total of all active and inactive participants	2020-12-01	251
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2020-12-01	0
Total participants	2020-12-01	251
Number of participants with account balances	2020-12-01	246
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2020-12-01	16
2019: RICHARD HEATH & ASSOCIATES, INC. 401(K) PROFIT SHARING PLAN 2019 401k membership
Total participants, beginning-of-year	2019-12-01	314
Total number of active participants reported on line 7a of the Form 5500	2019-12-01	196
Number of retired or separated participants receiving benefits	2019-12-01	0
Number of other retired or separated participants entitled to future benefits	2019-12-01	31
Total of all active and inactive participants	2019-12-01	227
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2019-12-01	0
Total participants	2019-12-01	227
Number of participants with account balances	2019-12-01	222
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2019-12-01	18
2018: RICHARD HEATH & ASSOCIATES, INC. 401(K) PROFIT SHARING PLAN 2018 401k membership
Total participants, beginning-of-year	2018-12-01	362
Total number of active participants reported on line 7a of the Form 5500	2018-12-01	258
Number of retired or separated participants receiving benefits	2018-12-01	2
Number of other retired or separated participants entitled to future benefits	2018-12-01	48
Total of all active and inactive participants	2018-12-01	308
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2018-12-01	0
Total participants	2018-12-01	308
Number of participants with account balances	2018-12-01	304
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2018-12-01	3
2017: RICHARD HEATH & ASSOCIATES, INC. 401(K) PROFIT SHARING PLAN 2017 401k membership
Total participants, beginning-of-year	2017-12-01	331
Total number of active participants reported on line 7a of the Form 5500	2017-12-01	304
Number of retired or separated participants receiving benefits	2017-12-01	5
Number of other retired or separated participants entitled to future benefits	2017-12-01	53
Total of all active and inactive participants	2017-12-01	362
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2017-12-01	0
Total participants	2017-12-01	362
Number of participants with account balances	2017-12-01	353
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2017-12-01	14
2016: RICHARD HEATH & ASSOCIATES, INC. 401(K) PROFIT SHARING PLAN 2016 401k membership
Total participants, beginning-of-year	2016-12-01	339
Total number of active participants reported on line 7a of the Form 5500	2016-12-01	178
Number of retired or separated participants receiving benefits	2016-12-01	0
Number of other retired or separated participants entitled to future benefits	2016-12-01	164
Total of all active and inactive participants	2016-12-01	342
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2016-12-01	0
Total participants	2016-12-01	342
Number of participants with account balances	2016-12-01	334
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2016-12-01	15
2015: RICHARD HEATH & ASSOCIATES, INC. 401(K) PROFIT SHARING PLAN 2015 401k membership
Total participants, beginning-of-year	2015-12-01	351
Total number of active participants reported on line 7a of the Form 5500	2015-12-01	196
Number of other retired or separated participants entitled to future benefits	2015-12-01	122
Total of all active and inactive participants	2015-12-01	318
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2015-12-01	0
Total participants	2015-12-01	318
Number of participants with account balances	2015-12-01	313
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2015-12-01	27
2014: RICHARD HEATH & ASSOCIATES, INC. 401(K) PROFIT SHARING PLAN 2014 401k membership
Total participants, beginning-of-year	2014-12-01	364
Total number of active participants reported on line 7a of the Form 5500	2014-12-01	240
Number of retired or separated participants receiving benefits	2014-12-01	0
Number of other retired or separated participants entitled to future benefits	2014-12-01	75
Total of all active and inactive participants	2014-12-01	315
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2014-12-01	0
Total participants	2014-12-01	315
Number of participants with account balances	2014-12-01	313
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2014-12-01	29
2013: RICHARD HEATH & ASSOCIATES, INC. 401(K) PROFIT SHARING PLAN 2013 401k membership
Total participants, beginning-of-year	2013-12-01	336
Total number of active participants reported on line 7a of the Form 5500	2013-12-01	237
Number of retired or separated participants receiving benefits	2013-12-01	69
Total of all active and inactive participants	2013-12-01	306
Total participants	2013-12-01	306
Number of participants with account balances	2013-12-01	303
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2013-12-01	26
2012: RICHARD HEATH & ASSOCIATES, INC. 401(K) PROFIT SHARING PLAN 2012 401k membership
Total participants, beginning-of-year	2012-12-01	316
Total number of active participants reported on line 7a of the Form 5500	2012-12-01	248
Number of other retired or separated participants entitled to future benefits	2012-12-01	53
Total of all active and inactive participants	2012-12-01	301
Total participants	2012-12-01	301
Number of participants with account balances	2012-12-01	299
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2012-12-01	18
2011: RICHARD HEATH & ASSOCIATES, INC. 401(K) PROFIT SHARING PLAN 2011 401k membership
Total participants, beginning-of-year	2011-12-01	300
Total number of active participants reported on line 7a of the Form 5500	2011-12-01	237
Number of other retired or separated participants entitled to future benefits	2011-12-01	48
Total of all active and inactive participants	2011-12-01	285
Total participants	2011-12-01	285
Number of participants with account balances	2011-12-01	282
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-12-01	15
2009: RICHARD HEATH & ASSOCIATES, INC. 401(K) PROFIT SHARING PLAN 2009 401k membership
Total participants, beginning-of-year	2009-12-01	240
Total number of active participants reported on line 7a of the Form 5500	2009-12-01	211
Number of retired or separated participants receiving benefits	2009-12-01	0
Number of other retired or separated participants entitled to future benefits	2009-12-01	25
Total of all active and inactive participants	2009-12-01	236
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-12-01	0
Total participants	2009-12-01	236
Number of participants with account balances	2009-12-01	234
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-12-01	18

Financial Data on RICHARD HEATH & ASSOCIATES, INC. 401(K) PROFIT SHARING PLAN

Measure	Date	Value
2022 : RICHARD HEATH & ASSOCIATES, INC. 401(K) PROFIT SHARING PLAN 2022 401k financial data
Total unrealized appreciation/depreciation of assets	2022-11-30	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2022-11-30	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2022-11-30	$0
Total income from all sources (including contributions)	2022-11-30	$476,282
Total loss/gain on sale of assets	2022-11-30	$0
Total of all expenses incurred	2022-11-30	$586,078
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2022-11-30	$529,627
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2022-11-30	$1,390,597
Value of total assets at end of year	2022-11-30	$7,174,742
Value of total assets at beginning of year	2022-11-30	$7,284,538
Total of administrative expenses incurred including professional, contract, advisory and management fees	2022-11-30	$56,451
Total interest from all sources	2022-11-30	$7,523
Total dividends received (eg from common stock, registered investment company shares)	2022-11-30	$382,374
Total dividends received from registered investment company shares (eg mutual funds)	2022-11-30	$382,374
Was this plan covered by a fidelity bond	2022-11-30	Yes
Value of fidelity bond cover	2022-11-30	$500,000
If this is an individual account plan, was there a blackout period	2022-11-30	No
Were there any nonexempt tranactions with any party-in-interest	2022-11-30	No
Contributions received from participants	2022-11-30	$822,712
Participant contributions at end of year	2022-11-30	$158,808
Participant contributions at beginning of year	2022-11-30	$182,536
Participant contributions at end of year	2022-11-30	$31,234
Participant contributions at beginning of year	2022-11-30	$25,515
Income. Received or receivable in cash from other sources (including rollovers)	2022-11-30	$67,885
Total non interest bearing cash at end of year	2022-11-30	$902
Total non interest bearing cash at beginning of year	2022-11-30	$175
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2022-11-30	No
Value of net income/loss	2022-11-30	$-109,796
Value of net assets at end of year (total assets less liabilities)	2022-11-30	$7,174,742
Value of net assets at beginning of year (total assets less liabilities)	2022-11-30	$7,284,538
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2022-11-30	No
Were any loans by the plan or fixed income obligations due to the plan in default	2022-11-30	No
Were any leases to which the plan was party in default or uncollectible	2022-11-30	No
Investment advisory and management fees	2022-11-30	$31,829
Value of interest in registered invesment companies (eg mutual funds) at end of year	2022-11-30	$6,100,139
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2022-11-30	$6,284,110
Interest on participant loans	2022-11-30	$7,523
Value of interest in common/collective trusts at end of year	2022-11-30	$383,659
Value of interest in common/collective trusts at beginning of year	2022-11-30	$292,202
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2022-11-30	$-1,306,775
Net investment gain or loss from common/collective trusts	2022-11-30	$2,563
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2022-11-30	No
Was there a failure to transmit to the plan any participant contributions	2022-11-30	No
Has the plan failed to provide any benefit when due under the plan	2022-11-30	No
Contributions received in cash from employer	2022-11-30	$500,000
Employer contributions (assets) at end of year	2022-11-30	$500,000
Employer contributions (assets) at beginning of year	2022-11-30	$500,000
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2022-11-30	$529,627
Contract administrator fees	2022-11-30	$24,622
Did the plan have assets held for investment	2022-11-30	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	2022-11-30	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2022-11-30	No
Opinion of an independent qualified public accountant for this plan	2022-11-30	Unqualified
Accountancy firm name	2022-11-30	KAKU & MERSINO, LLP
Accountancy firm EIN	2022-11-30	770494454
2021 : RICHARD HEATH & ASSOCIATES, INC. 401(K) PROFIT SHARING PLAN 2021 401k financial data
Total unrealized appreciation/depreciation of assets	2021-11-30	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2021-11-30	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2021-11-30	$0
Total income from all sources (including contributions)	2021-11-30	$1,957,727
Total loss/gain on sale of assets	2021-11-30	$0
Total of all expenses incurred	2021-11-30	$383,739
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2021-11-30	$337,596
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2021-11-30	$1,153,361
Value of total assets at end of year	2021-11-30	$7,284,538
Value of total assets at beginning of year	2021-11-30	$5,710,550
Total of administrative expenses incurred including professional, contract, advisory and management fees	2021-11-30	$46,143
Total interest from all sources	2021-11-30	$7,405
Total dividends received (eg from common stock, registered investment company shares)	2021-11-30	$0
Was this plan covered by a fidelity bond	2021-11-30	Yes
Value of fidelity bond cover	2021-11-30	$500,000
If this is an individual account plan, was there a blackout period	2021-11-30	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2021-11-30	$0
Were there any nonexempt tranactions with any party-in-interest	2021-11-30	No
Contributions received from participants	2021-11-30	$653,361
Participant contributions at end of year	2021-11-30	$182,536
Participant contributions at beginning of year	2021-11-30	$95,580
Participant contributions at end of year	2021-11-30	$25,515
Participant contributions at beginning of year	2021-11-30	$0
Total non interest bearing cash at end of year	2021-11-30	$175
Total non interest bearing cash at beginning of year	2021-11-30	$21,196
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2021-11-30	No
Value of net income/loss	2021-11-30	$1,573,988
Value of net assets at end of year (total assets less liabilities)	2021-11-30	$7,284,538
Value of net assets at beginning of year (total assets less liabilities)	2021-11-30	$5,710,550
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2021-11-30	No
Were any loans by the plan or fixed income obligations due to the plan in default	2021-11-30	No
Were any leases to which the plan was party in default or uncollectible	2021-11-30	No
Investment advisory and management fees	2021-11-30	$30,174
Value of interest in registered invesment companies (eg mutual funds) at end of year	2021-11-30	$6,284,110
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2021-11-30	$4,942,903
Interest on participant loans	2021-11-30	$7,405
Value of interest in common/collective trusts at end of year	2021-11-30	$292,202
Value of interest in common/collective trusts at beginning of year	2021-11-30	$252,068
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2021-11-30	$795,065
Net investment gain or loss from common/collective trusts	2021-11-30	$1,896
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2021-11-30	No
Was there a failure to transmit to the plan any participant contributions	2021-11-30	No
Has the plan failed to provide any benefit when due under the plan	2021-11-30	No
Contributions received in cash from employer	2021-11-30	$500,000
Employer contributions (assets) at end of year	2021-11-30	$500,000
Employer contributions (assets) at beginning of year	2021-11-30	$398,803
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2021-11-30	$337,596
Contract administrator fees	2021-11-30	$15,969
Did the plan have assets held for investment	2021-11-30	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	2021-11-30	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2021-11-30	No
Opinion of an independent qualified public accountant for this plan	2021-11-30	Disclaimer
Accountancy firm name	2021-11-30	KAKU & MERSINO, LLP
Accountancy firm EIN	2021-11-30	770494454
2020 : RICHARD HEATH & ASSOCIATES, INC. 401(K) PROFIT SHARING PLAN 2020 401k financial data
Total unrealized appreciation/depreciation of assets	2020-11-30	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2020-11-30	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2020-11-30	$0
Total income from all sources (including contributions)	2020-11-30	$1,523,572
Total loss/gain on sale of assets	2020-11-30	$0
Total of all expenses incurred	2020-11-30	$2,128,404
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2020-11-30	$2,054,858
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2020-11-30	$935,605
Value of total assets at end of year	2020-11-30	$5,710,550
Value of total assets at beginning of year	2020-11-30	$6,315,382
Total of administrative expenses incurred including professional, contract, advisory and management fees	2020-11-30	$73,546
Total interest from all sources	2020-11-30	$5,213
Total dividends received (eg from common stock, registered investment company shares)	2020-11-30	$260,117
Total dividends received from registered investment company shares (eg mutual funds)	2020-11-30	$260,117
Was this plan covered by a fidelity bond	2020-11-30	Yes
Value of fidelity bond cover	2020-11-30	$500,000
If this is an individual account plan, was there a blackout period	2020-11-30	No
Were there any nonexempt tranactions with any party-in-interest	2020-11-30	No
Contributions received from participants	2020-11-30	$529,726
Participant contributions at end of year	2020-11-30	$95,580
Participant contributions at beginning of year	2020-11-30	$89,671
Participant contributions at end of year	2020-11-30	$0
Participant contributions at beginning of year	2020-11-30	$21,959
Income. Received or receivable in cash from other sources (including rollovers)	2020-11-30	$7,076
Total non interest bearing cash at end of year	2020-11-30	$21,196
Total non interest bearing cash at beginning of year	2020-11-30	$340
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2020-11-30	No
Value of net income/loss	2020-11-30	$-604,832
Value of net assets at end of year (total assets less liabilities)	2020-11-30	$5,710,550
Value of net assets at beginning of year (total assets less liabilities)	2020-11-30	$6,315,382
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2020-11-30	No
Were any loans by the plan or fixed income obligations due to the plan in default	2020-11-30	No
Were any leases to which the plan was party in default or uncollectible	2020-11-30	No
Investment advisory and management fees	2020-11-30	$27,434
Value of interest in registered invesment companies (eg mutual funds) at end of year	2020-11-30	$4,942,903
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2020-11-30	$5,631,944
Interest on participant loans	2020-11-30	$5,213
Value of interest in common/collective trusts at end of year	2020-11-30	$252,068
Value of interest in common/collective trusts at beginning of year	2020-11-30	$298,791
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2020-11-30	$319,377
Net investment gain or loss from common/collective trusts	2020-11-30	$3,260
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2020-11-30	No
Was there a failure to transmit to the plan any participant contributions	2020-11-30	No
Has the plan failed to provide any benefit when due under the plan	2020-11-30	No
Contributions received in cash from employer	2020-11-30	$398,803
Employer contributions (assets) at end of year	2020-11-30	$398,803
Employer contributions (assets) at beginning of year	2020-11-30	$272,677
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2020-11-30	$2,054,858
Contract administrator fees	2020-11-30	$46,112
Did the plan have assets held for investment	2020-11-30	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	2020-11-30	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2020-11-30	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2020-11-30	Yes
Opinion of an independent qualified public accountant for this plan	2020-11-30	Disclaimer
Accountancy firm name	2020-11-30	KAKU & MERSINO, LLP
Accountancy firm EIN	2020-11-30	770494454
2019 : RICHARD HEATH & ASSOCIATES, INC. 401(K) PROFIT SHARING PLAN 2019 401k financial data
Total unrealized appreciation/depreciation of assets	2019-11-30	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2019-11-30	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2019-11-30	$0
Total income from all sources (including contributions)	2019-11-30	$1,560,313
Total loss/gain on sale of assets	2019-11-30	$0
Total of all expenses incurred	2019-11-30	$965,871
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2019-11-30	$914,445
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2019-11-30	$865,634
Value of total assets at end of year	2019-11-30	$6,315,382
Value of total assets at beginning of year	2019-11-30	$5,720,940
Total of administrative expenses incurred including professional, contract, advisory and management fees	2019-11-30	$51,426
Total interest from all sources	2019-11-30	$3,222
Total dividends received (eg from common stock, registered investment company shares)	2019-11-30	$292,069
Total dividends received from registered investment company shares (eg mutual funds)	2019-11-30	$292,069
Was this plan covered by a fidelity bond	2019-11-30	Yes
Value of fidelity bond cover	2019-11-30	$500,000
If this is an individual account plan, was there a blackout period	2019-11-30	Yes
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2019-11-30	$0
Were there any nonexempt tranactions with any party-in-interest	2019-11-30	No
Contributions received from participants	2019-11-30	$580,915
Participant contributions at end of year	2019-11-30	$89,671
Participant contributions at beginning of year	2019-11-30	$0
Participant contributions at end of year	2019-11-30	$21,959
Participant contributions at beginning of year	2019-11-30	$25,498
Income. Received or receivable in cash from other sources (including rollovers)	2019-11-30	$12,042
Total non interest bearing cash at end of year	2019-11-30	$340
Total non interest bearing cash at beginning of year	2019-11-30	$48,973
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2019-11-30	No
Value of net income/loss	2019-11-30	$594,442
Value of net assets at end of year (total assets less liabilities)	2019-11-30	$6,315,382
Value of net assets at beginning of year (total assets less liabilities)	2019-11-30	$5,720,940
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2019-11-30	No
Were any loans by the plan or fixed income obligations due to the plan in default	2019-11-30	No
Were any leases to which the plan was party in default or uncollectible	2019-11-30	No
Investment advisory and management fees	2019-11-30	$24,049
Value of interest in registered invesment companies (eg mutual funds) at end of year	2019-11-30	$5,631,944
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2019-11-30	$5,342,407
Interest on participant loans	2019-11-30	$3,222
Value of interest in common/collective trusts at end of year	2019-11-30	$298,791
Value of interest in common/collective trusts at beginning of year	2019-11-30	$304,062
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2019-11-30	$394,968
Net investment gain or loss from common/collective trusts	2019-11-30	$4,420
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2019-11-30	No
Was there a failure to transmit to the plan any participant contributions	2019-11-30	No
Has the plan failed to provide any benefit when due under the plan	2019-11-30	No
Contributions received in cash from employer	2019-11-30	$272,677
Employer contributions (assets) at end of year	2019-11-30	$272,677
Employer contributions (assets) at beginning of year	2019-11-30	$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2019-11-30	$914,445
Contract administrator fees	2019-11-30	$27,377
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	2019-11-30	Yes
Did the plan have assets held for investment	2019-11-30	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	2019-11-30	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2019-11-30	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2019-11-30	Yes
Opinion of an independent qualified public accountant for this plan	2019-11-30	Disclaimer
Accountancy firm name	2019-11-30	KAKU & MERSINO, LLP
Accountancy firm EIN	2019-11-30	770494454
2018 : RICHARD HEATH & ASSOCIATES, INC. 401(K) PROFIT SHARING PLAN 2018 401k financial data
Total unrealized appreciation/depreciation of assets	2018-11-30	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2018-11-30	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2018-11-30	$6,147
Total income from all sources (including contributions)	2018-11-30	$739,746
Total loss/gain on sale of assets	2018-11-30	$0
Total of all expenses incurred	2018-11-30	$3,234,137
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2018-11-30	$3,229,327
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2018-11-30	$532,073
Value of total assets at end of year	2018-11-30	$5,720,940
Value of total assets at beginning of year	2018-11-30	$8,221,478
Total of administrative expenses incurred including professional, contract, advisory and management fees	2018-11-30	$4,810
Total interest from all sources	2018-11-30	$0
Total dividends received (eg from common stock, registered investment company shares)	2018-11-30	$76,891
Total dividends received from registered investment company shares (eg mutual funds)	2018-11-30	$76,891
Was this plan covered by a fidelity bond	2018-11-30	Yes
Value of fidelity bond cover	2018-11-30	$500,000
If this is an individual account plan, was there a blackout period	2018-11-30	Yes
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2018-11-30	$0
Were there any nonexempt tranactions with any party-in-interest	2018-11-30	No
Contributions received from participants	2018-11-30	$520,758
Participant contributions at end of year	2018-11-30	$25,498
Participant contributions at beginning of year	2018-11-30	$0
Assets. Other investments not covered elsewhere at end of year	2018-11-30	$0
Assets. Other investments not covered elsewhere at beginning of year	2018-11-30	$3,632,880
Income. Received or receivable in cash from other sources (including rollovers)	2018-11-30	$11,315
Other income not declared elsewhere	2018-11-30	$130,782
Liabilities. Value of operating payables at end of year	2018-11-30	$0
Liabilities. Value of operating payables at beginning of year	2018-11-30	$3,922
Total non interest bearing cash at end of year	2018-11-30	$48,973
Total non interest bearing cash at beginning of year	2018-11-30	$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	2018-11-30	No
Value of net income/loss	2018-11-30	$-2,494,391
Value of net assets at end of year (total assets less liabilities)	2018-11-30	$5,720,940
Value of net assets at beginning of year (total assets less liabilities)	2018-11-30	$8,215,331
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2018-11-30	No
Were any loans by the plan or fixed income obligations due to the plan in default	2018-11-30	No
Were any leases to which the plan was party in default or uncollectible	2018-11-30	No
Investment advisory and management fees	2018-11-30	$4,810
Value of interest in registered invesment companies (eg mutual funds) at end of year	2018-11-30	$5,342,407
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2018-11-30	$0
Value of interest in common/collective trusts at end of year	2018-11-30	$304,062
Value of interest in common/collective trusts at beginning of year	2018-11-30	$0
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2018-11-30	$0
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2018-11-30	$4,588,598
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2018-11-30	$4,588,598
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2018-11-30	No
Was there a failure to transmit to the plan any participant contributions	2018-11-30	No
Has the plan failed to provide any benefit when due under the plan	2018-11-30	No
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2018-11-30	$3,229,327
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	2018-11-30	Yes
Liabilities. Value of benefit claims payable at end of year	2018-11-30	$0
Liabilities. Value of benefit claims payable at beginning of year	2018-11-30	$2,225
Did the plan have assets held for investment	2018-11-30	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	2018-11-30	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2018-11-30	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2018-11-30	Yes
Opinion of an independent qualified public accountant for this plan	2018-11-30	Disclaimer
Accountancy firm name	2018-11-30	KAKU & MERSINO, LLP
Accountancy firm EIN	2018-11-30	770494454
2017 : RICHARD HEATH & ASSOCIATES, INC. 401(K) PROFIT SHARING PLAN 2017 401k financial data
Total unrealized appreciation/depreciation of assets	2017-11-30	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2017-11-30	$6,147
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2017-11-30	$23,632
Total income from all sources (including contributions)	2017-11-30	$1,153,925
Total loss/gain on sale of assets	2017-11-30	$0
Total of all expenses incurred	2017-11-30	$816,056
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2017-11-30	$795,383
Value of total corrective distributions	2017-11-30	$11,888
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2017-11-30	$444,148
Value of total assets at end of year	2017-11-30	$8,221,478
Value of total assets at beginning of year	2017-11-30	$7,901,094
Total of administrative expenses incurred including professional, contract, advisory and management fees	2017-11-30	$8,785
Total interest from all sources	2017-11-30	$0
Total dividends received (eg from common stock, registered investment company shares)	2017-11-30	$0
Was this plan covered by a fidelity bond	2017-11-30	Yes
Value of fidelity bond cover	2017-11-30	$500,000
If this is an individual account plan, was there a blackout period	2017-11-30	No
Were there any nonexempt tranactions with any party-in-interest	2017-11-30	No
Contributions received from participants	2017-11-30	$444,148
Assets. Other investments not covered elsewhere at end of year	2017-11-30	$3,632,880
Assets. Other investments not covered elsewhere at beginning of year	2017-11-30	$4,378,067
Value of other receiveables (less allowance for doubtful accounts) at end of year	2017-11-30	$0
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2017-11-30	$21,825
Other income not declared elsewhere	2017-11-30	$709,777
Liabilities. Value of operating payables at end of year	2017-11-30	$3,922
Liabilities. Value of operating payables at beginning of year	2017-11-30	$4,188
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2017-11-30	No
Value of net income/loss	2017-11-30	$337,869
Value of net assets at end of year (total assets less liabilities)	2017-11-30	$8,215,331
Value of net assets at beginning of year (total assets less liabilities)	2017-11-30	$7,877,462
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2017-11-30	No
Were any loans by the plan or fixed income obligations due to the plan in default	2017-11-30	No
Were any leases to which the plan was party in default or uncollectible	2017-11-30	No
Investment advisory and management fees	2017-11-30	$2,666
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2017-11-30	$4,588,598
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2017-11-30	$3,501,202
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2017-11-30	$3,501,202
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2017-11-30	No
Was there a failure to transmit to the plan any participant contributions	2017-11-30	No
Has the plan failed to provide any benefit when due under the plan	2017-11-30	No
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2017-11-30	$795,383
Contract administrator fees	2017-11-30	$6,119
Liabilities. Value of benefit claims payable at end of year	2017-11-30	$2,225
Liabilities. Value of benefit claims payable at beginning of year	2017-11-30	$14,439
Did the plan have assets held for investment	2017-11-30	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	2017-11-30	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2017-11-30	No
Liabilities. Value of acquisition indebtedness at end of year	2017-11-30	$0
Liabilities. Value of acquisition indebtedness at beginning of year	2017-11-30	$5,005
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2017-11-30	No
Opinion of an independent qualified public accountant for this plan	2017-11-30	Unqualified
Accountancy firm name	2017-11-30	KAKU & MERSINO, LLP
Accountancy firm EIN	2017-11-30	770494454
2016 : RICHARD HEATH & ASSOCIATES, INC. 401(K) PROFIT SHARING PLAN 2016 401k financial data
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2016-11-30	$23,632
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2016-11-30	$58,079
Total income from all sources (including contributions)	2016-11-30	$683,932
Total of all expenses incurred	2016-11-30	$1,670,111
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2016-11-30	$1,655,506
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2016-11-30	$544,860
Value of total assets at end of year	2016-11-30	$7,901,094
Value of total assets at beginning of year	2016-11-30	$8,921,720
Total of administrative expenses incurred including professional, contract, advisory and management fees	2016-11-30	$14,605
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2016-11-30	No
Was this plan covered by a fidelity bond	2016-11-30	Yes
Value of fidelity bond cover	2016-11-30	$500,000
If this is an individual account plan, was there a blackout period	2016-11-30	No
Were there any nonexempt tranactions with any party-in-interest	2016-11-30	No
Contributions received from participants	2016-11-30	$544,860
Participant contributions at beginning of year	2016-11-30	$0
Assets. Other investments not covered elsewhere at end of year	2016-11-30	$4,378,067
Assets. Other investments not covered elsewhere at beginning of year	2016-11-30	$5,331,554
Value of other receiveables (less allowance for doubtful accounts) at end of year	2016-11-30	$21,825
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2016-11-30	$2,093
Other income not declared elsewhere	2016-11-30	$139,072
Administrative expenses (other) incurred	2016-11-30	$60
Liabilities. Value of operating payables at end of year	2016-11-30	$4,188
Liabilities. Value of operating payables at beginning of year	2016-11-30	$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	2016-11-30	No
Value of net income/loss	2016-11-30	$-986,179
Value of net assets at end of year (total assets less liabilities)	2016-11-30	$7,877,462
Value of net assets at beginning of year (total assets less liabilities)	2016-11-30	$8,863,641
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2016-11-30	No
Were any loans by the plan or fixed income obligations due to the plan in default	2016-11-30	No
Were any leases to which the plan was party in default or uncollectible	2016-11-30	No
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2016-11-30	$3,501,202
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2016-11-30	$3,433,073
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2016-11-30	$3,433,073
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2016-11-30	No
Was there a failure to transmit to the plan any participant contributions	2016-11-30	No
Has the plan failed to provide any benefit when due under the plan	2016-11-30	No
Employer contributions (assets) at beginning of year	2016-11-30	$155,000
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2016-11-30	$1,655,506
Contract administrator fees	2016-11-30	$14,545
Liabilities. Value of benefit claims payable at end of year	2016-11-30	$14,439
Liabilities. Value of benefit claims payable at beginning of year	2016-11-30	$53,074
Did the plan have assets held for investment	2016-11-30	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	2016-11-30	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2016-11-30	No
Liabilities. Value of acquisition indebtedness at end of year	2016-11-30	$5,005
Liabilities. Value of acquisition indebtedness at beginning of year	2016-11-30	$5,005
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2016-11-30	No
Opinion of an independent qualified public accountant for this plan	2016-11-30	Unqualified
Accountancy firm name	2016-11-30	KAKU & MERSINO, LLP
Accountancy firm EIN	2016-11-30	770494454
2015 : RICHARD HEATH & ASSOCIATES, INC. 401(K) PROFIT SHARING PLAN 2015 401k financial data
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2015-11-30	$58,079
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2015-11-30	$34,386
Total income from all sources (including contributions)	2015-11-30	$906,235
Total of all expenses incurred	2015-11-30	$682,032
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2015-11-30	$658,595
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2015-11-30	$842,491
Value of total assets at end of year	2015-11-30	$8,921,720
Value of total assets at beginning of year	2015-11-30	$8,673,824
Total of administrative expenses incurred including professional, contract, advisory and management fees	2015-11-30	$23,437
Total interest from all sources	2015-11-30	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2015-11-30	No
Was this plan covered by a fidelity bond	2015-11-30	Yes
Value of fidelity bond cover	2015-11-30	$500,000
If this is an individual account plan, was there a blackout period	2015-11-30	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2015-11-30	$0
Were there any nonexempt tranactions with any party-in-interest	2015-11-30	No
Contributions received from participants	2015-11-30	$618,050
Participant contributions at end of year	2015-11-30	$0
Assets. Other investments not covered elsewhere at end of year	2015-11-30	$5,331,554
Assets. Other investments not covered elsewhere at beginning of year	2015-11-30	$5,252,434
Income. Received or receivable in cash from other sources (including rollovers)	2015-11-30	$69,441
Value of other receiveables (less allowance for doubtful accounts) at end of year	2015-11-30	$2,093
Administrative expenses (other) incurred	2015-11-30	$17
Liabilities. Value of operating payables at end of year	2015-11-30	$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	2015-11-30	No
Value of net income/loss	2015-11-30	$224,203
Value of net assets at end of year (total assets less liabilities)	2015-11-30	$8,863,641
Value of net assets at beginning of year (total assets less liabilities)	2015-11-30	$8,639,438
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2015-11-30	No
Were any loans by the plan or fixed income obligations due to the plan in default	2015-11-30	No
Were any leases to which the plan was party in default or uncollectible	2015-11-30	No
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2015-11-30	$3,433,073
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2015-11-30	$3,021,390
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2015-11-30	$3,021,390
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2015-11-30	$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2015-11-30	$63,744
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2015-11-30	No
Was there a failure to transmit to the plan any participant contributions	2015-11-30	No
Has the plan failed to provide any benefit when due under the plan	2015-11-30	No
Contributions received in cash from employer	2015-11-30	$155,000
Employer contributions (assets) at end of year	2015-11-30	$155,000
Employer contributions (assets) at beginning of year	2015-11-30	$400,000
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2015-11-30	$658,595
Contract administrator fees	2015-11-30	$23,420
Liabilities. Value of benefit claims payable at end of year	2015-11-30	$53,074
Liabilities. Value of benefit claims payable at beginning of year	2015-11-30	$7,008
Did the plan have assets held for investment	2015-11-30	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	2015-11-30	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2015-11-30	No
Liabilities. Value of acquisition indebtedness at end of year	2015-11-30	$5,005
Liabilities. Value of acquisition indebtedness at beginning of year	2015-11-30	$27,378
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2015-11-30	No
Opinion of an independent qualified public accountant for this plan	2015-11-30	Unqualified
Accountancy firm name	2015-11-30	KAKU & MERSINO, LLP
Accountancy firm EIN	2015-11-30	770494454
2014 : RICHARD HEATH & ASSOCIATES, INC. 401(K) PROFIT SHARING PLAN 2014 401k financial data
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2014-11-30	$34,386
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2014-11-30	$15,853
Total income from all sources (including contributions)	2014-11-30	$1,407,136
Total of all expenses incurred	2014-11-30	$1,343,681
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2014-11-30	$1,314,045
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2014-11-30	$913,225
Value of total assets at end of year	2014-11-30	$8,673,824
Value of total assets at beginning of year	2014-11-30	$8,591,836
Total of administrative expenses incurred including professional, contract, advisory and management fees	2014-11-30	$29,636
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2014-11-30	No
Administrative expenses professional fees incurred	2014-11-30	$0
Was this plan covered by a fidelity bond	2014-11-30	Yes
Value of fidelity bond cover	2014-11-30	$500,000
If this is an individual account plan, was there a blackout period	2014-11-30	No
Were there any nonexempt tranactions with any party-in-interest	2014-11-30	No
Contributions received from participants	2014-11-30	$513,225
Participant contributions at beginning of year	2014-11-30	$18,199
Assets. Other investments not covered elsewhere at end of year	2014-11-30	$5,252,434
Assets. Other investments not covered elsewhere at beginning of year	2014-11-30	$4,556,633
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2014-11-30	$242
Liabilities. Value of operating payables at beginning of year	2014-11-30	$15,853
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2014-11-30	No
Value of net income/loss	2014-11-30	$63,455
Value of net assets at end of year (total assets less liabilities)	2014-11-30	$8,639,438
Value of net assets at beginning of year (total assets less liabilities)	2014-11-30	$8,575,983
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2014-11-30	No
Were any loans by the plan or fixed income obligations due to the plan in default	2014-11-30	No
Were any leases to which the plan was party in default or uncollectible	2014-11-30	No
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2014-11-30	$3,021,390
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2014-11-30	$3,389,956
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2014-11-30	$3,389,956
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2014-11-30	$493,911
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2014-11-30	No
Was there a failure to transmit to the plan any participant contributions	2014-11-30	No
Has the plan failed to provide any benefit when due under the plan	2014-11-30	No
Contributions received in cash from employer	2014-11-30	$400,000
Employer contributions (assets) at end of year	2014-11-30	$400,000
Employer contributions (assets) at beginning of year	2014-11-30	$626,806
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2014-11-30	$1,314,045
Contract administrator fees	2014-11-30	$29,636
Liabilities. Value of benefit claims payable at end of year	2014-11-30	$7,008
Did the plan have assets held for investment	2014-11-30	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	2014-11-30	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2014-11-30	No
Liabilities. Value of acquisition indebtedness at end of year	2014-11-30	$27,378
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2014-11-30	No
Opinion of an independent qualified public accountant for this plan	2014-11-30	Qualified
Accountancy firm name	2014-11-30	KAKU & MERSINO, LLP
Accountancy firm EIN	2014-11-30	770494454
2013 : RICHARD HEATH & ASSOCIATES, INC. 401(K) PROFIT SHARING PLAN 2013 401k financial data
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2013-11-30	$15,853
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2013-11-30	$14,932
Total income from all sources (including contributions)	2013-11-30	$2,012,037
Total of all expenses incurred	2013-11-30	$636,457
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2013-11-30	$626,630
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2013-11-30	$1,222,237
Value of total assets at end of year	2013-11-30	$8,591,836
Value of total assets at beginning of year	2013-11-30	$7,215,335
Total of administrative expenses incurred including professional, contract, advisory and management fees	2013-11-30	$9,827
Total interest from all sources	2013-11-30	$148,285
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2013-11-30	No
Administrative expenses professional fees incurred	2013-11-30	$9,798
Was this plan covered by a fidelity bond	2013-11-30	Yes
Value of fidelity bond cover	2013-11-30	$500,000
If this is an individual account plan, was there a blackout period	2013-11-30	No
Were there any nonexempt tranactions with any party-in-interest	2013-11-30	No
Contributions received from participants	2013-11-30	$455,674
Participant contributions at end of year	2013-11-30	$18,199
Participant contributions at beginning of year	2013-11-30	$15,882
Assets. Other investments not covered elsewhere at end of year	2013-11-30	$4,556,633
Assets. Other investments not covered elsewhere at beginning of year	2013-11-30	$4,400,815
Income. Received or receivable in cash from other sources (including rollovers)	2013-11-30	$139,515
Value of other receiveables (less allowance for doubtful accounts) at end of year	2013-11-30	$242
Other income not declared elsewhere	2013-11-30	$1,149
Liabilities. Value of operating payables at end of year	2013-11-30	$15,853
Liabilities. Value of operating payables at beginning of year	2013-11-30	$14,932
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2013-11-30	No
Value of net income/loss	2013-11-30	$1,375,580
Value of net assets at end of year (total assets less liabilities)	2013-11-30	$8,575,983
Value of net assets at beginning of year (total assets less liabilities)	2013-11-30	$7,200,403
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2013-11-30	No
Were any loans by the plan or fixed income obligations due to the plan in default	2013-11-30	No
Were any leases to which the plan was party in default or uncollectible	2013-11-30	No
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2013-11-30	$3,389,956
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2013-11-30	$2,577,472
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2013-11-30	$2,577,472
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2013-11-30	$148,285
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2013-11-30	$640,366
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2013-11-30	No
Was there a failure to transmit to the plan any participant contributions	2013-11-30	Yes
Has the plan failed to provide any benefit when due under the plan	2013-11-30	No
Contributions received in cash from employer	2013-11-30	$627,048
Employer contributions (assets) at end of year	2013-11-30	$626,806
Employer contributions (assets) at beginning of year	2013-11-30	$221,166
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2013-11-30	$626,630
Contract administrator fees	2013-11-30	$29
Did the plan have assets held for investment	2013-11-30	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	2013-11-30	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2013-11-30	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2013-11-30	No
Opinion of an independent qualified public accountant for this plan	2013-11-30	Unqualified
Accountancy firm name	2013-11-30	KAKU & MERSINO, LLP
Accountancy firm EIN	2013-11-30	770494454
2012 : RICHARD HEATH & ASSOCIATES, INC. 401(K) PROFIT SHARING PLAN 2012 401k financial data
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2012-11-30	$14,932
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2012-11-30	$17,005
Total income from all sources (including contributions)	2012-11-30	$1,313,975
Total of all expenses incurred	2012-11-30	$1,032,423
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2012-11-30	$1,020,313
Value of total corrective distributions	2012-11-30	$6,129
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2012-11-30	$637,771
Value of total assets at end of year	2012-11-30	$7,215,335
Value of total assets at beginning of year	2012-11-30	$6,935,856
Total of administrative expenses incurred including professional, contract, advisory and management fees	2012-11-30	$5,981
Total interest from all sources	2012-11-30	$122,631
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2012-11-30	No
Administrative expenses professional fees incurred	2012-11-30	$5,961
Was this plan covered by a fidelity bond	2012-11-30	Yes
Value of fidelity bond cover	2012-11-30	$500,000
If this is an individual account plan, was there a blackout period	2012-11-30	No
Were there any nonexempt tranactions with any party-in-interest	2012-11-30	No
Contributions received from participants	2012-11-30	$412,570
Participant contributions at end of year	2012-11-30	$15,882
Participant contributions at beginning of year	2012-11-30	$13,302
Assets. Other investments not covered elsewhere at end of year	2012-11-30	$4,400,815
Assets. Other investments not covered elsewhere at beginning of year	2012-11-30	$4,058,345
Income. Received or receivable in cash from other sources (including rollovers)	2012-11-30	$4,035
Liabilities. Value of operating payables at end of year	2012-11-30	$14,932
Liabilities. Value of operating payables at beginning of year	2012-11-30	$17,005
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2012-11-30	No
Value of net income/loss	2012-11-30	$281,552
Value of net assets at end of year (total assets less liabilities)	2012-11-30	$7,200,403
Value of net assets at beginning of year (total assets less liabilities)	2012-11-30	$6,918,851
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2012-11-30	No
Were any loans by the plan or fixed income obligations due to the plan in default	2012-11-30	No
Were any leases to which the plan was party in default or uncollectible	2012-11-30	No
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2012-11-30	$2,577,472
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2012-11-30	$2,864,209
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2012-11-30	$2,864,209
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2012-11-30	$122,631
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2012-11-30	$553,573
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2012-11-30	No
Was there a failure to transmit to the plan any participant contributions	2012-11-30	Yes
Has the plan failed to provide any benefit when due under the plan	2012-11-30	No
Contributions received in cash from employer	2012-11-30	$221,166
Employer contributions (assets) at end of year	2012-11-30	$221,166
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2012-11-30	$1,020,313
Contract administrator fees	2012-11-30	$20
Did the plan have assets held for investment	2012-11-30	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	2012-11-30	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2012-11-30	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2012-11-30	No
Opinion of an independent qualified public accountant for this plan	2012-11-30	Unqualified
Accountancy firm name	2012-11-30	KAKU & MERSINO, LLP
Accountancy firm EIN	2012-11-30	770494454
2011 : RICHARD HEATH & ASSOCIATES, INC. 401(K) PROFIT SHARING PLAN 2011 401k financial data
Total unrealized appreciation/depreciation of assets	2011-11-30	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2011-11-30	$17,005
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2011-11-30	$24,763
Total income from all sources (including contributions)	2011-11-30	$516,631
Total loss/gain on sale of assets	2011-11-30	$0
Total of all expenses incurred	2011-11-30	$935,708
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2011-11-30	$917,071
Value of total corrective distributions	2011-11-30	$4,800
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2011-11-30	$423,479
Value of total assets at end of year	2011-11-30	$6,935,856
Value of total assets at beginning of year	2011-11-30	$7,362,691
Total of administrative expenses incurred including professional, contract, advisory and management fees	2011-11-30	$13,837
Total interest from all sources	2011-11-30	$128,803
Total dividends received (eg from common stock, registered investment company shares)	2011-11-30	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2011-11-30	No
Administrative expenses professional fees incurred	2011-11-30	$13,837
Was this plan covered by a fidelity bond	2011-11-30	Yes
Value of fidelity bond cover	2011-11-30	$500,000
If this is an individual account plan, was there a blackout period	2011-11-30	No
Were there any nonexempt tranactions with any party-in-interest	2011-11-30	No
Contributions received from participants	2011-11-30	$423,479
Participant contributions at end of year	2011-11-30	$13,302
Participant contributions at beginning of year	2011-11-30	$13,503
Assets. Other investments not covered elsewhere at end of year	2011-11-30	$4,058,345
Assets. Other investments not covered elsewhere at beginning of year	2011-11-30	$4,511,289
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2011-11-30	$50
Liabilities. Value of operating payables at end of year	2011-11-30	$17,005
Liabilities. Value of operating payables at beginning of year	2011-11-30	$24,763
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2011-11-30	No
Value of net income/loss	2011-11-30	$-419,077
Value of net assets at end of year (total assets less liabilities)	2011-11-30	$6,918,851
Value of net assets at beginning of year (total assets less liabilities)	2011-11-30	$7,337,928
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2011-11-30	No
Were any loans by the plan or fixed income obligations due to the plan in default	2011-11-30	No
Were any leases to which the plan was party in default or uncollectible	2011-11-30	No
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2011-11-30	$2,864,209
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2011-11-30	$2,498,224
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2011-11-30	$2,498,224
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2011-11-30	$128,803
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2011-11-30	$-35,651
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2011-11-30	No
Was there a failure to transmit to the plan any participant contributions	2011-11-30	No
Has the plan failed to provide any benefit when due under the plan	2011-11-30	No
Employer contributions (assets) at beginning of year	2011-11-30	$339,625
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2011-11-30	$917,071
Did the plan have assets held for investment	2011-11-30	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	2011-11-30	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2011-11-30	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2011-11-30	No
Opinion of an independent qualified public accountant for this plan	2011-11-30	Unqualified
Accountancy firm name	2011-11-30	KAKU & MERSINO, LLP
Accountancy firm EIN	2011-11-30	770494454

Form 5500 Responses for RICHARD HEATH & ASSOCIATES, INC. 401(K) PROFIT SHARING PLAN

2021: RICHARD HEATH & ASSOCIATES, INC. 401(K) PROFIT SHARING PLAN 2021 form 5500 responses
2021-12-01	Type of plan entity	Single employer plan
2021-12-01	Submission has been amended	No
2021-12-01	This submission is the final filing	No
2021-12-01	This return/report is a short plan year return/report (less than 12 months)	No
2021-12-01	Plan is a collectively bargained plan	No
2021-12-01	Plan funding arrangement – Trust	Yes
2021-12-01	Plan benefit arrangement - Trust	Yes
2020: RICHARD HEATH & ASSOCIATES, INC. 401(K) PROFIT SHARING PLAN 2020 form 5500 responses
2020-12-01	Type of plan entity	Single employer plan
2020-12-01	Submission has been amended	No
2020-12-01	This submission is the final filing	No
2020-12-01	This return/report is a short plan year return/report (less than 12 months)	No
2020-12-01	Plan is a collectively bargained plan	No
2020-12-01	Plan funding arrangement – Trust	Yes
2020-12-01	Plan benefit arrangement - Trust	Yes
2019: RICHARD HEATH & ASSOCIATES, INC. 401(K) PROFIT SHARING PLAN 2019 form 5500 responses
2019-12-01	Type of plan entity	Single employer plan
2019-12-01	Submission has been amended	No
2019-12-01	This submission is the final filing	No
2019-12-01	This return/report is a short plan year return/report (less than 12 months)	No
2019-12-01	Plan is a collectively bargained plan	No
2019-12-01	Plan funding arrangement – Trust	Yes
2019-12-01	Plan benefit arrangement - Trust	Yes
2018: RICHARD HEATH & ASSOCIATES, INC. 401(K) PROFIT SHARING PLAN 2018 form 5500 responses
2018-12-01	Type of plan entity	Single employer plan
2018-12-01	Submission has been amended	No
2018-12-01	This submission is the final filing	No
2018-12-01	This return/report is a short plan year return/report (less than 12 months)	No
2018-12-01	Plan is a collectively bargained plan	No
2018-12-01	Plan funding arrangement – Trust	Yes
2018-12-01	Plan benefit arrangement - Trust	Yes
2017: RICHARD HEATH & ASSOCIATES, INC. 401(K) PROFIT SHARING PLAN 2017 form 5500 responses
2017-12-01	Type of plan entity	Single employer plan
2017-12-01	Submission has been amended	No
2017-12-01	This submission is the final filing	No
2017-12-01	This return/report is a short plan year return/report (less than 12 months)	No
2017-12-01	Plan is a collectively bargained plan	No
2017-12-01	Plan funding arrangement – Trust	Yes
2017-12-01	Plan benefit arrangement - Trust	Yes
2016: RICHARD HEATH & ASSOCIATES, INC. 401(K) PROFIT SHARING PLAN 2016 form 5500 responses
2016-12-01	Type of plan entity	Single employer plan
2016-12-01	Submission has been amended	No
2016-12-01	This submission is the final filing	No
2016-12-01	This return/report is a short plan year return/report (less than 12 months)	No
2016-12-01	Plan is a collectively bargained plan	No
2016-12-01	Plan funding arrangement – Trust	Yes
2016-12-01	Plan benefit arrangement - Trust	Yes
2015: RICHARD HEATH & ASSOCIATES, INC. 401(K) PROFIT SHARING PLAN 2015 form 5500 responses
2015-12-01	Type of plan entity	Single employer plan
2015-12-01	Submission has been amended	No
2015-12-01	This submission is the final filing	No
2015-12-01	This return/report is a short plan year return/report (less than 12 months)	No
2015-12-01	Plan is a collectively bargained plan	No
2015-12-01	Plan funding arrangement – Trust	Yes
2015-12-01	Plan benefit arrangement - Trust	Yes
2014: RICHARD HEATH & ASSOCIATES, INC. 401(K) PROFIT SHARING PLAN 2014 form 5500 responses
2014-12-01	Type of plan entity	Single employer plan
2014-12-01	Submission has been amended	No
2014-12-01	This submission is the final filing	No
2014-12-01	This return/report is a short plan year return/report (less than 12 months)	No
2014-12-01	Plan is a collectively bargained plan	No
2014-12-01	Plan funding arrangement – Trust	Yes
2014-12-01	Plan benefit arrangement - Trust	Yes
2013: RICHARD HEATH & ASSOCIATES, INC. 401(K) PROFIT SHARING PLAN 2013 form 5500 responses
2013-12-01	Type of plan entity	Single employer plan
2013-12-01	Submission has been amended	No
2013-12-01	This submission is the final filing	No
2013-12-01	This return/report is a short plan year return/report (less than 12 months)	No
2013-12-01	Plan is a collectively bargained plan	No
2013-12-01	Plan funding arrangement – Trust	Yes
2013-12-01	Plan benefit arrangement - Trust	Yes
2012: RICHARD HEATH & ASSOCIATES, INC. 401(K) PROFIT SHARING PLAN 2012 form 5500 responses
2012-12-01	Type of plan entity	Single employer plan
2012-12-01	Submission has been amended	No
2012-12-01	This submission is the final filing	No
2012-12-01	This return/report is a short plan year return/report (less than 12 months)	No
2012-12-01	Plan is a collectively bargained plan	No
2012-12-01	Plan funding arrangement – Trust	Yes
2012-12-01	Plan benefit arrangement - Trust	Yes
2011: RICHARD HEATH & ASSOCIATES, INC. 401(K) PROFIT SHARING PLAN 2011 form 5500 responses
2011-12-01	Type of plan entity	Single employer plan
2011-12-01	Submission has been amended	No
2011-12-01	This submission is the final filing	No
2011-12-01	This return/report is a short plan year return/report (less than 12 months)	No
2011-12-01	Plan is a collectively bargained plan	No
2011-12-01	Plan funding arrangement – Trust	Yes
2011-12-01	Plan benefit arrangement - Trust	Yes
2009: RICHARD HEATH & ASSOCIATES, INC. 401(K) PROFIT SHARING PLAN 2009 form 5500 responses
2009-12-01	Type of plan entity	Single employer plan
2009-12-01	Submission has been amended	No
2009-12-01	This submission is the final filing	No
2009-12-01	This return/report is a short plan year return/report (less than 12 months)	No
2009-12-01	Plan is a collectively bargained plan	No
2009-12-01	Plan funding arrangement – Trust	Yes
2009-12-01	Plan benefit arrangement - Trust	Yes
2008: RICHARD HEATH & ASSOCIATES, INC. 401(K) PROFIT SHARING PLAN 2008 form 5500 responses
2008-12-01	Type of plan entity	Single employer plan
2008-12-01	Submission has been amended	No
2008-12-01	This submission is the final filing	No
2008-12-01	This return/report is a short plan year return/report (less than 12 months)	No
2008-12-01	Plan is a collectively bargained plan	No

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Company Name:	RICHARD HEATH & ASSOCIATES, INC.
Employer identification number (EIN):	942625839
NAIC Classification:	541600