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WESTERN UNIVERSITY OF HEALTH SCIENCES 403B PLAN 401k Plan overview

Plan NameWESTERN UNIVERSITY OF HEALTH SCIENCES 403B PLAN
Plan identification number 001

WESTERN UNIVERSITY OF HEALTH SCIENCES 403B PLAN Benefits

401k Plan TypeDefined Contribution Pension
Plan Features/Benefits
  • 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 403(b)(1) arrangement - See Limited Pension Plan Reporting instructions for Code section 403(b)(1) arrangements for certain exempt organizations.
  • Code section 403(b)(7) accounts - See Limited Pension Plan Reporting instructions for Code section 403(b)(7) custodial accounts for regulated investment company stock for certain exempt organizations.
  • Total or partial participant-directed account plan - plan uses default investment account for participants who fail to direct assets in their account.

401k Sponsoring company profile

WESTERN UNIVERSITY OF HEALTH SCIENCES has sponsored the creation of one or more 401k plans.

Company Name:WESTERN UNIVERSITY OF HEALTH SCIENCES
Employer identification number (EIN):953127273
NAIC Classification:611000

Additional information about WESTERN UNIVERSITY OF HEALTH SCIENCES

Jurisdiction of Incorporation: California Department of State
Incorporation Date:
Company Identification Number: C0756918

More information about WESTERN UNIVERSITY OF HEALTH SCIENCES

Form 5500 Filing Information

Submission information for form 5500 for 401k plan WESTERN UNIVERSITY OF HEALTH SCIENCES 403B PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator SignedName of Company SponsorDate Sponsor Signed
0012022-01-01JOSHUA MCFARLAN2023-10-13
0012021-01-01JOSHUA MCFARLAN2022-10-14
0012020-01-01JOSHUA MCFARLAN2021-10-12
0012019-01-01KEVIN SHAW2020-10-13
0012018-01-01KEVIN SHAW2019-10-10
0012017-01-01
0012016-01-01
0012016-01-01KEVIN SHAW2017-10-06
0012015-01-01
0012014-01-01THOMAS G. FOX, PHD.
0012013-01-01THOMAS G. FOX, PHD.
0012012-01-01THOMAS G. FOX, PHD.
0012011-01-01THOMAS G. FOX, PHD.
0012010-01-01THOMAS G. FOX, PHD.
0012009-01-01DR. THOMAS G. FOX, PHD.
0012009-01-01DR, THOMAS FOX
0012009-01-01DR. THOMAS FOX

Plan Statistics for WESTERN UNIVERSITY OF HEALTH SCIENCES 403B PLAN

401k plan membership statisitcs for WESTERN UNIVERSITY OF HEALTH SCIENCES 403B PLAN

Measure Date Value
2022: WESTERN UNIVERSITY OF HEALTH SCIENCES 403B PLAN 2022 401k membership
Total participants, beginning-of-year2022-01-012,174
Total number of active participants reported on line 7a of the Form 55002022-01-011,423
Number of retired or separated participants receiving benefits2022-01-010
Number of other retired or separated participants entitled to future benefits2022-01-01792
Total of all active and inactive participants2022-01-012,215
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2022-01-0120
Total participants2022-01-012,235
Number of participants with account balances2022-01-012,223
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2022-01-010
2021: WESTERN UNIVERSITY OF HEALTH SCIENCES 403B PLAN 2021 401k membership
Total participants, beginning-of-year2021-01-012,293
Total number of active participants reported on line 7a of the Form 55002021-01-011,205
Number of retired or separated participants receiving benefits2021-01-010
Number of other retired or separated participants entitled to future benefits2021-01-01952
Total of all active and inactive participants2021-01-012,157
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2021-01-0117
Total participants2021-01-012,174
Number of participants with account balances2021-01-012,156
2020: WESTERN UNIVERSITY OF HEALTH SCIENCES 403B PLAN 2020 401k membership
Total participants, beginning-of-year2020-01-012,127
Total number of active participants reported on line 7a of the Form 55002020-01-011,273
Number of retired or separated participants receiving benefits2020-01-010
Number of other retired or separated participants entitled to future benefits2020-01-011,012
Total of all active and inactive participants2020-01-012,285
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2020-01-018
Total participants2020-01-012,293
Number of participants with account balances2020-01-012,272
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2020-01-010
2019: WESTERN UNIVERSITY OF HEALTH SCIENCES 403B PLAN 2019 401k membership
Total participants, beginning-of-year2019-01-011,832
Total number of active participants reported on line 7a of the Form 55002019-01-011,272
Number of retired or separated participants receiving benefits2019-01-010
Number of other retired or separated participants entitled to future benefits2019-01-01848
Total of all active and inactive participants2019-01-012,120
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2019-01-017
Total participants2019-01-012,127
Number of participants with account balances2019-01-011,989
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2019-01-010
2018: WESTERN UNIVERSITY OF HEALTH SCIENCES 403B PLAN 2018 401k membership
Total participants, beginning-of-year2018-01-011,755
Total number of active participants reported on line 7a of the Form 55002018-01-011,075
Number of retired or separated participants receiving benefits2018-01-010
Number of other retired or separated participants entitled to future benefits2018-01-01754
Total of all active and inactive participants2018-01-011,829
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2018-01-013
Total participants2018-01-011,832
Number of participants with account balances2018-01-011,817
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2018-01-010
2017: WESTERN UNIVERSITY OF HEALTH SCIENCES 403B PLAN 2017 401k membership
Total participants, beginning-of-year2017-01-011,674
Total number of active participants reported on line 7a of the Form 55002017-01-011,030
Number of retired or separated participants receiving benefits2017-01-010
Number of other retired or separated participants entitled to future benefits2017-01-01721
Total of all active and inactive participants2017-01-011,751
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2017-01-014
Total participants2017-01-011,755
Number of participants with account balances2017-01-011,739
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2017-01-010
2016: WESTERN UNIVERSITY OF HEALTH SCIENCES 403B PLAN 2016 401k membership
Total participants, beginning-of-year2016-01-011,612
Total number of active participants reported on line 7a of the Form 55002016-01-01987
Number of retired or separated participants receiving benefits2016-01-010
Number of other retired or separated participants entitled to future benefits2016-01-01684
Total of all active and inactive participants2016-01-011,671
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2016-01-013
Total participants2016-01-011,674
Number of participants with account balances2016-01-011,658
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2016-01-010
2015: WESTERN UNIVERSITY OF HEALTH SCIENCES 403B PLAN 2015 401k membership
Total participants, beginning-of-year2015-01-011,535
Total number of active participants reported on line 7a of the Form 55002015-01-011,062
Number of retired or separated participants receiving benefits2015-01-010
Number of other retired or separated participants entitled to future benefits2015-01-01546
Total of all active and inactive participants2015-01-011,608
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2015-01-014
Total participants2015-01-011,612
Number of participants with account balances2015-01-011,597
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2015-01-016
2014: WESTERN UNIVERSITY OF HEALTH SCIENCES 403B PLAN 2014 401k membership
Total participants, beginning-of-year2014-01-011,503
Total number of active participants reported on line 7a of the Form 55002014-01-011,017
Number of retired or separated participants receiving benefits2014-01-010
Number of other retired or separated participants entitled to future benefits2014-01-01515
Total of all active and inactive participants2014-01-011,532
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2014-01-013
Total participants2014-01-011,535
Number of participants with account balances2014-01-011,519
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2014-01-010
2013: WESTERN UNIVERSITY OF HEALTH SCIENCES 403B PLAN 2013 401k membership
Total participants, beginning-of-year2013-01-011,413
Total number of active participants reported on line 7a of the Form 55002013-01-011,066
Number of other retired or separated participants entitled to future benefits2013-01-01433
Total of all active and inactive participants2013-01-011,499
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2013-01-014
Total participants2013-01-011,503
Number of participants with account balances2013-01-011,441
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2013-01-010
2012: WESTERN UNIVERSITY OF HEALTH SCIENCES 403B PLAN 2012 401k membership
Total participants, beginning-of-year2012-01-011,380
Total number of active participants reported on line 7a of the Form 55002012-01-011,289
Number of retired or separated participants receiving benefits2012-01-010
Number of other retired or separated participants entitled to future benefits2012-01-01121
Total of all active and inactive participants2012-01-011,410
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2012-01-013
Total participants2012-01-011,413
Number of participants with account balances2012-01-011,324
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2012-01-010
2011: WESTERN UNIVERSITY OF HEALTH SCIENCES 403B PLAN 2011 401k membership
Total participants, beginning-of-year2011-01-011,171
Total number of active participants reported on line 7a of the Form 55002011-01-01816
Number of retired or separated participants receiving benefits2011-01-010
Number of other retired or separated participants entitled to future benefits2011-01-01564
Total of all active and inactive participants2011-01-011,380
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2011-01-010
Total participants2011-01-011,380
Number of participants with account balances2011-01-011,379
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2011-01-010
2010: WESTERN UNIVERSITY OF HEALTH SCIENCES 403B PLAN 2010 401k membership
Total participants, beginning-of-year2010-01-011,273
Total number of active participants reported on line 7a of the Form 55002010-01-011,042
Number of retired or separated participants receiving benefits2010-01-010
Number of other retired or separated participants entitled to future benefits2010-01-01129
Total of all active and inactive participants2010-01-011,171
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2010-01-010
Total participants2010-01-011,171
Number of participants with account balances2010-01-011,100
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2010-01-010
2009: WESTERN UNIVERSITY OF HEALTH SCIENCES 403B PLAN 2009 401k membership
Total participants, beginning-of-year2009-01-011,029
Total number of active participants reported on line 7a of the Form 55002009-01-01620
Number of retired or separated participants receiving benefits2009-01-010
Number of other retired or separated participants entitled to future benefits2009-01-01653
Total of all active and inactive participants2009-01-011,273
Total participants2009-01-011,273
Number of participants with account balances2009-01-011,273
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2009-01-010

Financial Data on WESTERN UNIVERSITY OF HEALTH SCIENCES 403B PLAN

Measure Date Value
2022 : WESTERN UNIVERSITY OF HEALTH SCIENCES 403B PLAN 2022 401k financial data
Total unrealized appreciation/depreciation of assets2022-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2022-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2022-12-31$0
Total income from all sources (including contributions)2022-12-31$-23,335,298
Total loss/gain on sale of assets2022-12-31$0
Total of all expenses incurred2022-12-31$11,694,754
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2022-12-31$11,688,637
Total contributions o plan (from employers,participants, others, non cash contrinutions)2022-12-31$16,431,420
Value of total assets at end of year2022-12-31$258,155,173
Value of total assets at beginning of year2022-12-31$293,185,225
Total of administrative expenses incurred including professional, contract, advisory and management fees2022-12-31$6,117
Total interest from all sources2022-12-31$1,533,512
Total dividends received (eg from common stock, registered investment company shares)2022-12-31$7,520,198
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2022-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2022-12-31$7,520,198
Was this plan covered by a fidelity bond2022-12-31Yes
Value of fidelity bond cover2022-12-31$500,000
If this is an individual account plan, was there a blackout period2022-12-31No
Were there any nonexempt tranactions with any party-in-interest2022-12-31No
Contributions received from participants2022-12-31$8,782,719
Participant contributions at end of year2022-12-31$482,187
Participant contributions at beginning of year2022-12-31$38,300
Assets. Other investments not covered elsewhere at end of year2022-12-31$1,872,339
Assets. Other investments not covered elsewhere at beginning of year2022-12-31$2,060,379
Income. Received or receivable in cash from other sources (including rollovers)2022-12-31$329,220
Other income not declared elsewhere2022-12-31$-124,213
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2022-12-31No
Value of net income/loss2022-12-31$-35,030,052
Value of net assets at end of year (total assets less liabilities)2022-12-31$258,155,173
Value of net assets at beginning of year (total assets less liabilities)2022-12-31$293,185,225
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2022-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2022-12-31No
Were any leases to which the plan was party in default or uncollectible2022-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2022-12-31$185,953,204
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2022-12-31$220,555,975
Value of interest in pooled separate accounts at end of year2022-12-31$26,732,681
Value of interest in pooled separate accounts at beginning of year2022-12-31$30,145,868
Interest on participant loans2022-12-31$12,902
Interest earned on other investments2022-12-31$1,520,610
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2022-12-31$43,114,762
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2022-12-31$40,384,703
Expenses. Payments to insurance carriers foe the provision of benefits2022-12-31$775,984
Net investment gain/loss from registered investment companies (e.g. mutual funds)2022-12-31$-44,420,231
Net investment gain/loss from pooled separate accounts2022-12-31$-4,275,984
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2022-12-31No
Was there a failure to transmit to the plan any participant contributions2022-12-31No
Has the plan failed to provide any benefit when due under the plan2022-12-31No
Contributions received in cash from employer2022-12-31$7,319,481
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2022-12-31$10,912,653
Contract administrator fees2022-12-31$6,117
Did the plan have assets held for investment2022-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2022-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2022-12-31No
Opinion of an independent qualified public accountant for this plan2022-12-31Unqualified
Accountancy firm name2022-12-31MOSS ADAMS LLP
Accountancy firm EIN2022-12-31910189318
2021 : WESTERN UNIVERSITY OF HEALTH SCIENCES 403B PLAN 2021 401k financial data
Total unrealized appreciation/depreciation of assets2021-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2021-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2021-12-31$0
Total income from all sources (including contributions)2021-12-31$50,776,402
Total loss/gain on sale of assets2021-12-31$0
Total of all expenses incurred2021-12-31$10,776,146
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2021-12-31$10,771,104
Total contributions o plan (from employers,participants, others, non cash contrinutions)2021-12-31$16,581,968
Value of total assets at end of year2021-12-31$293,185,225
Value of total assets at beginning of year2021-12-31$253,184,969
Total of administrative expenses incurred including professional, contract, advisory and management fees2021-12-31$5,042
Total interest from all sources2021-12-31$1,243,635
Total dividends received (eg from common stock, registered investment company shares)2021-12-31$10,276,121
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2021-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2021-12-31$10,276,121
Was this plan covered by a fidelity bond2021-12-31Yes
Value of fidelity bond cover2021-12-31$500,000
If this is an individual account plan, was there a blackout period2021-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2021-12-31$0
Were there any nonexempt tranactions with any party-in-interest2021-12-31No
Contributions received from participants2021-12-31$8,839,335
Participant contributions at end of year2021-12-31$38,300
Participant contributions at beginning of year2021-12-31$19,735
Assets. Other investments not covered elsewhere at end of year2021-12-31$2,060,379
Assets. Other investments not covered elsewhere at beginning of year2021-12-31$1,679,005
Income. Received or receivable in cash from other sources (including rollovers)2021-12-31$329,731
Other income not declared elsewhere2021-12-31$132,657
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2021-12-31No
Value of net income/loss2021-12-31$40,000,256
Value of net assets at end of year (total assets less liabilities)2021-12-31$293,185,225
Value of net assets at beginning of year (total assets less liabilities)2021-12-31$253,184,969
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2021-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2021-12-31No
Were any leases to which the plan was party in default or uncollectible2021-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2021-12-31$220,555,975
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2021-12-31$188,036,050
Value of interest in pooled separate accounts at end of year2021-12-31$30,145,868
Value of interest in pooled separate accounts at beginning of year2021-12-31$24,127,632
Interest on participant loans2021-12-31$972
Interest earned on other investments2021-12-31$1,242,663
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2021-12-31$40,384,703
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2021-12-31$39,322,547
Expenses. Payments to insurance carriers foe the provision of benefits2021-12-31$396,046
Net investment gain/loss from registered investment companies (e.g. mutual funds)2021-12-31$18,132,303
Net investment gain/loss from pooled separate accounts2021-12-31$4,409,718
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2021-12-31No
Was there a failure to transmit to the plan any participant contributions2021-12-31No
Has the plan failed to provide any benefit when due under the plan2021-12-31No
Contributions received in cash from employer2021-12-31$7,412,902
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2021-12-31$10,375,058
Contract administrator fees2021-12-31$5,042
Did the plan have assets held for investment2021-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2021-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2021-12-31No
Opinion of an independent qualified public accountant for this plan2021-12-31Unqualified
Accountancy firm name2021-12-31MOSS ADAMS LLP
Accountancy firm EIN2021-12-31910189318
2020 : WESTERN UNIVERSITY OF HEALTH SCIENCES 403B PLAN 2020 401k financial data
Total unrealized appreciation/depreciation of assets2020-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2020-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2020-12-31$0
Total income from all sources (including contributions)2020-12-31$46,889,366
Total loss/gain on sale of assets2020-12-31$0
Total of all expenses incurred2020-12-31$9,824,866
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2020-12-31$9,817,084
Total contributions o plan (from employers,participants, others, non cash contrinutions)2020-12-31$17,072,592
Value of total assets at end of year2020-12-31$253,184,969
Value of total assets at beginning of year2020-12-31$216,120,469
Total of administrative expenses incurred including professional, contract, advisory and management fees2020-12-31$7,782
Total interest from all sources2020-12-31$-904,005
Total dividends received (eg from common stock, registered investment company shares)2020-12-31$5,693,398
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2020-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2020-12-31$5,693,398
Was this plan covered by a fidelity bond2020-12-31Yes
Value of fidelity bond cover2020-12-31$500,000
If this is an individual account plan, was there a blackout period2020-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2020-12-31$0
Were there any nonexempt tranactions with any party-in-interest2020-12-31No
Contributions received from participants2020-12-31$8,549,530
Participant contributions at end of year2020-12-31$19,735
Participant contributions at beginning of year2020-12-31$23,604
Assets. Other investments not covered elsewhere at end of year2020-12-31$1,679,005
Assets. Other investments not covered elsewhere at beginning of year2020-12-31$978,008
Income. Received or receivable in cash from other sources (including rollovers)2020-12-31$1,087,745
Other income not declared elsewhere2020-12-31$268,803
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2020-12-31No
Value of net income/loss2020-12-31$37,064,500
Value of net assets at end of year (total assets less liabilities)2020-12-31$253,184,969
Value of net assets at beginning of year (total assets less liabilities)2020-12-31$216,120,469
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2020-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2020-12-31No
Were any leases to which the plan was party in default or uncollectible2020-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2020-12-31$188,036,050
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2020-12-31$155,838,007
Value of interest in pooled separate accounts at end of year2020-12-31$24,127,632
Value of interest in pooled separate accounts at beginning of year2020-12-31$21,561,506
Interest on participant loans2020-12-31$1,246
Interest earned on other investments2020-12-31$-905,251
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2020-12-31$39,322,547
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2020-12-31$37,719,344
Expenses. Payments to insurance carriers foe the provision of benefits2020-12-31$340,658
Net investment gain/loss from registered investment companies (e.g. mutual funds)2020-12-31$21,644,908
Net investment gain/loss from pooled separate accounts2020-12-31$3,113,670
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2020-12-31No
Was there a failure to transmit to the plan any participant contributions2020-12-31Yes
Has the plan failed to provide any benefit when due under the plan2020-12-31No
Contributions received in cash from employer2020-12-31$7,435,317
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2020-12-31$9,476,426
Contract administrator fees2020-12-31$7,782
Did the plan have assets held for investment2020-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2020-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2020-12-31No
Opinion of an independent qualified public accountant for this plan2020-12-31Unqualified
Accountancy firm name2020-12-31MOSS ADAMS LLP
Accountancy firm EIN2020-12-31910189318
2019 : WESTERN UNIVERSITY OF HEALTH SCIENCES 403B PLAN 2019 401k financial data
Total unrealized appreciation/depreciation of assets2019-12-31$0
Total unrealized appreciation/depreciation of assets2019-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2019-12-31$0
Total liabilities at 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 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$51,639,316
Total income from all sources (including contributions)2019-12-31$51,639,316
Total loss/gain on sale of assets2019-12-31$0
Total loss/gain on sale of assets2019-12-31$0
Total of all expenses incurred2019-12-31$11,801,641
Total of all expenses incurred2019-12-31$11,801,641
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2019-12-31$11,795,617
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2019-12-31$11,795,617
Total contributions o plan (from employers,participants, others, non cash contrinutions)2019-12-31$17,891,626
Total contributions o plan (from employers,participants, others, non cash contrinutions)2019-12-31$17,891,626
Value of total assets at end of year2019-12-31$216,120,469
Value of total assets at end of year2019-12-31$216,120,469
Value of total assets at beginning of year2019-12-31$176,282,794
Value of total assets at beginning of year2019-12-31$176,282,794
Total of administrative expenses incurred including professional, contract, advisory and management fees2019-12-31$6,024
Total of administrative expenses incurred including professional, contract, advisory and management fees2019-12-31$6,024
Total interest from all sources2019-12-31$1,919,706
Total interest from all sources2019-12-31$1,919,706
Total dividends received (eg from common stock, registered investment company shares)2019-12-31$3,960,713
Total dividends received (eg from common stock, registered investment company shares)2019-12-31$3,960,713
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2019-12-31No
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2019-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2019-12-31$3,960,713
Total dividends received from registered investment company shares (eg mutual funds)2019-12-31$3,960,713
Was this plan covered by a fidelity bond2019-12-31Yes
Was this plan covered by a fidelity bond2019-12-31Yes
Value of fidelity bond cover2019-12-31$500,000
Value of fidelity bond cover2019-12-31$500,000
If this is an individual account plan, was there a blackout period2019-12-31No
If this is an individual account plan, was there a blackout period2019-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2019-12-31$0
Were there any nonexempt tranactions with any party-in-interest2019-12-31No
Were there any nonexempt tranactions with any party-in-interest2019-12-31No
Contributions received from participants2019-12-31$8,701,870
Contributions received from participants2019-12-31$8,701,870
Participant contributions at end of year2019-12-31$23,604
Participant contributions at end of year2019-12-31$23,604
Participant contributions at beginning of year2019-12-31$68,671
Participant contributions at beginning of year2019-12-31$68,671
Assets. Other investments not covered elsewhere at end of year2019-12-31$978,008
Assets. Other investments not covered elsewhere at beginning of year2019-12-31$704,429
Assets. Other investments not covered elsewhere at beginning of year2019-12-31$704,429
Income. Received or receivable in cash from other sources (including rollovers)2019-12-31$1,720,280
Income. Received or receivable in cash from other sources (including rollovers)2019-12-31$1,720,280
Other income not declared elsewhere2019-12-31$50,118
Other income not declared elsewhere2019-12-31$50,118
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2019-12-31No
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2019-12-31No
Value of net income/loss2019-12-31$39,837,675
Value of net income/loss2019-12-31$39,837,675
Value of net assets at end of year (total assets less liabilities)2019-12-31$216,120,469
Value of net assets at beginning of year (total assets less liabilities)2019-12-31$176,282,794
Value of net assets at beginning of year (total assets less liabilities)2019-12-31$176,282,794
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2019-12-31No
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2019-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2019-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2019-12-31No
Were any leases to which the plan was party in default or uncollectible2019-12-31No
Were any leases to which the plan was party in default or uncollectible2019-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2019-12-31$155,838,007
Value of interest in registered invesment companies (eg mutual funds) at end of year2019-12-31$155,838,007
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2019-12-31$121,604,654
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2019-12-31$121,604,654
Value of interest in pooled separate accounts at end of year2019-12-31$21,561,506
Value of interest in pooled separate accounts at end of year2019-12-31$21,561,506
Value of interest in pooled separate accounts at beginning of year2019-12-31$17,246,090
Value of interest in pooled separate accounts at beginning of year2019-12-31$17,246,090
Interest on participant loans2019-12-31$1,512
Interest on participant loans2019-12-31$1,512
Interest earned on other investments2019-12-31$1,918,194
Interest earned on other investments2019-12-31$1,918,194
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2019-12-31$37,719,344
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2019-12-31$37,719,344
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2019-12-31$36,658,950
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2019-12-31$36,658,950
Net investment gain/loss from registered investment companies (e.g. mutual funds)2019-12-31$24,220,246
Net investment gain/loss from registered investment companies (e.g. mutual funds)2019-12-31$24,220,246
Net investment gain/loss from pooled separate accounts2019-12-31$3,596,907
Net investment gain/loss from pooled separate accounts2019-12-31$3,596,907
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2019-12-31No
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2019-12-31No
Was there a failure to transmit to the plan any participant contributions2019-12-31Yes
Was there a failure to transmit to the plan any participant contributions2019-12-31Yes
Has the plan failed to provide any benefit when due under the plan2019-12-31No
Has the plan failed to provide any benefit when due under the plan2019-12-31No
Contributions received in cash from employer2019-12-31$7,469,476
Contributions received in cash from employer2019-12-31$7,469,476
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2019-12-31$11,795,617
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2019-12-31$11,795,617
Contract administrator fees2019-12-31$6,024
Contract administrator fees2019-12-31$6,024
Did the plan have assets held for investment2019-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2019-12-31No
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2019-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2019-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2019-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2019-12-31Yes
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2019-12-31Yes
Opinion of an independent qualified public accountant for this plan2019-12-31Disclaimer
Opinion of an independent qualified public accountant for this plan2019-12-31Disclaimer
Accountancy firm name2019-12-31MOSS ADAMS LLP
Accountancy firm name2019-12-31MOSS ADAMS LLP
Accountancy firm EIN2019-12-31910189318
Accountancy firm EIN2019-12-31910189318
2018 : WESTERN UNIVERSITY OF HEALTH SCIENCES 403B PLAN 2018 401k financial data
Total unrealized appreciation/depreciation of assets2018-12-31$0
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$8,106,408
Total loss/gain on sale of assets2018-12-31$0
Total of all expenses incurred2018-12-31$13,462,746
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2018-12-31$13,456,500
Total contributions o plan (from employers,participants, others, non cash contrinutions)2018-12-31$17,310,851
Value of total assets at end of year2018-12-31$176,282,794
Value of total assets at beginning of year2018-12-31$181,639,132
Total of administrative expenses incurred including professional, contract, advisory and management fees2018-12-31$6,246
Total interest from all sources2018-12-31$1,181,683
Total dividends received (eg from common stock, registered investment company shares)2018-12-31$3,702,870
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2018-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2018-12-31$3,702,870
Was this plan covered by a fidelity bond2018-12-31Yes
Value of fidelity bond cover2018-12-31$500,000
If this is an individual account plan, was there a blackout period2018-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2018-12-31$0
Were there any nonexempt tranactions with any party-in-interest2018-12-31No
Contributions received from participants2018-12-31$8,246,123
Participant contributions at end of year2018-12-31$68,671
Participant contributions at beginning of year2018-12-31$53,782
Assets. Other investments not covered elsewhere at end of year2018-12-31$704,429
Assets. Other investments not covered elsewhere at beginning of year2018-12-31$693,049
Income. Received or receivable in cash from other sources (including rollovers)2018-12-31$1,970,293
Other income not declared elsewhere2018-12-31$-92,533
Administrative expenses (other) incurred2018-12-31$6,246
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2018-12-31No
Value of net income/loss2018-12-31$-5,356,338
Value of net assets at end of year (total assets less liabilities)2018-12-31$176,282,794
Value of net assets at beginning of year (total assets less liabilities)2018-12-31$181,639,132
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2018-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2018-12-31No
Were any leases to which the plan was party in default or uncollectible2018-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2018-12-31$121,604,654
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2018-12-31$127,605,313
Value of interest in pooled separate accounts at end of year2018-12-31$17,246,090
Value of interest in pooled separate accounts at beginning of year2018-12-31$17,238,375
Interest on participant loans2018-12-31$4,092
Interest earned on other investments2018-12-31$1,177,591
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2018-12-31$36,658,950
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2018-12-31$36,048,613
Net investment gain/loss from registered investment companies (e.g. mutual funds)2018-12-31$-13,330,716
Net investment gain/loss from pooled separate accounts2018-12-31$-665,747
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2018-12-31No
Was there a failure to transmit to the plan any participant contributions2018-12-31Yes
Has the plan failed to provide any benefit when due under the plan2018-12-31No
Contributions received in cash from employer2018-12-31$7,094,435
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2018-12-31$13,456,500
Did the plan have assets held for investment2018-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2018-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2018-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2018-12-31Yes
Opinion of an independent qualified public accountant for this plan2018-12-31Disclaimer
Accountancy firm name2018-12-31MOSS ADAMS LLP
Accountancy firm EIN2018-12-31910189318
2017 : WESTERN UNIVERSITY OF HEALTH SCIENCES 403B PLAN 2017 401k financial data
Total unrealized appreciation/depreciation of assets2017-12-31$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$39,512,052
Total loss/gain on sale of assets2017-12-31$0
Total of all expenses incurred2017-12-31$8,441,475
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2017-12-31$8,436,605
Total contributions o plan (from employers,participants, others, non cash contrinutions)2017-12-31$16,576,888
Value of total assets at end of year2017-12-31$181,639,132
Value of total assets at beginning of year2017-12-31$150,568,555
Total of administrative expenses incurred including professional, contract, advisory and management fees2017-12-31$4,870
Total interest from all sources2017-12-31$1,463,721
Total dividends received (eg from common stock, registered investment company shares)2017-12-31$2,934,145
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2017-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2017-12-31$2,934,145
Was this plan covered by a fidelity bond2017-12-31Yes
Value of fidelity bond cover2017-12-31$500,000
If this is an individual account plan, was there a blackout period2017-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2017-12-31$0
Were there any nonexempt tranactions with any party-in-interest2017-12-31No
Contributions received from participants2017-12-31$7,417,235
Participant contributions at end of year2017-12-31$53,782
Participant contributions at beginning of year2017-12-31$58,557
Assets. Other investments not covered elsewhere at end of year2017-12-31$693,049
Assets. Other investments not covered elsewhere at beginning of year2017-12-31$463,102
Income. Received or receivable in cash from other sources (including rollovers)2017-12-31$2,592,808
Other income not declared elsewhere2017-12-31$134,123
Administrative expenses (other) incurred2017-12-31$4,870
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2017-12-31No
Value of net income/loss2017-12-31$31,070,577
Value of net assets at end of year (total assets less liabilities)2017-12-31$181,639,132
Value of net assets at beginning of year (total assets less liabilities)2017-12-31$150,568,555
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2017-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2017-12-31No
Were any leases to which the plan was party in default or uncollectible2017-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2017-12-31$127,605,313
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2017-12-31$102,402,608
Value of interest in pooled separate accounts at end of year2017-12-31$17,238,375
Value of interest in pooled separate accounts at beginning of year2017-12-31$15,365,742
Interest on participant loans2017-12-31$3,830
Interest earned on other investments2017-12-31$1,459,891
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2017-12-31$36,048,613
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2017-12-31$32,278,546
Net investment gain/loss from registered investment companies (e.g. mutual funds)2017-12-31$16,187,299
Net investment gain/loss from pooled separate accounts2017-12-31$2,215,876
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2017-12-31No
Was there a failure to transmit to the plan any participant contributions2017-12-31No
Has the plan failed to provide any benefit when due under the plan2017-12-31No
Contributions received in cash from employer2017-12-31$6,566,845
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2017-12-31$8,436,605
Did the plan have assets held for investment2017-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2017-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2017-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2017-12-31Yes
Opinion of an independent qualified public accountant for this plan2017-12-31Disclaimer
Accountancy firm name2017-12-31MOSS ADAMS LLP
Accountancy firm EIN2017-12-31910189318
2016 : WESTERN UNIVERSITY OF HEALTH SCIENCES 403B PLAN 2016 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets2016-12-31$5,961,894
Total unrealized appreciation/depreciation of assets2016-12-31$5,961,894
Total transfer of assets to this plan2016-12-31$130,994
Total transfer of assets from this plan2016-12-31$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$23,421,984
Total loss/gain on sale of assets2016-12-31$0
Total of all expenses incurred2016-12-31$7,629,466
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2016-12-31$6,901,787
Total contributions o plan (from employers,participants, others, non cash contrinutions)2016-12-31$14,266,360
Value of total assets at end of year2016-12-31$150,568,555
Value of total assets at beginning of year2016-12-31$134,645,043
Total of administrative expenses incurred including professional, contract, advisory and management fees2016-12-31$727,679
Total interest from all sources2016-12-31$4,204
Total dividends received (eg from common stock, registered investment company shares)2016-12-31$3,189,526
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2016-12-31No
Administrative expenses professional fees incurred2016-12-31$721,393
Was this plan covered by a fidelity bond2016-12-31Yes
Value of fidelity bond cover2016-12-31$500,000
If this is an individual account plan, was there a blackout period2016-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2016-12-31$0
Were there any nonexempt tranactions with any party-in-interest2016-12-31No
Contributions received from participants2016-12-31$6,296,852
Participant contributions at end of year2016-12-31$58,557
Participant contributions at beginning of year2016-12-31$64,289
Assets. Other investments not covered elsewhere at end of year2016-12-31$463,102
Assets. Other investments not covered elsewhere at beginning of year2016-12-31$259,280
Income. Received or receivable in cash from other sources (including rollovers)2016-12-31$1,887,254
Administrative expenses (other) incurred2016-12-31$6,286
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2016-12-31No
Value of net income/loss2016-12-31$15,792,518
Value of net assets at end of year (total assets less liabilities)2016-12-31$150,568,555
Value of net assets at beginning of year (total assets less liabilities)2016-12-31$134,645,043
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2016-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2016-12-31No
Were any leases to which the plan was party in default or uncollectible2016-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2016-12-31$102,402,608
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2016-12-31$91,446,574
Value of interest in pooled separate accounts at end of year2016-12-31$15,365,742
Value of interest in pooled separate accounts at beginning of year2016-12-31$13,335,742
Interest on participant loans2016-12-31$4,204
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2016-12-31$32,278,546
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2016-12-31$29,539,158
Expenses. Payments to insurance carriers foe the provision of benefits2016-12-31$721,393
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2016-12-31No
Was there a failure to transmit to the plan any participant contributions2016-12-31No
Has the plan failed to provide any benefit when due under the plan2016-12-31No
Contributions received in cash from employer2016-12-31$6,082,254
Income. Dividends from common stock2016-12-31$3,189,526
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2016-12-31$6,901,787
Did the plan have assets held for investment2016-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2016-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2016-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2016-12-31Yes
Opinion of an independent qualified public accountant for this plan2016-12-31Disclaimer
Accountancy firm name2016-12-31GRANT THORNTON LLP
Accountancy firm EIN2016-12-31366055558
2015 : WESTERN UNIVERSITY OF HEALTH SCIENCES 403B PLAN 2015 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets2015-12-31$-19,130,591
Total unrealized appreciation/depreciation of assets2015-12-31$-19,130,591
Total transfer of assets to this plan2015-12-31$120,932
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2015-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2015-12-31$0
Total income from all sources (including contributions)2015-12-31$14,023,791
Total loss/gain on sale of assets2015-12-31$0
Total of all expenses incurred2015-12-31$6,535,866
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2015-12-31$6,530,292
Total contributions o plan (from employers,participants, others, non cash contrinutions)2015-12-31$13,551,955
Value of total assets at end of year2015-12-31$134,645,043
Value of total assets at beginning of year2015-12-31$127,036,186
Total of administrative expenses incurred including professional, contract, advisory and management fees2015-12-31$5,574
Total interest from all sources2015-12-31$3,808
Total dividends received (eg from common stock, registered investment company shares)2015-12-31$3,468,778
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2015-12-31No
Was this plan covered by a fidelity bond2015-12-31Yes
Value of fidelity bond cover2015-12-31$500,000
If this is an individual account plan, was there a blackout period2015-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2015-12-31$0
Were there any nonexempt tranactions with any party-in-interest2015-12-31No
Contributions received from participants2015-12-31$5,812,298
Participant contributions at end of year2015-12-31$64,289
Participant contributions at beginning of year2015-12-31$75,436
Assets. Other investments not covered elsewhere at end of year2015-12-31$259,280
Assets. Other investments not covered elsewhere at beginning of year2015-12-31$250,702
Income. Received or receivable in cash from other sources (including rollovers)2015-12-31$2,000,700
Other income not declared elsewhere2015-12-31$5,289
Administrative expenses (other) incurred2015-12-31$5,574
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2015-12-31No
Value of net income/loss2015-12-31$7,487,925
Value of net assets at end of year (total assets less liabilities)2015-12-31$134,645,043
Value of net assets at beginning of year (total assets less liabilities)2015-12-31$127,036,186
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2015-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2015-12-31No
Were any leases to which the plan was party in default or uncollectible2015-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2015-12-31$91,446,574
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2015-12-31$86,338,975
Value of interest in pooled separate accounts at end of year2015-12-31$13,335,742
Value of interest in pooled separate accounts at beginning of year2015-12-31$11,885,416
Interest on participant loans2015-12-31$3,808
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2015-12-31$29,539,158
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2015-12-31$28,485,657
Net investment gain/loss from registered investment companies (e.g. mutual funds)2015-12-31$16,182,946
Net investment gain/loss from pooled separate accounts2015-12-31$-58,394
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2015-12-31No
Was there a failure to transmit to the plan any participant contributions2015-12-31No
Has the plan failed to provide any benefit when due under the plan2015-12-31No
Contributions received in cash from employer2015-12-31$5,738,957
Income. Dividends from common stock2015-12-31$3,468,778
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2015-12-31$6,530,292
Did the plan have assets held for investment2015-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2015-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2015-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2015-12-31Yes
Opinion of an independent qualified public accountant for this plan2015-12-31Disclaimer
Accountancy firm name2015-12-31GRANT THORNTON LLP
Accountancy firm EIN2015-12-31366055558
2014 : WESTERN UNIVERSITY OF HEALTH SCIENCES 403B PLAN 2014 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets2014-12-31$524,631
Total unrealized appreciation/depreciation of assets2014-12-31$524,631
Total transfer of assets to this plan2014-12-31$166,937
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2014-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2014-12-31$0
Total income from all sources (including contributions)2014-12-31$19,914,053
Total loss/gain on sale of assets2014-12-31$0
Total of all expenses incurred2014-12-31$6,370,706
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2014-12-31$6,366,415
Total contributions o plan (from employers,participants, others, non cash contrinutions)2014-12-31$13,240,525
Value of total assets at end of year2014-12-31$127,036,186
Value of total assets at beginning of year2014-12-31$113,325,902
Total of administrative expenses incurred including professional, contract, advisory and management fees2014-12-31$4,291
Total interest from all sources2014-12-31$5,069
Total dividends received (eg from common stock, registered investment company shares)2014-12-31$2,280,660
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2014-12-31No
Was this plan covered by a fidelity bond2014-12-31Yes
Value of fidelity bond cover2014-12-31$500,000
If this is an individual account plan, was there a blackout period2014-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2014-12-31$0
Were there any nonexempt tranactions with any party-in-interest2014-12-31No
Contributions received from participants2014-12-31$5,400,311
Participant contributions at end of year2014-12-31$75,436
Participant contributions at beginning of year2014-12-31$84,963
Assets. Other investments not covered elsewhere at end of year2014-12-31$250,702
Assets. Other investments not covered elsewhere at beginning of year2014-12-31$317,143
Income. Received or receivable in cash from other sources (including rollovers)2014-12-31$2,385,994
Other income not declared elsewhere2014-12-31$1,921
Administrative expenses (other) incurred2014-12-31$4,291
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2014-12-31No
Value of net income/loss2014-12-31$13,543,347
Value of net assets at end of year (total assets less liabilities)2014-12-31$127,036,186
Value of net assets at beginning of year (total assets less liabilities)2014-12-31$113,325,902
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2014-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2014-12-31No
Were any leases to which the plan was party in default or uncollectible2014-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2014-12-31$86,338,975
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2014-12-31$77,857,181
Value of interest in pooled separate accounts at end of year2014-12-31$11,885,416
Value of interest in pooled separate accounts at beginning of year2014-12-31$10,197,248
Interest on participant loans2014-12-31$5,069
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2014-12-31$28,485,657
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2014-12-31$24,869,367
Net investment gain/loss from registered investment companies (e.g. mutual funds)2014-12-31$3,183,249
Net investment gain/loss from pooled separate accounts2014-12-31$677,998
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2014-12-31No
Was there a failure to transmit to the plan any participant contributions2014-12-31No
Has the plan failed to provide any benefit when due under the plan2014-12-31No
Contributions received in cash from employer2014-12-31$5,454,220
Income. Dividends from common stock2014-12-31$2,280,660
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2014-12-31$6,366,415
Did the plan have assets held for investment2014-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2014-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2014-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2014-12-31Yes
Opinion of an independent qualified public accountant for this plan2014-12-31Disclaimer
Accountancy firm name2014-12-31GRANT THORNTON LLP
Accountancy firm EIN2014-12-31366055558
2013 : WESTERN UNIVERSITY OF HEALTH SCIENCES 403B PLAN 2013 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets2013-12-31$897,386
Total unrealized appreciation/depreciation of assets2013-12-31$897,386
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2013-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2013-12-31$0
Total income from all sources (including contributions)2013-12-31$27,324,447
Total loss/gain on sale of assets2013-12-31$0
Total of all expenses incurred2013-12-31$2,894,838
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2013-12-31$2,890,249
Total contributions o plan (from employers,participants, others, non cash contrinutions)2013-12-31$12,070,562
Value of total assets at end of year2013-12-31$113,325,902
Value of total assets at beginning of year2013-12-31$88,896,293
Total of administrative expenses incurred including professional, contract, advisory and management fees2013-12-31$4,589
Total interest from all sources2013-12-31$12,282
Total dividends received (eg from common stock, registered investment company shares)2013-12-31$2,334,487
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2013-12-31No
Was this plan covered by a fidelity bond2013-12-31Yes
Value of fidelity bond cover2013-12-31$500,000
If this is an individual account plan, was there a blackout period2013-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2013-12-31$0
Were there any nonexempt tranactions with any party-in-interest2013-12-31No
Contributions received from participants2013-12-31$4,991,446
Participant contributions at end of year2013-12-31$84,963
Participant contributions at beginning of year2013-12-31$93,096
Assets. Other investments not covered elsewhere at end of year2013-12-31$317,143
Assets. Other investments not covered elsewhere at beginning of year2013-12-31$168,172
Income. Received or receivable in cash from other sources (including rollovers)2013-12-31$2,116,994
Other income not declared elsewhere2013-12-31$59,213
Administrative expenses (other) incurred2013-12-31$480
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2013-12-31No
Value of net income/loss2013-12-31$24,429,609
Value of net assets at end of year (total assets less liabilities)2013-12-31$113,325,902
Value of net assets at beginning of year (total assets less liabilities)2013-12-31$88,896,293
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2013-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2013-12-31No
Were any leases to which the plan was party in default or uncollectible2013-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2013-12-31$77,857,181
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2013-12-31$58,783,635
Value of interest in pooled separate accounts at end of year2013-12-31$10,197,248
Value of interest in pooled separate accounts at beginning of year2013-12-31$7,454,018
Interest on participant loans2013-12-31$5,801
Interest earned on other investments2013-12-31$6,481
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2013-12-31$24,869,367
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2013-12-31$22,397,372
Net investment gain/loss from registered investment companies (e.g. mutual funds)2013-12-31$10,208,896
Net investment gain/loss from pooled separate accounts2013-12-31$1,741,621
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2013-12-31No
Was there a failure to transmit to the plan any participant contributions2013-12-31No
Has the plan failed to provide any benefit when due under the plan2013-12-31No
Contributions received in cash from employer2013-12-31$4,962,122
Income. Dividends from common stock2013-12-31$2,334,487
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2013-12-31$2,890,249
Contract administrator fees2013-12-31$4,109
Did the plan have assets held for investment2013-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2013-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2013-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2013-12-31Yes
Opinion of an independent qualified public accountant for this plan2013-12-31Disclaimer
Accountancy firm name2013-12-31GRANT THORNTON LLP
Accountancy firm EIN2013-12-31366055558
2012 : WESTERN UNIVERSITY OF HEALTH SCIENCES 403B PLAN 2012 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets2012-12-31$6,929,876
Total unrealized appreciation/depreciation of assets2012-12-31$6,929,876
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2012-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2012-12-31$0
Total income from all sources (including contributions)2012-12-31$17,713,560
Total loss/gain on sale of assets2012-12-31$0
Total of all expenses incurred2012-12-31$3,381,478
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2012-12-31$3,376,711
Total contributions o plan (from employers,participants, others, non cash contrinutions)2012-12-31$9,439,511
Value of total assets at end of year2012-12-31$88,896,293
Value of total assets at beginning of year2012-12-31$74,564,211
Total of administrative expenses incurred including professional, contract, advisory and management fees2012-12-31$4,767
Total interest from all sources2012-12-31$6,000
Total dividends received (eg from common stock, registered investment company shares)2012-12-31$1,338,173
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2012-12-31No
Was this plan covered by a fidelity bond2012-12-31Yes
Value of fidelity bond cover2012-12-31$500,000
If this is an individual account plan, was there a blackout period2012-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2012-12-31$0
Were there any nonexempt tranactions with any party-in-interest2012-12-31No
Contributions received from participants2012-12-31$4,529,613
Participant contributions at end of year2012-12-31$93,096
Participant contributions at beginning of year2012-12-31$104,116
Assets. Other investments not covered elsewhere at end of year2012-12-31$168,172
Assets. Other investments not covered elsewhere at beginning of year2012-12-31$137,864
Income. Received or receivable in cash from other sources (including rollovers)2012-12-31$411,851
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2012-12-31No
Value of net income/loss2012-12-31$14,332,082
Value of net assets at end of year (total assets less liabilities)2012-12-31$88,896,293
Value of net assets at beginning of year (total assets less liabilities)2012-12-31$74,564,211
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2012-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2012-12-31No
Were any leases to which the plan was party in default or uncollectible2012-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2012-12-31$58,783,635
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2012-12-31$47,686,859
Value of interest in pooled separate accounts at end of year2012-12-31$7,454,018
Value of interest in pooled separate accounts at beginning of year2012-12-31$5,991,816
Interest on participant loans2012-12-31$6,000
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2012-12-31$22,397,372
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2012-12-31$20,643,556
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2012-12-31No
Was there a failure to transmit to the plan any participant contributions2012-12-31Yes
Has the plan failed to provide any benefit when due under the plan2012-12-31No
Contributions received in cash from employer2012-12-31$4,498,047
Income. Dividends from common stock2012-12-31$1,338,173
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2012-12-31$3,376,711
Contract administrator fees2012-12-31$4,767
Did the plan have assets held for investment2012-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2012-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2012-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2012-12-31Yes
Opinion of an independent qualified public accountant for this plan2012-12-31Disclaimer
Accountancy firm name2012-12-31GRANT THORNTON LLP
Accountancy firm EIN2012-12-31366055558
2011 : WESTERN UNIVERSITY OF HEALTH SCIENCES 403B PLAN 2011 401k financial data
Total unrealized appreciation/depreciation of assets2011-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2011-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2011-12-31$0
Total income from all sources (including contributions)2011-12-31$8,530,826
Total loss/gain on sale of assets2011-12-31$0
Total of all expenses incurred2011-12-31$2,578,461
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2011-12-31$2,574,054
Total contributions o plan (from employers,participants, others, non cash contrinutions)2011-12-31$8,641,502
Value of total assets at end of year2011-12-31$74,564,211
Value of total assets at beginning of year2011-12-31$68,611,846
Total of administrative expenses incurred including professional, contract, advisory and management fees2011-12-31$4,407
Total interest from all sources2011-12-31$4,271
Total dividends received (eg from common stock, registered investment company shares)2011-12-31$1,355,422
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2011-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2011-12-31$771,437
Was this plan covered by a fidelity bond2011-12-31Yes
Value of fidelity bond cover2011-12-31$500,000
If this is an individual account plan, was there a blackout period2011-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2011-12-31$0
Were there any nonexempt tranactions with any party-in-interest2011-12-31No
Contributions received from participants2011-12-31$4,023,658
Participant contributions at end of year2011-12-31$104,116
Participant contributions at beginning of year2011-12-31$116,903
Assets. Other investments not covered elsewhere at end of year2011-12-31$137,864
Income. Received or receivable in cash from other sources (including rollovers)2011-12-31$619,900
Other income not declared elsewhere2011-12-31$270
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2011-12-31No
Value of net income/loss2011-12-31$5,952,365
Value of net assets at end of year (total assets less liabilities)2011-12-31$74,564,211
Value of net assets at beginning of year (total assets less liabilities)2011-12-31$68,611,846
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2011-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2011-12-31No
Were any leases to which the plan was party in default or uncollectible2011-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2011-12-31$47,686,859
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2011-12-31$44,171,235
Value of interest in pooled separate accounts at end of year2011-12-31$5,991,816
Value of interest in pooled separate accounts at beginning of year2011-12-31$5,250,131
Interest on participant loans2011-12-31$4,271
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2011-12-31$20,643,556
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2011-12-31$19,073,577
Net investment gain/loss from registered investment companies (e.g. mutual funds)2011-12-31$-1,444,363
Net investment gain/loss from pooled separate accounts2011-12-31$-26,276
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2011-12-31No
Was there a failure to transmit to the plan any participant contributions2011-12-31Yes
Has the plan failed to provide any benefit when due under the plan2011-12-31No
Contributions received in cash from employer2011-12-31$3,997,944
Income. Dividends from common stock2011-12-31$583,985
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2011-12-31$2,574,054
Contract administrator fees2011-12-31$4,407
Did the plan have assets held for investment2011-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2011-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2011-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2011-12-31Yes
Opinion of an independent qualified public accountant for this plan2011-12-31Disclaimer
Accountancy firm name2011-12-31GRANT THORNTON LLP
Accountancy firm EIN2011-12-31366055558
2010 : WESTERN UNIVERSITY OF HEALTH SCIENCES 403B PLAN 2010 401k financial data
Total unrealized appreciation/depreciation of assets2010-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2010-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2010-12-31$0
Total income from all sources (including contributions)2010-12-31$15,341,698
Total loss/gain on sale of assets2010-12-31$0
Total of all expenses incurred2010-12-31$2,308,503
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2010-12-31$2,307,405
Total contributions o plan (from employers,participants, others, non cash contrinutions)2010-12-31$9,288,537
Value of total assets at end of year2010-12-31$68,611,846
Value of total assets at beginning of year2010-12-31$55,578,651
Total of administrative expenses incurred including professional, contract, advisory and management fees2010-12-31$1,098
Total interest from all sources2010-12-31$240,281
Total dividends received (eg from common stock, registered investment company shares)2010-12-31$565,241
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2010-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2010-12-31$565,241
Administrative expenses professional fees incurred2010-12-31$1,098
Was this plan covered by a fidelity bond2010-12-31Yes
Value of fidelity bond cover2010-12-31$500,000
If this is an individual account plan, was there a blackout period2010-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2010-12-31$0
Were there any nonexempt tranactions with any party-in-interest2010-12-31No
Contributions received from participants2010-12-31$3,610,634
Participant contributions at end of year2010-12-31$116,903
Participant contributions at beginning of year2010-12-31$55,643
Participant contributions at end of year2010-12-31$0
Participant contributions at beginning of year2010-12-31$6,062
Income. Received or receivable in cash from other sources (including rollovers)2010-12-31$2,168,706
Other income not declared elsewhere2010-12-31$33,563
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2010-12-31No
Value of net income/loss2010-12-31$13,033,195
Value of net assets at end of year (total assets less liabilities)2010-12-31$68,611,846
Value of net assets at beginning of year (total assets less liabilities)2010-12-31$55,578,651
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2010-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2010-12-31No
Were any leases to which the plan was party in default or uncollectible2010-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2010-12-31$44,171,235
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2010-12-31$33,885,757
Value of interest in pooled separate accounts at end of year2010-12-31$5,250,131
Value of interest in pooled separate accounts at beginning of year2010-12-31$3,637,563
Interest on participant loans2010-12-31$7,384
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)2010-12-31$232,897
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2010-12-31$19,073,577
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2010-12-31$17,984,801
Net investment gain/loss from registered investment companies (e.g. mutual funds)2010-12-31$4,560,395
Net investment gain/loss from pooled separate accounts2010-12-31$653,681
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2010-12-31No
Was there a failure to transmit to the plan any participant contributions2010-12-31Yes
Has the plan failed to provide any benefit when due under the plan2010-12-31No
Contributions received in cash from employer2010-12-31$3,509,197
Employer contributions (assets) at end of year2010-12-31$0
Employer contributions (assets) at beginning of year2010-12-31$8,825
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2010-12-31$2,307,405
Did the plan have assets held for investment2010-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2010-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2010-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2010-12-31Yes
Opinion of an independent qualified public accountant for this plan2010-12-31Disclaimer
Accountancy firm name2010-12-31GRANT THORNTON LLP
Accountancy firm EIN2010-12-31366055558

Form 5500 Responses for WESTERN UNIVERSITY OF HEALTH SCIENCES 403B PLAN

2022: WESTERN UNIVERSITY OF HEALTH SCIENCES 403B PLAN 2022 form 5500 responses
2022-01-01Type of plan entitySingle employer plan
2022-01-01Submission has been amendedNo
2022-01-01This submission is the final filingNo
2022-01-01This return/report is a short plan year return/report (less than 12 months)No
2022-01-01Plan is a collectively bargained planNo
2022-01-01Plan funding arrangement – InsuranceYes
2022-01-01Plan benefit arrangement – InsuranceYes
2021: WESTERN UNIVERSITY OF HEALTH SCIENCES 403B PLAN 2021 form 5500 responses
2021-01-01Type of plan entitySingle employer plan
2021-01-01Submission has been amendedNo
2021-01-01This submission is the final filingNo
2021-01-01This return/report is a short plan year return/report (less than 12 months)No
2021-01-01Plan is a collectively bargained planNo
2021-01-01Plan funding arrangement – InsuranceYes
2021-01-01Plan benefit arrangement – InsuranceYes
2020: WESTERN UNIVERSITY OF HEALTH SCIENCES 403B PLAN 2020 form 5500 responses
2020-01-01Type of plan entitySingle employer plan
2020-01-01Submission has been amendedNo
2020-01-01This submission is the final filingNo
2020-01-01This return/report is a short plan year return/report (less than 12 months)No
2020-01-01Plan is a collectively bargained planNo
2020-01-01Plan funding arrangement – InsuranceYes
2020-01-01Plan benefit arrangement – InsuranceYes
2019: WESTERN UNIVERSITY OF HEALTH SCIENCES 403B PLAN 2019 form 5500 responses
2019-01-01Type of plan entitySingle employer plan
2019-01-01Submission has been amendedNo
2019-01-01This submission is the final filingNo
2019-01-01This return/report is a short plan year return/report (less than 12 months)No
2019-01-01Plan is a collectively bargained planNo
2019-01-01Plan funding arrangement – InsuranceYes
2019-01-01Plan benefit arrangement – InsuranceYes
2018: WESTERN UNIVERSITY OF HEALTH SCIENCES 403B PLAN 2018 form 5500 responses
2018-01-01Type of plan entitySingle employer plan
2018-01-01Submission has been amendedNo
2018-01-01This submission is the final filingNo
2018-01-01This return/report is a short plan year return/report (less than 12 months)No
2018-01-01Plan is a collectively bargained planNo
2018-01-01Plan funding arrangement – InsuranceYes
2018-01-01Plan benefit arrangement – InsuranceYes
2017: WESTERN UNIVERSITY OF HEALTH SCIENCES 403B PLAN 2017 form 5500 responses
2017-01-01Type of plan entitySingle employer plan
2017-01-01Submission has been amendedNo
2017-01-01This submission is the final filingNo
2017-01-01This return/report is a short plan year return/report (less than 12 months)No
2017-01-01Plan is a collectively bargained planNo
2017-01-01Plan funding arrangement – InsuranceYes
2017-01-01Plan benefit arrangement – InsuranceYes
2016: WESTERN UNIVERSITY OF HEALTH SCIENCES 403B PLAN 2016 form 5500 responses
2016-01-01Type of plan entitySingle employer plan
2016-01-01Submission has been amendedYes
2016-01-01This submission is the final filingNo
2016-01-01This return/report is a short plan year return/report (less than 12 months)No
2016-01-01Plan is a collectively bargained planNo
2016-01-01Plan funding arrangement – InsuranceYes
2016-01-01Plan funding arrangement – TrustYes
2016-01-01Plan benefit arrangement – InsuranceYes
2016-01-01Plan benefit arrangement - TrustYes
2015: WESTERN UNIVERSITY OF HEALTH SCIENCES 403B PLAN 2015 form 5500 responses
2015-01-01Type of plan entitySingle employer plan
2015-01-01Submission has been amendedNo
2015-01-01This submission is the final filingNo
2015-01-01This return/report is a short plan year return/report (less than 12 months)No
2015-01-01Plan is a collectively bargained planNo
2015-01-01Plan funding arrangement – InsuranceYes
2015-01-01Plan funding arrangement – TrustYes
2015-01-01Plan benefit arrangement – InsuranceYes
2015-01-01Plan benefit arrangement - TrustYes
2014: WESTERN UNIVERSITY OF HEALTH SCIENCES 403B PLAN 2014 form 5500 responses
2014-01-01Type of plan entitySingle employer plan
2014-01-01Submission has been amendedNo
2014-01-01This submission is the final filingNo
2014-01-01This return/report is a short plan year return/report (less than 12 months)No
2014-01-01Plan is a collectively bargained planNo
2014-01-01Plan funding arrangement – InsuranceYes
2014-01-01Plan funding arrangement – TrustYes
2014-01-01Plan benefit arrangement – InsuranceYes
2014-01-01Plan benefit arrangement - TrustYes
2013: WESTERN UNIVERSITY OF HEALTH SCIENCES 403B PLAN 2013 form 5500 responses
2013-01-01Type of plan entitySingle employer plan
2013-01-01Submission has been amendedNo
2013-01-01This submission is the final filingNo
2013-01-01This return/report is a short plan year return/report (less than 12 months)No
2013-01-01Plan is a collectively bargained planNo
2013-01-01Plan funding arrangement – InsuranceYes
2013-01-01Plan funding arrangement – TrustYes
2013-01-01Plan benefit arrangement – InsuranceYes
2013-01-01Plan benefit arrangement - TrustYes
2012: WESTERN UNIVERSITY OF HEALTH SCIENCES 403B PLAN 2012 form 5500 responses
2012-01-01Type of plan entitySingle employer plan
2012-01-01Submission has been amendedNo
2012-01-01This submission is the final filingNo
2012-01-01This return/report is a short plan year return/report (less than 12 months)No
2012-01-01Plan is a collectively bargained planNo
2012-01-01Plan funding arrangement – InsuranceYes
2012-01-01Plan funding arrangement – TrustYes
2012-01-01Plan benefit arrangement – InsuranceYes
2012-01-01Plan benefit arrangement - TrustYes
2011: WESTERN UNIVERSITY OF HEALTH SCIENCES 403B PLAN 2011 form 5500 responses
2011-01-01Type of plan entitySingle employer plan
2011-01-01Submission has been amendedNo
2011-01-01This submission is the final filingNo
2011-01-01This return/report is a short plan year return/report (less than 12 months)No
2011-01-01Plan is a collectively bargained planNo
2011-01-01Plan funding arrangement – InsuranceYes
2011-01-01Plan funding arrangement – TrustYes
2011-01-01Plan benefit arrangement – InsuranceYes
2011-01-01Plan benefit arrangement - TrustYes
2010: WESTERN UNIVERSITY OF HEALTH SCIENCES 403B PLAN 2010 form 5500 responses
2010-01-01Type of plan entitySingle employer plan
2010-01-01Submission has been amendedNo
2010-01-01This submission is the final filingNo
2010-01-01This return/report is a short plan year return/report (less than 12 months)No
2010-01-01Plan is a collectively bargained planNo
2010-01-01Plan funding arrangement – InsuranceYes
2010-01-01Plan funding arrangement – TrustYes
2010-01-01Plan benefit arrangement – InsuranceYes
2010-01-01Plan benefit arrangement - TrustYes
2009: WESTERN UNIVERSITY OF HEALTH SCIENCES 403B PLAN 2009 form 5500 responses
2009-01-01Type of plan entitySingle employer plan
2009-01-01Submission has been amendedYes
2009-01-01This submission is the final filingNo
2009-01-01This return/report is a short plan year return/report (less than 12 months)No
2009-01-01Plan is a collectively bargained planNo
2009-01-01Plan funding arrangement – InsuranceYes
2009-01-01Plan funding arrangement – TrustYes
2009-01-01Plan benefit arrangement – InsuranceYes
2009-01-01Plan benefit arrangement - TrustYes

Insurance Providers Used on plan

RIVERSOURCE LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 65005 )
Policy contract number15758701
Policy instance 3
Insurance contract or identification number15758701
Number of Individuals Covered35
Insurance policy start date2022-01-01
Insurance policy end date2022-12-31
Total amount of commissions paid to insurance brokerUSD $10,876
Total amount of fees paid to insurance companyUSD $0
Are there contracts with allocated funds for individual policies?1
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 planNo
Contracts With Unallocated Funds Deposit Administration0
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?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?No
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
Commission paid to Insurance BrokerUSD $2,847
Insurance broker organization code?3
Additional information about fees paid to insurance brokerNA
MUTUAL OF AMERICA LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 88668 )
Policy contract number01499-A
Policy instance 2
Insurance contract or identification number01499-A
Number of Individuals Covered0
Insurance policy start date2022-01-01
Insurance policy end date2022-12-31
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 planNo
Contracts With Unallocated Funds Deposit Administration0
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?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?No
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
TIAA-CREF (National Association of Insurance Commissioners NAIC id number: 69345 )
Policy contract number151224
Policy instance 1
Insurance contract or identification number151224
Number of Individuals Covered967
Insurance policy start date2022-01-01
Insurance policy end date2022-12-31
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 planNo
Contracts With Unallocated Funds Deposit Administration0
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 BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
RIVERSOURCE LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 65005 )
Policy contract number15758701
Policy instance 3
Insurance contract or identification number15758701
Number of Individuals Covered39
Insurance policy start date2021-01-01
Insurance policy end date2021-12-31
Total amount of commissions paid to insurance brokerUSD $12,399
Total amount of fees paid to insurance companyUSD $0
Are there contracts with allocated funds for individual policies?1
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 planNo
Contracts With Unallocated Funds Deposit Administration0
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?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?No
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
Commission paid to Insurance BrokerUSD $4,219
Insurance broker organization code?3
Amount paid for insurance broker fees0
Additional information about fees paid to insurance brokerNA
MUTUAL OF AMERICA LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 88668 )
Policy contract number01499-A
Policy instance 2
Insurance contract or identification number01499-A
Number of Individuals Covered223
Insurance policy start date2021-01-01
Insurance policy end date2021-12-31
Total amount of commissions paid to insurance brokerUSD $0
Total amount of fees paid to insurance companyUSD $5,155
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 planNo
Contracts With Unallocated Funds Deposit Administration0
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?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?No
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
Amount paid for insurance broker fees5155
Additional information about fees paid to insurance brokerPORTION OF INCENTIVE COMP PROGRAM
Insurance broker organization code?3
TIAA-CREF (National Association of Insurance Commissioners NAIC id number: 69345 )
Policy contract number151224
Policy instance 1
Insurance contract or identification number151224
Number of Individuals Covered982
Insurance policy start date2021-01-01
Insurance policy end date2021-12-31
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 planNo
Contracts With Unallocated Funds Deposit Administration0
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 BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
TIAA-CREF (National Association of Insurance Commissioners NAIC id number: 69345 )
Policy contract number151224
Policy instance 1
Insurance contract or identification number151224
Number of Individuals Covered984
Insurance policy start date2020-01-01
Insurance policy end date2020-12-31
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 planNo
Contracts With Unallocated Funds Deposit Administration0
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 BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
MUTUAL OF AMERICA LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 88668 )
Policy contract number01499-A
Policy instance 2
Insurance contract or identification number01499-A
Number of Individuals Covered217
Insurance policy start date2020-01-01
Insurance policy end date2020-12-31
Total amount of commissions paid to insurance brokerUSD $5,155
Total amount of fees paid to insurance companyUSD $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 planNo
Contracts With Unallocated Funds Deposit Administration0
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?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?No
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
Commission paid to Insurance BrokerUSD $5,155
Insurance broker organization code?3
RIVERSOURCE LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 65005 )
Policy contract number15758701
Policy instance 3
Insurance contract or identification number15758701
Number of Individuals Covered41
Insurance policy start date2020-01-01
Insurance policy end date2020-12-31
Total amount of commissions paid to insurance brokerUSD $9,857
Total amount of fees paid to insurance companyUSD $0
Are there contracts with allocated funds for individual policies?1
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 planNo
Contracts With Unallocated Funds Deposit Administration0
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?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?No
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
Commission paid to Insurance BrokerUSD $3,123
Insurance broker organization code?3
TIAA-CREF (National Association of Insurance Commissioners NAIC id number: 69345 )
Policy contract number151224
Policy instance 1
Insurance contract or identification number151224
Number of Individuals Covered1006
Insurance policy start date2019-01-01
Insurance policy end date2019-12-31
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 planNo
Contracts With Unallocated Funds Deposit Administration0
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 BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
MUTUAL OF AMERICA LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 88668 )
Policy contract number01499-A
Policy instance 2
Insurance contract or identification number01499-A
Number of Individuals Covered206
Insurance policy start date2019-01-01
Insurance policy end date2019-12-31
Total amount of commissions paid to insurance brokerUSD $4,404
Total amount of fees paid to insurance companyUSD $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 planNo
Contracts With Unallocated Funds Deposit Administration0
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?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?No
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
Commission paid to Insurance BrokerUSD $4,404
Insurance broker organization code?3
RIVERSOURCE LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 65005 )
Policy contract number15758701
Policy instance 3
Insurance contract or identification number15758701
Number of Individuals Covered42
Insurance policy start date2019-01-01
Insurance policy end date2019-12-31
Total amount of commissions paid to insurance brokerUSD $12,631
Total amount of fees paid to insurance companyUSD $0
Are there contracts with allocated funds for individual policies?1
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 planNo
Contracts With Unallocated Funds Deposit Administration0
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?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?No
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
Commission paid to Insurance BrokerUSD $4,311
Insurance broker organization code?3
MUTUAL OF AMERICA LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 88668 )
Policy contract number01499-A
Policy instance 2
Insurance contract or identification number01499-A
Number of Individuals Covered204
Insurance policy start date2018-01-01
Insurance policy end date2018-12-31
Total amount of commissions paid to insurance brokerUSD $6,259
Total amount of fees paid to insurance companyUSD $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 planNo
Contracts With Unallocated Funds Deposit Administration0
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?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?No
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
Commission paid to Insurance BrokerUSD $6,259
Insurance broker organization code?3
TIAA-CREF (National Association of Insurance Commissioners NAIC id number: 69345 )
Policy contract number151224
Policy instance 1
Insurance contract or identification number151224
Number of Individuals Covered991
Insurance policy start date2018-01-01
Insurance policy end date2018-12-31
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 planNo
Contracts With Unallocated Funds Deposit Administration0
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 BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
RIVERSOURCE LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 65005 )
Policy contract number15758701
Policy instance 3
Insurance contract or identification number15758701
Number of Individuals Covered48
Insurance policy start date2018-01-01
Insurance policy end date2018-12-31
Total amount of commissions paid to insurance brokerUSD $11,701
Total amount of fees paid to insurance companyUSD $0
Are there contracts with allocated funds for individual policies?1
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 planNo
Contracts With Unallocated Funds Deposit Administration0
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?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?No
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
Commission paid to Insurance BrokerUSD $4,499
Insurance broker organization code?3
RIVERSOURCE LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 65005 )
Policy contract number15758701
Policy instance 3
Insurance contract or identification number15758701
Number of Individuals Covered48
Insurance policy start date2017-01-01
Insurance policy end date2017-12-31
Total amount of commissions paid to insurance brokerUSD $12,346
Total amount of fees paid to insurance companyUSD $0
Are there contracts with allocated funds for individual policies?1
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 planNo
Contracts With Unallocated Funds Deposit Administration0
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?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?No
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
Commission paid to Insurance BrokerUSD $5,849
Insurance broker organization code?3
Insurance broker nameMARK P TOLAN
MUTUAL OF AMERICA LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 88668 )
Policy contract number01499-A
Policy instance 2
Insurance contract or identification number01499-A
Number of Individuals Covered206
Insurance policy start date2017-01-01
Insurance policy end date2017-12-31
Total amount of commissions paid to insurance brokerUSD $4,427
Total amount of fees paid to insurance companyUSD $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 planNo
Contracts With Unallocated Funds Deposit Administration0
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?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?No
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
Commission paid to Insurance BrokerUSD $4,427
Insurance broker organization code?3
Insurance broker nameLOS ANGELES REGIONAL OFFICE
TIAA-CREF (National Association of Insurance Commissioners NAIC id number: 69345 )
Policy contract number151224
Policy instance 1
Insurance contract or identification number151224
Number of Individuals Covered994
Insurance policy start date2017-01-01
Insurance policy end date2017-12-31
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 planNo
Contracts With Unallocated Funds Deposit Administration0
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 BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
TIAA-CREF (National Association of Insurance Commissioners NAIC id number: 69345 )
Policy contract number151224
Policy instance 1
Insurance contract or identification number151224
Number of Individuals Covered946
Insurance policy start date2015-01-01
Insurance policy end date2015-12-31
Are there contracts with allocated funds for individual policies?No
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 planNo
Contracts With Unallocated Funds Deposit Administration0
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 BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
MUTUAL OF AMERICA LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 88668 )
Policy contract number01499-A
Policy instance 2
Insurance contract or identification number01499-A
Number of Individuals Covered196
Insurance policy start date2015-01-01
Insurance policy end date2015-12-31
Total amount of commissions paid to insurance brokerUSD $3,327
Total amount of fees paid to insurance companyUSD $0
Are there contracts with allocated funds for individual policies?No
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 planNo
Contracts With Unallocated Funds Deposit Administration0
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?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?No
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
Commission paid to Insurance BrokerUSD $3,327
Insurance broker organization code?3
Insurance broker nameLOS ANGELES REGIONAL OFFICE
RIVERSOURCE LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 65005 )
Policy contract number15758701
Policy instance 3
Insurance contract or identification number15758701
Number of Individuals Covered52
Insurance policy start date2015-01-01
Insurance policy end date2015-12-31
Total amount of commissions paid to insurance brokerUSD $13,080
Total amount of fees paid to insurance companyUSD $0
Are there contracts with allocated funds for individual policies?Yes
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 planNo
Contracts With Unallocated Funds Deposit Administration0
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?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?No
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
Commission paid to Insurance BrokerUSD $6,171
Insurance broker organization code?3
Insurance broker nameMARK P TOLAN
RIVERSOURCE LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 65005 )
Policy contract number15758701
Policy instance 3
Insurance contract or identification number15758701
Number of Individuals Covered53
Insurance policy start date2014-01-01
Insurance policy end date2014-12-31
Total amount of commissions paid to insurance brokerUSD $13,529
Total amount of fees paid to insurance companyUSD $0
Are there contracts with allocated funds for individual policies?Yes
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 planNo
Contracts With Unallocated Funds Deposit Administration0
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?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?No
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
Commission paid to Insurance BrokerUSD $6,031
Insurance broker organization code?3
Insurance broker nameMICHAEL ANTON
TIAA-CREF (National Association of Insurance Commissioners NAIC id number: 69345 )
Policy contract number151224
Policy instance 1
Insurance contract or identification number151224
Number of Individuals Covered923
Insurance policy start date2014-01-01
Insurance policy end date2014-12-31
Are there contracts with allocated funds for individual policies?No
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 planNo
Contracts With Unallocated Funds Deposit Administration0
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 BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
MUTUAL OF AMERICA LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 88668 )
Policy contract number01499-A
Policy instance 2
Insurance contract or identification number01499-A
Number of Individuals Covered190
Insurance policy start date2014-01-01
Insurance policy end date2014-12-31
Total amount of commissions paid to insurance brokerUSD $5,533
Total amount of fees paid to insurance companyUSD $0
Are there contracts with allocated funds for individual policies?No
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 planNo
Contracts With Unallocated Funds Deposit Administration0
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?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?No
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
Commission paid to Insurance BrokerUSD $5,533
Insurance broker organization code?3
Insurance broker nameLOS ANGELES REGIONAL OFFICE
MUTUAL OF AMERICA LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 88668 )
Policy contract number01499-A
Policy instance 2
Insurance contract or identification number01499-A
Number of Individuals Covered184
Insurance policy start date2013-01-01
Insurance policy end date2013-12-31
Total amount of commissions paid to insurance brokerUSD $4,077
Total amount of fees paid to insurance companyUSD $0
Are there contracts with allocated funds for individual policies?No
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 planNo
Contracts With Unallocated Funds Deposit Administration0
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?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?No
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
Commission paid to Insurance BrokerUSD $4,077
Insurance broker organization code?3
Insurance broker nameLOS ANGELES REGIONAL OFFICE
TIAA-CREF (National Association of Insurance Commissioners NAIC id number: 69345 )
Policy contract number151224
Policy instance 1
Insurance contract or identification number151224
Number of Individuals Covered1441
Insurance policy start date2013-01-01
Insurance policy end date2013-12-31
Are there contracts with allocated funds for individual policies?No
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 planNo
Contracts With Unallocated Funds Deposit Administration0
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 BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
RIVERSOURCE LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 65005 )
Policy contract number15758701
Policy instance 3
Insurance contract or identification number15758701
Number of Individuals Covered54
Insurance policy start date2013-01-01
Insurance policy end date2013-12-31
Total amount of commissions paid to insurance brokerUSD $14,839
Total amount of fees paid to insurance companyUSD $0
Are there contracts with allocated funds for individual policies?No
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 planNo
Contracts With Unallocated Funds Deposit Administration0
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 BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
Commission paid to Insurance BrokerUSD $4,126
Insurance broker organization code?3
Insurance broker nameMARK TOLAN
RIVERSOURCE LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 65005 )
Policy contract number15758701
Policy instance 3
Insurance contract or identification number15758701
Number of Individuals Covered64
Insurance policy start date2012-01-01
Insurance policy end date2012-12-31
Total amount of commissions paid to insurance brokerUSD $8,815
Total amount of fees paid to insurance companyUSD $0
Are there contracts with allocated funds for individual policies?No
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 planNo
Contracts With Unallocated Funds Deposit Administration0
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?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?No
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
Commission paid to Insurance BrokerUSD $3,016
Insurance broker organization code?3
Insurance broker nameLARRY R AGUAYO
MUTUAL OF AMERICA LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 88668 )
Policy contract number01499-A
Policy instance 2
Insurance contract or identification number01499-A
Number of Individuals Covered172
Insurance policy start date2012-01-01
Insurance policy end date2012-12-31
Total amount of commissions paid to insurance brokerUSD $3,473
Total amount of fees paid to insurance companyUSD $0
Are there contracts with allocated funds for individual policies?No
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 planNo
Contracts With Unallocated Funds Deposit Administration0
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?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?No
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
Commission paid to Insurance BrokerUSD $1,880
Insurance broker organization code?3
Insurance broker nameJOHN COTTEE
TIAA-CREF (National Association of Insurance Commissioners NAIC id number: 69345 )
Policy contract number151224
Policy instance 1
Insurance contract or identification number151224
Number of Individuals Covered1324
Insurance policy start date2012-01-01
Insurance policy end date2012-12-31
Are there contracts with allocated funds for individual policies?No
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 planNo
Contracts With Unallocated Funds Deposit Administration0
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 BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
TIAA-CREF (National Association of Insurance Commissioners NAIC id number: 69345 )
Policy contract number151224
Policy instance 1
Insurance contract or identification number151224
Number of Individuals Covered1187
Insurance policy start date2011-01-01
Insurance policy end date2011-12-31
Are there contracts with allocated funds for individual policies?No
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 planNo
Contracts With Unallocated Funds Deposit Administration0
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 BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
MUTUAL OF AMERICA LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 88668 )
Policy contract number01499-A
Policy instance 2
Insurance contract or identification number01499-A
Number of Individuals Covered149
Insurance policy start date2011-01-01
Insurance policy end date2011-12-31
Total amount of commissions paid to insurance brokerUSD $0
Total amount of fees paid to insurance companyUSD $2,198
Are there contracts with allocated funds for individual policies?No
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 planNo
Contracts With Unallocated Funds Deposit Administration0
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?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?No
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
RIVERSOURCE LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 65005 )
Policy contract number15758701
Policy instance 3
Insurance contract or identification number15758701
Number of Individuals Covered64
Insurance policy start date2011-01-01
Insurance policy end date2011-12-31
Total amount of commissions paid to insurance brokerUSD $21,830
Total amount of fees paid to insurance companyUSD $0
Are there contracts with allocated funds for individual policies?No
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 planNo
Contracts With Unallocated Funds Deposit Administration0
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?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?No
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
TIAA-CREF (National Association of Insurance Commissioners NAIC id number: 69345 )
Policy contract number151224
Policy instance 1
Insurance contract or identification number151224
Number of Individuals Covered1102
Insurance policy start date2010-01-01
Insurance policy end date2010-12-31
Are there contracts with allocated funds for individual policies?No
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 planNo
Contracts With Unallocated Funds Deposit Administration0
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 BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
MUTUAL OF AMERICA LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 88668 )
Policy contract number01499-A
Policy instance 2
Insurance contract or identification number01499-A
Number of Individuals Covered147
Insurance policy start date2010-01-01
Insurance policy end date2010-12-31
Total amount of commissions paid to insurance brokerUSD $0
Total amount of fees paid to insurance companyUSD $2,465
Are there contracts with allocated funds for individual policies?No
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 planNo
Contracts With Unallocated Funds Deposit Administration0
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?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?No
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
RIVERSOURCE LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 65005 )
Policy contract number15758701
Policy instance 3
Insurance contract or identification number15758701
Number of Individuals Covered64
Insurance policy start date2010-01-01
Insurance policy end date2010-12-31
Total amount of commissions paid to insurance brokerUSD $29,995
Total amount of fees paid to insurance companyUSD $0
Are there contracts with allocated funds for individual policies?No
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 planNo
Contracts With Unallocated Funds Deposit Administration0
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?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?No
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No

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