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RBZ, LLP INVESTMENT INCENTIVE PROGRAM 401k Plan overview

Plan NameRBZ, LLP INVESTMENT INCENTIVE PROGRAM
Plan identification number 001

RBZ, LLP INVESTMENT INCENTIVE PROGRAM Benefits

401k Plan TypeDefined Contribution Pension
Plan Features/Benefits
  • Age/Service Weighted or new comparability or similar plan - Age/Service Weighted Plan: Allocations are based on age, service, or age and service. New comparability or similar plan: Allocations are based on participant classifications and a classification(s) consists entirely or predominantly of highly compensated employees; or the plan provides an additional allocation rate on compensation above a specified threshold, and the theshold or additional rate exceeds the maximum threshold or rate allowed under the permitted disparity rules of section 401(l).
  • Profit-sharing
  • ERISA section 404(c) Plan - This plan, or any part of it is intended to meet the conditions of 29 CFR 2550.404c-1.
  • Total participant-directed account plan - Participants have the opportunity to direct the investment of all the assets allocated to their individual accounts, regardless of whether 29 CFR 2550.404c-1 is intended to be met.
  • Code section 401(k) feature - A cash or deferred arrangement described in Code section 401(k) that is part of a qualified defined contribution plan that provides for an election by employees to defer part of their compensation or receive these amounts in cash.
  • Participant-directed brokerage accounts provided as an investment option under the plan.
  • Plan provides for automatic enrollment in plan that has employee contributions deducted from payroll.
  • Total or partial participant-directed account plan - plan uses default investment account for participants who fail to direct assets in their account.
  • Master plan - A pension plan that is made available by a sponsor for adoption by employers; that is the subject of a favorable opinion letter; and for which a single funding medium (for example, a trust or custodial account) is established for the joint use of all adopting employers.
  • Plan sponsor(s) is (are) a member(s) of a controlled group (Code sections 414(b), (c), or (m)).
  • Life insurance

401k Sponsoring company profile

RBZ, LLP has sponsored the creation of one or more 401k plans.

Company Name:RBZ, LLP
Employer identification number (EIN):953439541
NAIC Classification:541211
NAIC Description:Offices of Certified Public Accountants

Form 5500 Filing Information

Submission information for form 5500 for 401k plan RBZ, LLP INVESTMENT INCENTIVE PROGRAM

Plan id# Filing Submission Date Name of Administrator Date Administrator SignedName of Company SponsorDate Sponsor Signed
0012018-01-01
0012017-01-01
0012016-01-01
0012015-01-01
0012014-01-01MARK BAUMOHL
0012013-01-01MARK BAUMOHL
0012012-01-01MARK BAUMOHL
0012011-01-01MARK BAUMOHL
0012009-01-01MARK BAUMOHL

Plan Statistics for RBZ, LLP INVESTMENT INCENTIVE PROGRAM

401k plan membership statisitcs for RBZ, LLP INVESTMENT INCENTIVE PROGRAM

Measure Date Value
2016: RBZ, LLP INVESTMENT INCENTIVE PROGRAM 2016 401k membership
Total participants, beginning-of-year2016-01-0166
Total number of active participants reported on line 7a of the Form 55002016-01-010
Number of retired or separated participants receiving benefits2016-01-011
Number of other retired or separated participants entitled to future benefits2016-01-0132
Total of all active and inactive participants2016-01-0133
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2016-01-010
Total participants2016-01-0133
Number of participants with account balances2016-01-0133
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2016-01-010
2015: RBZ, LLP INVESTMENT INCENTIVE PROGRAM 2015 401k membership
Total participants, beginning-of-year2015-01-0168
Total number of active participants reported on line 7a of the Form 55002015-01-0148
Number of retired or separated participants receiving benefits2015-01-011
Number of other retired or separated participants entitled to future benefits2015-01-0117
Total of all active and inactive participants2015-01-0166
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2015-01-010
Total participants2015-01-0166
Number of participants with account balances2015-01-0149
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2015-01-015
2014: RBZ, LLP INVESTMENT INCENTIVE PROGRAM 2014 401k membership
Total participants, beginning-of-year2014-01-0159
Total number of active participants reported on line 7a of the Form 55002014-01-0153
Number of retired or separated participants receiving benefits2014-01-011
Number of other retired or separated participants entitled to future benefits2014-01-0114
Total of all active and inactive participants2014-01-0168
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2014-01-010
Total participants2014-01-0168
Number of participants with account balances2014-01-0164
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2014-01-011
2013: RBZ, LLP INVESTMENT INCENTIVE PROGRAM 2013 401k membership
Total participants, beginning-of-year2013-01-0159
Total number of active participants reported on line 7a of the Form 55002013-01-0142
Number of retired or separated participants receiving benefits2013-01-012
Number of other retired or separated participants entitled to future benefits2013-01-0113
Total of all active and inactive participants2013-01-0157
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2013-01-010
Total participants2013-01-0157
Number of participants with account balances2013-01-0156
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2013-01-011
2012: RBZ, LLP INVESTMENT INCENTIVE PROGRAM 2012 401k membership
Total participants, beginning-of-year2012-01-0152
Total number of active participants reported on line 7a of the Form 55002012-01-0144
Number of retired or separated participants receiving benefits2012-01-011
Number of other retired or separated participants entitled to future benefits2012-01-0114
Total of all active and inactive participants2012-01-0159
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2012-01-010
Total participants2012-01-0159
Number of participants with account balances2012-01-0155
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2012-01-010
2011: RBZ, LLP INVESTMENT INCENTIVE PROGRAM 2011 401k membership
Total participants, beginning-of-year2011-01-0154
Total number of active participants reported on line 7a of the Form 55002011-01-0136
Number of retired or separated participants receiving benefits2011-01-011
Number of other retired or separated participants entitled to future benefits2011-01-0115
Total of all active and inactive participants2011-01-0152
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2011-01-010
Total participants2011-01-0152
Number of participants with account balances2011-01-0147
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2011-01-010
2009: RBZ, LLP INVESTMENT INCENTIVE PROGRAM 2009 401k membership
Total participants, beginning-of-year2009-01-01115
Total number of active participants reported on line 7a of the Form 55002009-01-0136
Number of retired or separated participants receiving benefits2009-01-010
Number of other retired or separated participants entitled to future benefits2009-01-0119
Total of all active and inactive participants2009-01-0155
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2009-01-010
Total participants2009-01-0155
Number of participants with account balances2009-01-0155
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2009-01-013

Financial Data on RBZ, LLP INVESTMENT INCENTIVE PROGRAM

Measure Date Value
2016 : RBZ, LLP INVESTMENT INCENTIVE PROGRAM 2016 401k financial data
Transfers to/from the plan2016-12-31$-48,184
Total income from all sources2016-12-31$591,529
Expenses. Total of all expenses incurred2016-12-31$3,819,607
Benefits paid (including direct rollovers)2016-12-31$3,801,533
Total plan assets at end of year2016-12-31$2,130,123
Total plan assets at beginning of year2016-12-31$5,406,385
Value of fidelity bond covering the plan2016-12-31$500,000
Total contributions received or receivable from participants2016-12-31$90,000
Other income received2016-12-31$387,079
Net income (gross income less expenses)2016-12-31$-3,228,078
Net plan assets at end of year (total assets less liabilities)2016-12-31$2,130,123
Net plan assets at beginning of year (total assets less liabilities)2016-12-31$5,406,385
Assets. Value of participant loans2016-12-31$27
Total contributions received or receivable from employer(s)2016-12-31$114,450
Expenses. Administrative service providers (salaries,fees and commissions)2016-12-31$18,074
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2016-12-31$0
2015 : RBZ, LLP INVESTMENT INCENTIVE PROGRAM 2015 401k financial data
Total income from all sources2015-12-31$607,005
Expenses. Total of all expenses incurred2015-12-31$4,904,014
Benefits paid (including direct rollovers)2015-12-31$4,866,555
Total plan assets at end of year2015-12-31$5,406,385
Total plan assets at beginning of year2015-12-31$9,703,394
Value of fidelity bond covering the plan2015-12-31$500,000
Total contributions received or receivable from participants2015-12-31$442,411
Expenses. Other expenses not covered elsewhere2015-12-31$0
Contributions received from other sources (not participants or employers)2015-12-31$0
Other income received2015-12-31$-170,932
Net income (gross income less expenses)2015-12-31$-4,297,009
Net plan assets at end of year (total assets less liabilities)2015-12-31$5,406,385
Net plan assets at beginning of year (total assets less liabilities)2015-12-31$9,703,394
Assets. Value of participant loans2015-12-31$38,493
Total contributions received or receivable from employer(s)2015-12-31$335,526
Expenses. Administrative service providers (salaries,fees and commissions)2015-12-31$37,459
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2015-12-31$0
2014 : RBZ, LLP INVESTMENT INCENTIVE PROGRAM 2014 401k financial data
Total income from all sources2014-12-31$1,104,769
Expenses. Total of all expenses incurred2014-12-31$1,279,653
Benefits paid (including direct rollovers)2014-12-31$1,234,649
Total plan assets at end of year2014-12-31$9,703,394
Total plan assets at beginning of year2014-12-31$9,878,278
Value of fidelity bond covering the plan2014-12-31$500,000
Total contributions received or receivable from participants2014-12-31$325,337
Expenses. Other expenses not covered elsewhere2014-12-31$-497
Contributions received from other sources (not participants or employers)2014-12-31$64,738
Other income received2014-12-31$492,068
Net income (gross income less expenses)2014-12-31$-174,884
Net plan assets at end of year (total assets less liabilities)2014-12-31$9,703,394
Net plan assets at beginning of year (total assets less liabilities)2014-12-31$9,878,278
Assets. Value of participant loans2014-12-31$140,877
Assets. Value of assets in partnership/joint-venture interests2014-12-31$0
Total contributions received or receivable from employer(s)2014-12-31$222,626
Expenses. Administrative service providers (salaries,fees and commissions)2014-12-31$45,501
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2014-12-31$0
2013 : RBZ, LLP INVESTMENT INCENTIVE PROGRAM 2013 401k financial data
Total income from all sources2013-12-31$1,991,860
Expenses. Total of all expenses incurred2013-12-31$432,786
Benefits paid (including direct rollovers)2013-12-31$396,074
Total plan assets at end of year2013-12-31$9,878,278
Total plan assets at beginning of year2013-12-31$8,319,204
Value of fidelity bond covering the plan2013-12-31$500,000
Total contributions received or receivable from participants2013-12-31$336,984
Contributions received from other sources (not participants or employers)2013-12-31$3,986
Other income received2013-12-31$1,381,597
Noncash contributions received2013-12-31$0
Net income (gross income less expenses)2013-12-31$1,559,074
Net plan assets at end of year (total assets less liabilities)2013-12-31$9,878,278
Net plan assets at beginning of year (total assets less liabilities)2013-12-31$8,319,204
Assets. Value of participant loans2013-12-31$56,158
Assets. Value of assets in partnership/joint-venture interests2013-12-31$49,929
Total contributions received or receivable from employer(s)2013-12-31$269,293
Value of certain deemed distributions of participant loans2013-12-31$0
Value of corrective distributions2013-12-31$0
Expenses. Administrative service providers (salaries,fees and commissions)2013-12-31$36,712
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2013-12-31$0
2012 : RBZ, LLP INVESTMENT INCENTIVE PROGRAM 2012 401k financial data
Transfers to/from the plan2012-12-31$-453
Total income from all sources2012-12-31$1,134,430
Expenses. Total of all expenses incurred2012-12-31$1,018,000
Benefits paid (including direct rollovers)2012-12-31$993,606
Total plan assets at end of year2012-12-31$8,319,204
Total plan assets at beginning of year2012-12-31$8,203,227
Value of fidelity bond covering the plan2012-12-31$500,000
Total contributions received or receivable from participants2012-12-31$159,744
Expenses. Other expenses not covered elsewhere2012-12-31$22
Contributions received from other sources (not participants or employers)2012-12-31$183,349
Other income received2012-12-31$791,337
Net income (gross income less expenses)2012-12-31$116,430
Net plan assets at end of year (total assets less liabilities)2012-12-31$8,319,204
Net plan assets at beginning of year (total assets less liabilities)2012-12-31$8,203,227
Assets. Value of participant loans2012-12-31$47,876
Assets. Value of assets in partnership/joint-venture interests2012-12-31$48,961
Expenses. Administrative service providers (salaries,fees and commissions)2012-12-31$24,372
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2012-12-31$0
2011 : RBZ, LLP INVESTMENT INCENTIVE PROGRAM 2011 401k financial data
Total income from all sources2011-12-31$1,136,949
Expenses. Total of all expenses incurred2011-12-31$6,426,323
Benefits paid (including direct rollovers)2011-12-31$6,409,099
Total plan assets at end of year2011-12-31$8,203,227
Total plan assets at beginning of year2011-12-31$13,492,601
Value of fidelity bond covering the plan2011-12-31$4,000,000
Assets. Value of tangible personal property2011-12-31$650,999
Total contributions received or receivable from participants2011-12-31$97,607
Contributions received from other sources (not participants or employers)2011-12-31$443,609
Other income received2011-12-31$595,733
Net income (gross income less expenses)2011-12-31$-5,289,374
Net plan assets at end of year (total assets less liabilities)2011-12-31$8,203,227
Net plan assets at beginning of year (total assets less liabilities)2011-12-31$13,492,601
Assets. Value of participant loans2011-12-31$47,529
Assets. Value of assets in partnership/joint-venture interests2011-12-31$650,999
Expenses. Administrative service providers (salaries,fees and commissions)2011-12-31$17,224
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2011-12-31$0
2010 : RBZ, LLP INVESTMENT INCENTIVE PROGRAM 2010 401k financial data
Total income from all sources2010-12-31$3,703,890
Expenses. Total of all expenses incurred2010-12-31$170,640
Benefits paid (including direct rollovers)2010-12-31$153,438
Total plan assets at end of year2010-12-31$13,492,601
Total plan assets at beginning of year2010-12-31$9,959,351
Value of fidelity bond covering the plan2010-12-31$4,000,000
Total contributions received or receivable from participants2010-12-31$121,264
Expenses. Other expenses not covered elsewhere2010-12-31$8,815
Contributions received from other sources (not participants or employers)2010-12-31$2,185,151
Other income received2010-12-31$1,397,475
Net income (gross income less expenses)2010-12-31$3,533,250
Net plan assets at end of year (total assets less liabilities)2010-12-31$13,492,601
Net plan assets at beginning of year (total assets less liabilities)2010-12-31$9,959,351
Assets. Value of participant loans2010-12-31$54,212
Assets. Value of assets in partnership/joint-venture interests2010-12-31$4,227,745
Total contributions received or receivable from employer(s)2010-12-31$0
Expenses. Administrative service providers (salaries,fees and commissions)2010-12-31$8,387
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2010-12-31$0
2009 : RBZ, LLP INVESTMENT INCENTIVE PROGRAM 2009 401k financial data
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2009-12-31$0

Form 5500 Responses for RBZ, LLP INVESTMENT INCENTIVE PROGRAM

2016: RBZ, LLP INVESTMENT INCENTIVE PROGRAM 2016 form 5500 responses
2016-01-01Type of plan entitySingle employer plan
2016-01-01Submission has been amendedNo
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 – TrustYes
2016-01-01Plan benefit arrangement - TrustYes
2015: RBZ, LLP INVESTMENT INCENTIVE PROGRAM 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 – TrustYes
2015-01-01Plan benefit arrangement - TrustYes
2014: RBZ, LLP INVESTMENT INCENTIVE PROGRAM 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 – TrustYes
2014-01-01Plan benefit arrangement - TrustYes
2013: RBZ, LLP INVESTMENT INCENTIVE PROGRAM 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: RBZ, LLP INVESTMENT INCENTIVE PROGRAM 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: RBZ, LLP INVESTMENT INCENTIVE PROGRAM 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
2009: RBZ, LLP INVESTMENT INCENTIVE PROGRAM 2009 form 5500 responses
2009-01-01Type of plan entitySingle employer plan
2009-01-01Submission has been amendedNo
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 - TrustYes

Insurance Providers Used on plan

GREAT-WEST LIFE & ANNUITY INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 68322 )
Policy contract number370480-01
Policy instance 1
Insurance contract or identification number370480-01
Number of Individuals Covered11
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?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?Yes
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
PRUDENTIAL RETIREMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 93629 )
Policy contract number039593
Policy instance 1
Insurance contract or identification number039593
Number of Individuals Covered0
Insurance policy start date2014-01-01
Insurance policy end date2014-06-02
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?Yes
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
PRUDENTIAL RETIREMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 93629 )
Policy contract number039593
Policy instance 1
Insurance contract or identification number039593
Number of Individuals Covered55
Insurance policy start date2013-01-01
Insurance policy end date2013-12-31
Total amount of commissions paid to insurance brokerUSD $0
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?Yes
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
JOHN HANCOCK LIFE INSURANCE COMPANY (U.S.A.) (National Association of Insurance Commissioners NAIC id number: 65838 )
Policy contract number8112455
Policy instance 2
Insurance contract or identification number8112455
Number of Individuals Covered1
Insurance policy start date2013-01-01
Insurance policy end date2013-12-31
Total amount of commissions paid to insurance brokerUSD $0
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
PRUDENTIAL RETIREMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 93629 )
Policy contract number039593
Policy instance 1
Insurance contract or identification number039593
Number of Individuals Covered55
Insurance policy start date2012-01-01
Insurance policy end date2012-12-31
Total amount of commissions paid to insurance brokerUSD $0
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?Yes
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
JOHN HANCOCK LIFE INSURANCE COMPANY (U.S.A.) (National Association of Insurance Commissioners NAIC id number: 65838 )
Policy contract number8112455
Policy instance 2
Insurance contract or identification number8112455
Number of Individuals Covered1
Insurance policy start date2012-01-01
Insurance policy end date2012-12-31
Total amount of commissions paid to insurance brokerUSD $0
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
PRUDENTIAL RETIREMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 93629 )
Policy contract number039593
Policy instance 1
Insurance contract or identification number039593
Number of Individuals Covered47
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 $501
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?Yes
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
JOHN HANCOCK LIFE INSURANCE COMPANY (U.S.A.) (National Association of Insurance Commissioners NAIC id number: 65838 )
Policy contract number8112455
Policy instance 2
Insurance contract or identification number8112455
Number of Individuals Covered1
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 $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
PRUDENTIAL RETIREMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 93629 )
Policy contract number039593
Policy instance 1
Insurance contract or identification number039593
Number of Individuals Covered52
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 $797
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?Yes
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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