Civic Intelligence
Filing

Beach, Fleischman & Co. PC. 401K Plan

Beach, Fleischman & Co. PC. • EIN 86-0683059 • Plan year 2012

Company ProfileSource Archive
Filing Insights

Participants

Down

118 → 106

-12 • -10.17%

Assets

Up

$13,424,716 → $15,190,411

$1,765,695 • 13.15%

Investment Management Fee

0.15%

$21,060

Admin expenses $21,060 • Total expenses $1,176,929

Filing Details

Context
Net investment result
$1,765,695
Accountant opinion
Disclaimer of opinion
Pension payor EIN
06-0974148

Status Flags

Fidelity bond in place

Yes

Limited-scope audit performed

Not reported

Contributions transmitted on time

No

Participant loans in default

No

Leases in default

No

Reportable party-in-interest issues

No

Loss discovered during year

No

Assets with undetermined value

No

Non-cash contributions

No

Assets held for investment

Yes

5% transactions reported

No

All plan assets distributed

No

Benefits paid when due

No

Plan blackout period

No

Plan termination resolution adopted

No

Counterparties
Known direct compensation$20,4610.14%
ProviderServicesLocationDirect CompensationRelated
PINNACLE PENSION SERVICESEIN 82-0433443Auditing, Contract administration, Custodial, Service code 37, Service code 64, Service code 65-$11,4770.08%Pinnacle Pension Services Inc.
DENNIS SCHMICH & CO LTDEIN 86-0670260Accounting-$8,9840.06%-
DENNIS SCHMICH & CO LTDEIN 86-0670260Accountant, Disclaimer of opinion---
HARTFORD LIFEEIN 06-0974148Auditing, Contract administration, Custodial, Service code 37, Service code 64, Service code 65--SAIL ENERGY LLC, DBA MURRAY OIL COMPANY
HARTFORD LIFE INS. CO.EIN 06-0974148Contract administration, Service code 62, Service code 63, Service code 64, Service code 65, Service code 66, Service code 99, Trustee, Service code 37, Service code 38, Other services, Service code 54, Service code 56, Service code 59, Service code 60-$00.00%SAIL ENERGY LLC, DBA MURRAY OIL COMPANY

Company Timeline

This filing is highlighted inside the broader sponsor history.

Year / FilingFilingsParticipantsAssetsContributionsContrib./Participant
20243219$62,536,365$4,872,210$22,248iApproximate average salary by contribution assumption: employee only about $556,188 at 4% or $370,792 at 6%; with 50% employer match about $370,792 at 4% or $247,195 at 6%; with 100% employer match about $278,094 at 4% or $185,396 at 6%.
Beach, Fleischman & Co. PC. 401K Plan-219$51,598,280$4,172,210$19,051iApproximate average salary by contribution assumption: employee only about $476,280 at 4% or $317,520 at 6%; with 50% employer match about $317,520 at 4% or $211,680 at 6%; with 100% employer match about $238,140 at 4% or $158,760 at 6%.
Beachfleischman PC Employees' Cash Balance Plan-164$10,938,085$700,000$4,268iApproximate average salary by contribution assumption: employee only about $106,707 at 4% or $71,138 at 6%; with 50% employer match about $71,138 at 4% or $47,425 at 6%; with 100% employer match about $53,354 at 4% or $35,569 at 6%.
Beachfleischman PC Welfare Benefits Wrap Plan-192---
20233203$56,019,500$5,060,907$24,931iApproximate average salary by contribution assumption: employee only about $623,264 at 4% or $415,510 at 6%; with 50% employer match about $415,510 at 4% or $277,006 at 6%; with 100% employer match about $311,632 at 4% or $207,755 at 6%.
Beach, Fleischman & Co. PC. 401K Plan-203$46,282,876$4,306,639$21,215iApproximate average salary by contribution assumption: employee only about $530,374 at 4% or $353,583 at 6%; with 50% employer match about $353,583 at 4% or $235,722 at 6%; with 100% employer match about $265,187 at 4% or $176,791 at 6%.
Beachfleischman PC Employees' Cash Balance Plan-157$9,736,624$754,268$4,804iApproximate average salary by contribution assumption: employee only about $120,106 at 4% or $80,071 at 6%; with 50% employer match about $80,071 at 4% or $53,381 at 6%; with 100% employer match about $60,053 at 4% or $40,035 at 6%.
Beachfleischman PC Welfare Benefits Wrap Plan-180---
20223186$50,307,980$4,904,751$26,370iApproximate average salary by contribution assumption: employee only about $659,241 at 4% or $439,494 at 6%; with 50% employer match about $439,494 at 4% or $292,996 at 6%; with 100% employer match about $329,620 at 4% or $219,747 at 6%.
Beach, Fleischman & Co. PC. 401K Plan-186$41,487,866$4,173,635$22,439iApproximate average salary by contribution assumption: employee only about $560,972 at 4% or $373,982 at 6%; with 50% employer match about $373,982 at 4% or $249,321 at 6%; with 100% employer match about $280,486 at 4% or $186,991 at 6%.
Beachfleischman PC Employees' Cash Balance Plan-144$8,820,114$731,116$5,077iApproximate average salary by contribution assumption: employee only about $126,930 at 4% or $84,620 at 6%; with 50% employer match about $84,620 at 4% or $56,413 at 6%; with 100% employer match about $63,465 at 4% or $42,310 at 6%.
Beachfleischman PC Welfare Benefits Wrap Plan-162---
20213174$57,779,389$4,258,700$24,475iApproximate average salary by contribution assumption: employee only about $611,882 at 4% or $407,921 at 6%; with 50% employer match about $407,921 at 4% or $271,948 at 6%; with 100% employer match about $305,941 at 4% or $203,961 at 6%.
Beach, Fleischman & Co. PC. 401K Plan-174$48,308,280$3,679,179$21,145iApproximate average salary by contribution assumption: employee only about $528,618 at 4% or $352,412 at 6%; with 50% employer match about $352,412 at 4% or $234,941 at 6%; with 100% employer match about $264,309 at 4% or $176,206 at 6%.
Beachfleischman PC Employees' Cash Balance Plan-137$9,471,109$579,521$4,230iApproximate average salary by contribution assumption: employee only about $105,752 at 4% or $70,501 at 6%; with 50% employer match about $70,501 at 4% or $47,001 at 6%; with 100% employer match about $52,876 at 4% or $35,251 at 6%.
Beachfleischman PC Welfare Benefits Wrap Plan-164---
20203187$50,560,568$4,296,781$22,977iApproximate average salary by contribution assumption: employee only about $574,436 at 4% or $382,957 at 6%; with 50% employer match about $382,957 at 4% or $255,305 at 6%; with 100% employer match about $287,218 at 4% or $191,479 at 6%.
Beach, Fleischman & Co. PC. 401K Plan-187$42,246,062$3,602,712$19,266iApproximate average salary by contribution assumption: employee only about $481,646 at 4% or $321,097 at 6%; with 50% employer match about $321,097 at 4% or $214,065 at 6%; with 100% employer match about $240,823 at 4% or $160,549 at 6%.
Beachfleischman PC Employees' Cash Balance Plan-158$8,314,506$694,069$4,393iApproximate average salary by contribution assumption: employee only about $109,821 at 4% or $73,214 at 6%; with 50% employer match about $73,214 at 4% or $48,809 at 6%; with 100% employer match about $54,911 at 4% or $36,607 at 6%.
Beachfleischman PC Welfare Benefits Wrap Plan-166---
20193191$44,143,877$4,033,087$21,116iApproximate average salary by contribution assumption: employee only about $527,891 at 4% or $351,927 at 6%; with 50% employer match about $351,927 at 4% or $234,618 at 6%; with 100% employer match about $263,945 at 4% or $175,964 at 6%.
Beach, Fleischman & Co. PC. 401K Plan-191$36,694,881$3,339,982$17,487iApproximate average salary by contribution assumption: employee only about $437,170 at 4% or $291,447 at 6%; with 50% employer match about $291,447 at 4% or $194,298 at 6%; with 100% employer match about $218,585 at 4% or $145,723 at 6%.
Beachfleischman PC Employees' Cash Balance Plan-151$7,448,996$693,105$4,590iApproximate average salary by contribution assumption: employee only about $114,752 at 4% or $76,502 at 6%; with 50% employer match about $76,502 at 4% or $51,001 at 6%; with 100% employer match about $57,376 at 4% or $38,251 at 6%.
Beachfleischman PC Welfare Benefits Wrap Plan-177---
20183160$38,069,559$3,566,498$22,291iApproximate average salary by contribution assumption: employee only about $557,265 at 4% or $371,510 at 6%; with 50% employer match about $371,510 at 4% or $247,673 at 6%; with 100% employer match about $278,633 at 4% or $185,755 at 6%.
Beach, Fleischman & Co. PC. 401K Plan-160$31,900,828$2,921,738$18,261iApproximate average salary by contribution assumption: employee only about $456,522 at 4% or $304,348 at 6%; with 50% employer match about $304,348 at 4% or $202,898 at 6%; with 100% employer match about $228,261 at 4% or $152,174 at 6%.
Beachfleischman PC Employees' Cash Balance Plan-133$6,168,731$644,760$4,848iApproximate average salary by contribution assumption: employee only about $121,195 at 4% or $80,797 at 6%; with 50% employer match about $80,797 at 4% or $53,865 at 6%; with 100% employer match about $60,598 at 4% or $40,398 at 6%.
Beachfleischman PC Welfare Benefits Wrap Plan-151---
20173163$37,926,635$3,369,232$20,670iApproximate average salary by contribution assumption: employee only about $516,753 at 4% or $344,502 at 6%; with 50% employer match about $344,502 at 4% or $229,668 at 6%; with 100% employer match about $258,377 at 4% or $172,251 at 6%.
Beach, Fleischman & Co. PC. 401K Plan-163$31,674,415$2,793,334$17,137iApproximate average salary by contribution assumption: employee only about $428,425 at 4% or $285,617 at 6%; with 50% employer match about $285,617 at 4% or $190,411 at 6%; with 100% employer match about $214,213 at 4% or $142,808 at 6%.
Beachfleischman PC Employees' Cash Balance Plan-127$6,252,220$575,898$4,535iApproximate average salary by contribution assumption: employee only about $113,366 at 4% or $75,577 at 6%; with 50% employer match about $75,577 at 4% or $50,385 at 6%; with 100% employer match about $56,683 at 4% or $37,789 at 6%.
Beachfleischman PC Welfare Benefits Wrap Plan-137---
20163165$31,617,545$3,195,942$19,369iApproximate average salary by contribution assumption: employee only about $484,234 at 4% or $322,822 at 6%; with 50% employer match about $322,822 at 4% or $215,215 at 6%; with 100% employer match about $242,117 at 4% or $161,411 at 6%.
Beach, Fleischman & Co. PC. 401K Plan-149$26,348,395$2,640,757$17,723iApproximate average salary by contribution assumption: employee only about $443,080 at 4% or $295,387 at 6%; with 50% employer match about $295,387 at 4% or $196,924 at 6%; with 100% employer match about $221,540 at 4% or $147,693 at 6%.
Beachfleischman PC Employees' Cash Balance Plan-129$5,269,150$555,185$4,304iApproximate average salary by contribution assumption: employee only about $107,594 at 4% or $71,729 at 6%; with 50% employer match about $71,729 at 4% or $47,820 at 6%; with 100% employer match about $53,797 at 4% or $35,865 at 6%.
Beachfleischman PC Welfare Benefits Wrap Plan-165---
20153141$27,554,148$3,012,546$21,366iApproximate average salary by contribution assumption: employee only about $534,139 at 4% or $356,093 at 6%; with 50% employer match about $356,093 at 4% or $237,395 at 6%; with 100% employer match about $267,070 at 4% or $178,046 at 6%.
Beach, Fleischman & Co. PC. 401K Plan-141$23,004,959$2,485,230$17,626iApproximate average salary by contribution assumption: employee only about $440,644 at 4% or $293,762 at 6%; with 50% employer match about $293,762 at 4% or $195,842 at 6%; with 100% employer match about $220,322 at 4% or $146,881 at 6%.
Beachfleischman PC Employees' Cash Balance Plan-127$4,549,189$527,316$4,152iApproximate average salary by contribution assumption: employee only about $103,802 at 4% or $69,202 at 6%; with 50% employer match about $69,202 at 4% or $46,134 at 6%; with 100% employer match about $51,901 at 4% or $34,601 at 6%.
Beachfleischman PC Welfare Benefits Wrap Plan-132---
20143137$26,143,687$2,934,888$21,423iApproximate average salary by contribution assumption: employee only about $535,564 at 4% or $357,042 at 6%; with 50% employer match about $357,042 at 4% or $238,028 at 6%; with 100% employer match about $267,782 at 4% or $178,521 at 6%.
Beach, Fleischman & Co. PC. 401K Plan-137$22,096,436$2,429,602$17,734iApproximate average salary by contribution assumption: employee only about $443,358 at 4% or $295,572 at 6%; with 50% employer match about $295,572 at 4% or $197,048 at 6%; with 100% employer match about $221,679 at 4% or $147,786 at 6%.
Beachfleischman PC Employees' Cash Balance Plan-100$4,047,251$505,286$5,053iApproximate average salary by contribution assumption: employee only about $126,321 at 4% or $84,214 at 6%; with 50% employer match about $84,214 at 4% or $56,143 at 6%; with 100% employer match about $63,161 at 4% or $42,107 at 6%.
Beachfleischman PC Welfare Benefits Wrap Plan-131---
20133133$22,250,486$2,936,697$22,080iApproximate average salary by contribution assumption: employee only about $552,011 at 4% or $368,007 at 6%; with 50% employer match about $368,007 at 4% or $245,338 at 6%; with 100% employer match about $276,005 at 4% or $184,004 at 6%.
Beach, Fleischman & Co. PC. 401K Plan-133$18,790,950$2,362,295$17,762iApproximate average salary by contribution assumption: employee only about $444,040 at 4% or $296,027 at 6%; with 50% employer match about $296,027 at 4% or $197,351 at 6%; with 100% employer match about $222,020 at 4% or $148,013 at 6%.
Beachfleischman PC Employees' Cash Balance Plan-113$3,459,536$574,402$5,083iApproximate average salary by contribution assumption: employee only about $127,080 at 4% or $84,720 at 6%; with 50% employer match about $84,720 at 4% or $56,480 at 6%; with 100% employer match about $63,540 at 4% or $42,360 at 6%.
Beachfleischman PC Welfare Benefits Wrap Plan-126---
20123107$17,781,452$2,080,479$19,444iApproximate average salary by contribution assumption: employee only about $486,093 at 4% or $324,062 at 6%; with 50% employer match about $324,062 at 4% or $216,041 at 6%; with 100% employer match about $243,047 at 4% or $162,031 at 6%.
Beach, Fleischman & Co. PC. 401K PlanCurrent106$15,190,411$1,841,288$17,371iApproximate average salary by contribution assumption: employee only about $434,266 at 4% or $289,511 at 6%; with 50% employer match about $289,511 at 4% or $193,007 at 6%; with 100% employer match about $217,133 at 4% or $144,755 at 6%.
Beachfleischman PC Employees' Cash Balance Plan-107$2,591,041$239,191$2,235iApproximate average salary by contribution assumption: employee only about $55,886 at 4% or $37,257 at 6%; with 50% employer match about $37,257 at 4% or $24,838 at 6%; with 100% employer match about $27,943 at 4% or $18,629 at 6%.
Beachfleischman PC Welfare Benefits Wrap Plan-102---
2011398$15,631,370$1,579,511$16,117iApproximate average salary by contribution assumption: employee only about $402,936 at 4% or $268,624 at 6%; with 50% employer match about $268,624 at 4% or $179,083 at 6%; with 100% employer match about $201,468 at 4% or $134,312 at 6%.
Beach, Fleischman & Co. PC. 401K Plan-95$13,424,716$1,451,512$15,279iApproximate average salary by contribution assumption: employee only about $381,977 at 4% or $254,651 at 6%; with 50% employer match about $254,651 at 4% or $169,767 at 6%; with 100% employer match about $190,988 at 4% or $127,326 at 6%.
Beachfleischman PC Employees' Cash Balance Plan-98$2,206,654$127,999$1,306iApproximate average salary by contribution assumption: employee only about $32,653 at 4% or $21,769 at 6%; with 50% employer match about $21,769 at 4% or $14,512 at 6%; with 100% employer match about $16,326 at 4% or $10,884 at 6%.
Beachfleischman PC Welfare Benefits Wrap Plan-92---
20103109$15,847,238$1,586,923$14,559iApproximate average salary by contribution assumption: employee only about $363,973 at 4% or $242,649 at 6%; with 50% employer match about $242,649 at 4% or $161,766 at 6%; with 100% employer match about $181,987 at 4% or $121,324 at 6%.
Beach, Fleischman & Co. PC. 401K Plan-109$13,732,409$1,439,488$13,206iApproximate average salary by contribution assumption: employee only about $330,158 at 4% or $220,105 at 6%; with 50% employer match about $220,105 at 4% or $146,737 at 6%; with 100% employer match about $165,079 at 4% or $110,053 at 6%.
Beachfleischman PC Employees' Cash Balance Plan-106$2,114,829$147,435$1,391iApproximate average salary by contribution assumption: employee only about $34,772 at 4% or $23,182 at 6%; with 50% employer match about $23,182 at 4% or $15,454 at 6%; with 100% employer match about $17,386 at 4% or $11,591 at 6%.
Beachfleischman PC Welfare Benefits Wrap Plan-97---
20094123$13,708,665$1,711,022$13,911iApproximate average salary by contribution assumption: employee only about $347,769 at 4% or $231,846 at 6%; with 50% employer match about $231,846 at 4% or $154,564 at 6%; with 100% employer match about $173,884 at 4% or $115,923 at 6%.
Beach, Fleischman & Co. PC. 401K Plan-123$11,888,722$1,357,044$11,033iApproximate average salary by contribution assumption: employee only about $275,822 at 4% or $183,881 at 6%; with 50% employer match about $183,881 at 4% or $122,588 at 6%; with 100% employer match about $137,911 at 4% or $91,941 at 6%.
Beachfleischman PC Employees' Cash Balance Plan-116$1,819,943$353,978$3,052iApproximate average salary by contribution assumption: employee only about $76,288 at 4% or $50,859 at 6%; with 50% employer match about $50,859 at 4% or $33,906 at 6%; with 100% employer match about $38,144 at 4% or $25,429 at 6%.
Beachfleischman PC Bcbs-99---
Beachfleischman PC Welfare Benefits Wrap Plan-101---
20084121$8,274,201$1,534,022$12,678iApproximate average salary by contribution assumption: employee only about $316,947 at 4% or $211,298 at 6%; with 50% employer match about $211,298 at 4% or $140,865 at 6%; with 100% employer match about $158,473 at 4% or $105,649 at 6%.
Beach, Fleischman & Co. PC. 401K Plan-121$8,274,201$1,534,022$12,678iApproximate average salary by contribution assumption: employee only about $316,947 at 4% or $211,298 at 6%; with 50% employer match about $211,298 at 4% or $140,865 at 6%; with 100% employer match about $158,473 at 4% or $105,649 at 6%.
Beachfleischman PC Employees' Cash Balance Plan-89---
BEACHFLEISCHMAN PC HARTFORD-103---
BEACHFLEISCHMAN PC LINCOLN-104---
20072106$11,165,437$1,455,477$13,731iApproximate average salary by contribution assumption: employee only about $343,273 at 4% or $228,849 at 6%; with 50% employer match about $228,849 at 4% or $152,566 at 6%; with 100% employer match about $171,636 at 4% or $114,424 at 6%.
Beach, Fleischman & Co. PC. 401K Plan-106$11,165,437$1,455,477$13,731iApproximate average salary by contribution assumption: employee only about $343,273 at 4% or $228,849 at 6%; with 50% employer match about $228,849 at 4% or $152,566 at 6%; with 100% employer match about $171,636 at 4% or $114,424 at 6%.
Beachfleischman PC Employees' Cash Balance Plan-84---
2006297$10,725,389$1,773,759$18,286iApproximate average salary by contribution assumption: employee only about $457,154 at 4% or $304,770 at 6%; with 50% employer match about $304,770 at 4% or $203,180 at 6%; with 100% employer match about $228,577 at 4% or $152,385 at 6%.
Beach, Fleischman & Co. PC. 401K Plan-97$9,748,673$1,505,653$15,522iApproximate average salary by contribution assumption: employee only about $388,055 at 4% or $258,703 at 6%; with 50% employer match about $258,703 at 4% or $172,469 at 6%; with 100% employer match about $194,027 at 4% or $129,352 at 6%.
Beachfleischman PC Employees' Cash Balance Plan-75$976,716$268,106$3,575iApproximate average salary by contribution assumption: employee only about $89,369 at 4% or $59,579 at 6%; with 50% employer match about $59,579 at 4% or $39,719 at 6%; with 100% employer match about $44,684 at 4% or $29,790 at 6%.
2005294$8,210,714$1,505,314$16,014iApproximate average salary by contribution assumption: employee only about $400,349 at 4% or $266,900 at 6%; with 50% employer match about $266,900 at 4% or $177,933 at 6%; with 100% employer match about $200,175 at 4% or $133,450 at 6%.
Beach, Fleischman & Co. PC. 401K Plan-94$7,541,199$1,277,398$13,589iApproximate average salary by contribution assumption: employee only about $339,734 at 4% or $226,489 at 6%; with 50% employer match about $226,489 at 4% or $150,993 at 6%; with 100% employer match about $169,867 at 4% or $113,245 at 6%.
Beachfleischman PC Employees' Cash Balance Plan-71$669,515$227,916$3,210iApproximate average salary by contribution assumption: employee only about $80,252 at 4% or $53,501 at 6%; with 50% employer match about $53,501 at 4% or $35,668 at 6%; with 100% employer match about $40,126 at 4% or $26,751 at 6%.
2004285$6,487,628$1,295,407$15,240iApproximate average salary by contribution assumption: employee only about $381,002 at 4% or $254,001 at 6%; with 50% employer match about $254,001 at 4% or $169,334 at 6%; with 100% employer match about $190,501 at 4% or $127,001 at 6%.
Beach, Fleischman & Co. PC. 401K Plan-85$6,053,441$1,118,654$13,161iApproximate average salary by contribution assumption: employee only about $329,016 at 4% or $219,344 at 6%; with 50% employer match about $219,344 at 4% or $146,229 at 6%; with 100% employer match about $164,508 at 4% or $109,672 at 6%.
Beachfleischman PC Employees' Cash Balance Plan-67$434,187$176,753$2,638iApproximate average salary by contribution assumption: employee only about $65,953 at 4% or $43,968 at 6%; with 50% employer match about $43,968 at 4% or $29,312 at 6%; with 100% employer match about $32,976 at 4% or $21,984 at 6%.
2003280$4,746,080$1,037,519$12,969iApproximate average salary by contribution assumption: employee only about $324,225 at 4% or $216,150 at 6%; with 50% employer match about $216,150 at 4% or $144,100 at 6%; with 100% employer match about $162,112 at 4% or $108,075 at 6%.
Beach, Fleischman & Co. PC. 401K Plan-80$4,501,250$904,071$11,301iApproximate average salary by contribution assumption: employee only about $282,522 at 4% or $188,348 at 6%; with 50% employer match about $188,348 at 4% or $125,565 at 6%; with 100% employer match about $141,261 at 4% or $94,174 at 6%.
Beachfleischman PC Employees' Cash Balance Plan-66$244,830$133,448$2,022iApproximate average salary by contribution assumption: employee only about $50,548 at 4% or $33,699 at 6%; with 50% employer match about $33,699 at 4% or $22,466 at 6%; with 100% employer match about $25,274 at 4% or $16,849 at 6%.
2002360$0$0-
Beach, Fleischman & Co. PC. 401K Plan-60---
BEACH, FLEISCHMAN & CO,, P.C. OFFICERS PENSION PLAN-0---
Beachfleischman PC Employees' Cash Balance Plan-45---
2001253$0$0-
BEACH, FLEISCHMAN & CO,, P.C. OFFICERS PENSION PLAN-11---
Beach, Fleischman & Co. PC. 401K Plan-53---
2000149$0$0-
Beach, Fleischman & Co. PC. 401K Plan-49---
1999143$2,208,023$325,917$7,579iApproximate average salary by contribution assumption: employee only about $189,487 at 4% or $126,324 at 6%; with 50% employer match about $126,324 at 4% or $84,216 at 6%; with 100% employer match about $94,743 at 4% or $63,162 at 6%.
Beach, Fleischman & Co. PC. 401K Plan-43$2,208,023$325,917$7,579iApproximate average salary by contribution assumption: employee only about $189,487 at 4% or $126,324 at 6%; with 50% employer match about $126,324 at 4% or $84,216 at 6%; with 100% employer match about $94,743 at 4% or $63,162 at 6%.
Schedule Details

Schedule A

Row 1
Form Id
1
Ins Broker Name
MERRILL LYNCH LIFE AGENCY
Ins Broker US Address1
1215 4TH AVENUE 26TH FL
Ins Broker US City
SEATTLE
Ins Broker US State
WA
Ins Broker US ZIP
98161
Ins Broker Comm Pd Amount
$59,335
Ins Broker Code
3
Row 2
Form Id
1
Ins Broker Name
MERRILL LYNCH LIFE AGENCY
Ins Broker US Address1
4800 DEER LAKE DRIVE EAST
Ins Broker US City
JACKSONVILLE
Ins Broker US State
FL
Ins Broker US ZIP
32246
Ins Broker Fees Pd Amount
$3,573
Ins Broker Fees Pd Text
SALES/MARKETING
Ins Broker Code
3
Row 3
Ins Carrier Name: HARTFORD LIFE INSURANCE COMPANY
Form Id
1
Schedule A Plan Year Begin Date
2012-01-01
Schedule A Plan Year End Date
2012-12-31
Schedule A Plan Num
001
Schedule A EIN
86-0683059
Ins Carrier Name
HARTFORD LIFE INSURANCE COMPANY
Ins Carrier EIN
06-0974148
Ins Carrier Naic Code
88072
Ins Contract Num
828308
Ins Prsn Covered End of year Count
113
Ins Policy From Date
2012-01-01
Ins Policy To Date
2012-12-31
Ins Broker Comm Total Amount
$59,335
Ins Broker Fees Total Amount
$3,573
Pension End of year Gen Account Amount
$1,417,343
Pension End of year Sep Account Amount
$12,411,527
Alloc Contracts Indiv Indicator
No
Alloc Contracts Group Indicator
Yes
Alloc Contracts Other Indicator
No
Pens Distr Bnft Terminate Pln Indicator
No
Unalloc Contracts Dep Adm Indicator
No
Unal Contrac Imm Part Guar Indicator
No
Unal Contracts Guar Invest Indicator
No
Unalloc Contracts Other Indicator
Yes
Unalloc Contracts Other Text
GUARANTEED INTEREST
Pension End Prev Bal Amount
$0
Pension Contribution Dep Amount
$84,199
Pension Interest Cr Dur Yr Amount
$49,692
Pension Transfer From Amount
$54,507
Pension Other Amount
$12,406,704
Pension Other Text
TFR FROM PRIOR CUSTODIAN, LN PMTS, ROLLOVERS
Pension Total Additions Amount
$12,595,102
Pension Total Bal Addn Amount
$12,595,102
Pension Bnfts Dsbrsd Amount
$635,031
Pension Admin Chrg Amount
$17,592
Pension Transfer To Amount
$10,457,768
Pension Oth Ded Amount
$67,369
Pension Oth Ded Text
NEW LOANS
Pension Total Ded Amount
$11,177,760
Pension End of year Bal Amount
$1,417,342
Wlfr Bnft Health Indicator
No
Wlfr Bnft Dental Indicator
No
Wlfr Bnft Vision Indicator
No
Wlfr Bnft Life Insur Indicator
No
Wlfr Bnft Temp Disab Indicator
No
Wlfr Bnft Long Terminate Disab Indicator
No
Wlfr Bnft Unemp Indicator
No
Wlfr Bnft Drug Indicator
No
Wlfr Bnft Stop Loss Indicator
No
Wlfr Bnft Hmo Indicator
No
Wlfr Bnft Ppo Indicator
No
Wlfr Bnft Indemnity Indicator
No
Wlfr Bnft Other Indicator
No
Wlfr Total Earned Prem Amount
$0
Wlfr Incurred Claim Amount
$0
Wlfr Ret Total Amount
$0
Wlfr Refund Cash Indicator
No
Wlfr Refund Credit Indicator
No
Ins Fail Provide Info Indicator
No

Schedule C

Schedule C Provider

PINNACLE PENSION SERVICES

NONE • EIN 82-0433443

Direct compensation$11,477
AuditingContract administrationCustodialService code 37Service code 64Service code 65
Indirect compensationNo
Source fields
Row 1
Service code: Auditing
Service code
Auditing
Row 2
Service code: Contract administration
Service code
Contract administration
Row 3
Service code: Custodial
Service code
Custodial
Row 4
Service code: Service code 37
Service code
Service code 37
Row 5
Service code: Service code 64
Service code
Service code 64
Row 6
Service code: Service code 65
Service code
Service code 65
PINNACLE PENSION SERVICES
Other provider name
PINNACLE PENSION SERVICES
Other provider EIN
82-0433443
Relationship to employer or plan
NONE
Direct compensation
$11,477
Indirect compensation reported
No
HARTFORD LIFE
Eligible provider name
HARTFORD LIFE
Eligible provider EIN
06-0974148

Schedule C Provider

DENNIS SCHMICH & CO LTD

NONE • EIN 86-0670260

Direct compensation$8,984
Accounting
Indirect compensationNo
Source fields
Row 9
Service code: Accounting
Service code
Accounting
DENNIS SCHMICH & CO LTD
Other provider name
DENNIS SCHMICH & CO LTD
Other provider EIN
86-0670260
Relationship to employer or plan
NONE
Direct compensation
$8,984
Indirect compensation reported
No

Schedule C Provider

HARTFORD LIFE INS. CO.

NONE • EIN 06-0974148

Direct compensation$0
Contract administrationService code 62Service code 63Service code 64Service code 65Service code 66Service code 99TrusteeService code 37Service code 38Other servicesService code 54Service code 56Service code 59Service code 60
Indirect compensationYes
Formula-based compensationYes
Source fields
Row 11
Service code: Contract administration
Service code
Contract administration
Row 12
Service code: Service code 62
Service code
Service code 62
Row 13
Service code: Service code 63
Service code
Service code 63
Row 14
Service code: Service code 64
Service code
Service code 64
Row 15
Service code: Service code 65
Service code
Service code 65
Row 16
Service code: Service code 66
Service code
Service code 66
Row 17
Service code: Service code 99
Service code
Service code 99
Row 18
Service code: Trustee
Service code
Trustee
Row 19
Service code: Service code 37
Service code
Service code 37
Row 20
Service code: Service code 38
Service code
Service code 38
Row 21
Service code: Other services
Service code
Other services
Row 22
Service code: Service code 54
Service code
Service code 54
Row 23
Service code: Service code 56
Service code
Service code 56
Row 24
Service code: Service code 59
Service code
Service code 59
Row 25
Service code: Service code 60
Service code
Service code 60
HARTFORD LIFE INS. CO.
Other provider name
HARTFORD LIFE INS. CO.
Other provider EIN
06-0974148
Relationship to employer or plan
NONE
Direct compensation
$0
Indirect compensation reported
Yes
Provider Other Elig Indicator Comp Indicator
Yes
Provider Other Total Indicator Comp Amount
$0
Provider Other Amount Formula Indicator
Yes

Schedule C Provider

Provider 4

Provider details

Source fields
Row 27
Excluded provider reported
Yes

Schedule D

Row 1
DFE P1 Entity Name
SEPARATE ACCOUNT 401
DFE P1 Spons Name
HARTFORD LIFE INSURANCE COMPANY
DFE P1 Plan EIN
06-0974148
DFE P1 Plan Plan number
000
DFE P1 Entity Code
P
DFE P1 Plan Interest End of year Amount
$12,411,527
Row 2
Schedule D Plan Year Begin Date
2012-01-01
Schedule D Tax Period
2012-12-31
Schedule D Plan number
001
Schedule D EIN
86-0683059

Schedule H

Schedule H Financial Statement

Large plan result

Assets, contributions, fees, audit, and compliance fields reported for this large-plan filing.

End-of-year assets$15,190,411$1,765,695 change

Balance Sheet

Beginning and end of plan year.

Total assets$13,424,716$15,190,411Increase +$1,765,695 (13.15%)
Total liabilities$0$0No change $0
Net assets$13,424,716$15,190,411Increase +$1,765,695 (13.15%)

Contributions

Employer contributions$942,345
Participant contributions$769,136
Other contributions$129,807
Total contributions$1,841,288

Income & Investment Result

Total income$2,942,624
Interest$18,548
Dividends$0
Net income$1,765,695

Expenses & Fees

Benefits paid$1,155,869
Administrative expenses$21,060
Total expenses$1,176,929

Accountant

FirmDENNIS SCHMICH & CO LTD
Firm EIN86-0670260
OpinionDisclaimer of opinion

Compliance

Fidelity bondYes
Fidelity bond amount$500,000
Participant loans$419,196
Late contributionsNo
Schedule H source fields
Financial summary
Total assets at beginning of year: $13,424,716Total assets at end of year: $15,190,411Total liabilities at end of year: $0Net income or loss: $1,765,695
Schedule H Plan Year Begin Date
2012-01-01
Schedule H Tax Period
2012-12-31
Schedule H Plan number
001
Schedule H EIN
86-0683059
Non Interest Bear Cash Beginning of year Amount
$12,381,375
Employer Contribution Beginning of year Amount
$757,001
Participants Contribution Beginning of year Amount
$27,952
Participant loans at beginning of year
$258,388
Interest Pool Sep Account Beginning of year Amount
$0
Ins Co Gen Account Beginning of year Amount
$0
Total assets at beginning of year
$13,424,716
Total liabilities at beginning of year
$0
Net assets at beginning of year
$13,424,716
Non Interest Bear Cash End of year Amount
$0
Employer Contribution End of year Amount
$942,345
Participants Contribution End of year Amount
$0
Participant loans at end of year
$419,196
Interest Pool Sep Account End of year Amount
$12,411,527
Ins Co Gen Account End of year Amount
$1,417,343
Total assets at end of year
$15,190,411
Total liabilities at end of year
$0
Net assets at end of year
$15,190,411
Employer contributions
$942,345
Participant contributions
$769,136
Oth Contribution Rcvd Amount
$129,807
Total contributions
$1,841,288
Interest on participant loans
$18,548
Total interest income
$18,548
Total dividend income
$0
Net gain or loss on sale of assets
$0
Net unrealized appreciation or depreciation
$0
Gain Loss Pool Sep Amount
$1,033,096
Other Income Amount
$49,692
Total income
$2,942,624
Participant distributions
$1,155,869
Total benefit distributions
$1,155,869
Contract Admin Fees Amount
$21,060
Total administrative expenses
$21,060
Total expenses
$1,176,929
Net income or loss
$1,765,695
Accountant opinion type
Disclaimer of opinion
Account Performed Limited Audit Indicator
Yes
Accountant firm name
DENNIS SCHMICH & CO LTD
Accountant firm EIN
86-0670260
Failed to transmit participant contributions on time
No
Participant loans in default
No
Leases in default
No
Nonexempt transactions with parties in interest
No
Fidelity bond in place
Yes
Fidelity bond amount
$500,000
Loss discovered during year
No
Assets with undetermined value
No
Non-cash contributions reported
No
Assets held for investment
Yes
Reportable 5% transactions
No
All plan assets distributed
No
Failed to provide benefits when due
No
Blackout period occurred
No
Resolution to terminate plan adopted
No

Schedule R

Schedule R Pension Information

Retirement plan characteristics

Testing, payor, opinion-letter, and transfer information reported with the filing.

Pension & Payor

Payor EIN06-0974148

Transfers

Asset/liability transferNo
Liabilities in multiple plansNo
Distributed property value$0
Schedule R source fields
Payor 06-0974148
Schedule R Plan Year Begin Date
2012-01-01
Schedule R Tax Period
2012-12-31
Schedule R Plan number
001
Schedule R EIN
86-0683059
Pension Value Dstrb Pd Property Amount
$0
Pension payor EIN
06-0974148
Asset or liability transfer
No
Liability shared by multiple plans
No

Filing received by DOL Oct 01, 2013