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FORM 5500 DATA

Diakonia Group, LLC 401k Profit Sharing Plan

Overview

Plan Information

  • Plan Year01/01/2015 — 12/31/2015
  • Date of Plan01/01/2006
  • Net Assets as of 12/31/2015 $3,498,519
  • Plan Number2
  • Plan Type Single Employer
  • Is the plan collectively bargained? No
  • Did the plan file for an extension of time or the DFVC Program?Yes
  • Plan Funding ArrangementInsurance Trust
  • Plan Benefit ArrangementInsurance Trust

Participant Information as of 12/31/2015

  • Active (Eligible) Participants168
  • Retired or separated participants receiving benefits0
  • Other retired or separated participants entitled to future benefits15
  • Subtotal183
  • Deceased participants whose beneficiaries are receiving or are entitled to receive benefits0
  • Total183
  • Total number of participants as of 01/01/2015171
  • Number of participants with account balances87
  • Number of participants that terminated employment during the plan year with accrued benefits that were less than 100% vested7

Expenses

  • Total Benefit Payments$0
  • Corrective Distributions$0
  • Administrative Service Providers$0
  • Other Expenses$0
  • Total Expenses$0
  • Total Transfers$0

Sponsor Information

  • Address830 Crescent Centre Dr. Suite 550
  • CityFranklin
  • StateTN
  • Zip37067
  • Telephone(615) 377-9774
  • EIN46-0705501
  • Industry Code333310
  • Named AdministratorMichael Berry
  • Named Plan SponsorMichael Berry

Audit Information

  • Audit StatusAudited
  • AuditorBkd, LLP
  • Auditor EIN44-0160260
  • Audit Opinion Disclaimer
  • Audit TypeLimited Scope Audit

Benefits Provided Under the Plan

Code Benefit Description
2E Profit-sharing A defined contribution plan that allows employer discretionary contributions. These plans often contain a 401(k) feature.
2F ERISA section 404(c) Plan This plan, or any part of it is intended to meet the conditions of 29 CFR 2550.404c-1.
2G 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.
2J 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.
2K Code section 401(m) arrangement Employee contributions are allocated to separate accounts under the plan or employer contributions are based, in whole or in part, on employee deferrals or contributions to the plan. Not applicable if plan is 401(k) plan with only QNECs and/or QMACs. Also not applicable if Code section 403(b)(1), 403(b)(7) or 408 arrangements/accounts/annuities.
3H Controlled Group Plan sponsor(s) is (are) a member(s) of a controlled group (Code sections 414(b), (c), or (m)).

Questions and Answers

Question Answer Amount
During the plan year did the employer fail to transmit to the plan any participant contributions within the time period described in 29 CFT 2510.3-102? Yes $73,258
Were any loans by the plan or fixed income obligations due the plan in default as of the close of plan year or classified during the year as uncollectible? Disregard participant loans secured by participant's account balance. No
Were any leases to which the plan was a party in default or classified during the year as uncollectible? No
Were there any nonexempt transactions with any party-in-interest? No
Was this plan covered by a fidelity bond? Yes $300,000
Did the plan have a loss, whether or not reimbursed by the plan's fidelity bond, that was caused by fraud or dishonesty? No
Did the plan hold any assets whose current value was neither readily determinable on an established market nor set by an independent third party appraiser? No
Did the plan receive any noncash contributions whose value was neither readily determinable on an established market nor set by an independent third party appraiser? No
Did the plan have assets held for investment? Yes
Were any plan transactions or series of transactions in excess of 5% of the current value of plan assets? No
Were all the plan assets either distributed to participants or beneficiaries, transferred to another plan, or brought under the control of the PBGC? No
Has the plan failed to provide any benefit when due under the plan? No
If this is an individual account plan, was there a blackout period? No
If there was a blackout period, have you either provided the required notice or one of the exceptions to providing the notice applied under 29 CFR 2520.101-3? No

Financials

Income and Expense Statement

Income $516,742
Contributions $557,907
Cash Contributions $557,907
Cash from Employers $99,521
Cash from Participants $317,382
Others (including rollovers) $141,004
Noncash Contributions $0
Total Earnings on Investments $-43,149
Total Interest $10,468
Interest-Bearing Cash $0
U.S. Government Securities $0
Corporate Debt Instruments $0
Loans (other than to participants) $0
Participant Loans $4,595
Interest from Other Investments $5,873
Total Dividends $0
Preferred Stock $0
Common Stock $0
Rents $0
Net gain (loss) on sale of assets $0
Aggregate Proceeds $0
Aggregate Carrying Amount $0
Total Unrealized Appreciation (depreciation) of assets $0
Real Estate $0
Other $0
Net investment gain (loss) from common/collective trusts $0
Net investment gain (loss) from pooled separate accounts $-53,617
Net investment gain (loss) from master trust investment accounts $0
Net investment gain (loss) from 103-12 investment entities $0
Net investment gain (loss) from registered investment companies $0
Other Income $1,984
Expenses $147,387
Total Benefit Payments $120,830
Directly to participants or beneficiaries, including direct rollovers $120,830
To insurance carriers for the provision of benefits $0
Other Benefit Payment Fees $0
Corrective Distributions $0
Certain deemed distributions of participant loans $8,437
Interest expense $0
Total Administrative Expenses $18,120
Professional Fees $0
Contract Administrator Fees $18,120
Investment Advisory and management fees $0
Other Administrative Fees $0
Net Income $369,355
Transfers of Assets to this Plan $0
Transfers of Assets from this Plan $0

Asset and Liability Statement

12/31/2015 12/31/2014 Change YOY
Total Assets $3,498,519 $3,129,164 11.80%
Total noninterest-bearing cash $0 $0 0.0%
Receivables $2,135 $6,854 -68.85%
Employer Contributions $2,135 $846 152.36%
Participant Contributions $0 $6,008 0.0%
Other Contributions $0 $0 0.0%
General Investments $4,189 $2,712 54.46%
Interest-bearing cash $4,189 $2,712 54.46%
U.S. Government Securities $0 $0 0.0%
Corporate Debt Instruments $0 $0 0.0%
Preferred $0 $0 0.0%
All Other $0 $0 0.0%
Corporate Stocks $0 $0 0.0%
Preferred $0 $0 0.0%
Common $0 $0 0.0%
Partnership/joint venture interests $0 $0 0.0%
Real estate (other than employer real property) $0 $0 0.0%
Loans (other than to participants) $0 $0 0.0%
Participants Loans $100,221 $97,986 2.28%
Value of interest in common/collective trusts $324,575 $310,258 4.61%
Value of interest in pooled separate accounts $3,067,399 $2,711,354 13.13%
Value of interest in master trust investment accounts $0 $0 0.0%
Value of interest in 103-12 investment entities $0 $0 0.0%
Value of interest in registered investment companies $0 $0 0.0%
Value of funds held in insurance co. general account $0 $0 0.0%
Other Investments $0 $0 0.0%
Employer-related Investments $0 $0 0.0%
Employer Securities $0 $0 0.0%
Employer Real Property $0 $0 0.0%
Buildings and other property used in plan operation $0 $0 0.0%
Total Liabilities $0 $0 0.0%
Benefit Claims Payable (1) $0 $0 0.0%
Operating Payables (1) $0 $0 0.0%
Acquisition Indebtedness (1) $0 $0 0.0%
Other liabilities (1) $0 $0 0.0%
Net Assets $3,498,519 $3,129,164 11.80%

Service Providers

Persons Receiving Only Eligible Indirect Compensation

There is no information on eligible indirect compensation for this plan.

Other Service Providers Receiving Direct or Indirect Compensation

Name Nature of Service Relationship to Plan Sponsor Direct Compensation Paid by Plan Indirect Compensation Paid by Plan Total Compensation
John Hancock, USA Recordkeeper $232 $0 $232
Total $232 $0 $232

Indirect Compensation

There are no service providers with indirect compensation listed for this plan.

Service Providers Who Fail or Refuse to Provide Information

There are no service providers who failed or refused to provide information.

Termination Information on Accountants and Enrolled Actuaries

There is no termination information for this plan.

Investments

Investments

Name of Investment Investment Manager Type of Investment Dollar Value
Jh Ls Agg Active Strategy John Hancock USA DFE: Pooled Separate Account $882,110
Jh Ls Grow Active Strategy John Hancock USA DFE: Pooled Separate Account $689,392
Jh Ls Bal Active Strategy John Hancock USA DFE: Pooled Separate Account $658,323
Jh Ret To 2020 Managed Port John Hancock USA DFE: Pooled Separate Account $203,171
Jh Ls Mod Active Strategy John Hancock USA DFE: Pooled Separate Account $136,484
Jh Thru 2025 Active Strategy John Hancock USA DFE: Pooled Separate Account $48,855
Jh Ls Con Active Strategy John Hancock USA DFE: Pooled Separate Account $35,354
The Growth Fund of America John Hancock USA DFE: Pooled Separate Account $31,057
John Hancock Disciplined Value John Hancock USA DFE: Pooled Separate Account $28,362
Jh Thru 2045 Active Strategy John Hancock USA DFE: Pooled Separate Account $24,615
Jh Ret To 2055 Managed Port John Hancock USA DFE: Pooled Separate Account $18,296
Europacific Growth Fund John Hancock USA DFE: Pooled Separate Account $18,126
Vanguard Small Cap Grow Index John Hancock USA DFE: Pooled Separate Account $17,625
Royce Opportunity John Hancock USA DFE: Pooled Separate Account $16,048
Science & Technology Fund John Hancock USA DFE: Pooled Separate Account $14,556
Jh Thru 2040 Active Strategy John Hancock USA DFE: Pooled Separate Account $13,912
Jh Thru 2050 Active Strategy John Hancock USA DFE: Pooled Separate Account $13,853
Mid Cap Stock Fund John Hancock USA DFE: Pooled Separate Account $13,492
Small Cap Value Fund John Hancock USA DFE: Pooled Separate Account $12,474
Real Est. Securities Fund John Hancock USA DFE: Pooled Separate Account $11,650
Mutual Global Discovery John Hancock USA DFE: Pooled Separate Account $10,380
Financial Industries Fund John Hancock USA DFE: Pooled Separate Account $9,717
Jh Thru 2030 Active Strategy John Hancock USA DFE: Pooled Separate Account $9,584
Franklin Mutual Beacon Fund John Hancock USA DFE: Pooled Separate Account $8,999
500 Index Fund John Hancock USA DFE: Pooled Separate Account $8,842
Investment Company of America John Hancock USA DFE: Pooled Separate Account $8,477
Fundamental Large Cap Value John Hancock USA DFE: Pooled Separate Account $8,092
Vanguard Energy Fund John Hancock USA DFE: Pooled Separate Account $7,311
Washington Mutual Investors John Hancock USA DFE: Pooled Separate Account $7,246
T. Rowe Price Equity Inc John Hancock USA DFE: Pooled Separate Account $6,818
American Balanced Fund John Hancock USA DFE: Pooled Separate Account $6,695
Jpmorgan Us Equity Fund John Hancock USA DFE: Pooled Separate Account $6,551
U.S. Equity Fund John Hancock USA DFE: Pooled Separate Account $6,377
Jh Thru 2035 Active Strategy John Hancock USA DFE: Pooled Separate Account $6,346
Jh Ret To 2045 Managed Port John Hancock USA DFE: Pooled Separate Account $6,317
Vanguard Small Cap Value Index John Hancock USA DFE: Pooled Separate Account $5,158
Blackrock Global Allocation John Hancock USA DFE: Pooled Separate Account $5,155
Utilities Fund John Hancock USA DFE: Pooled Separate Account $4,996
Jh Thru 2055 Active Strategy John Hancock USA DFE: Pooled Separate Account $4,904
Jh Ret To 2030 Managed Port John Hancock USA DFE: Pooled Separate Account $4,760
Pimco All Asset John Hancock USA DFE: Pooled Separate Account $4,549
Equity Income Fund John Hancock USA DFE: Pooled Separate Account $3,971
Ivy Asset Strategy Fund John Hancock USA DFE: Pooled Separate Account $2,485
T. Rowe Price Sci & Tech John Hancock USA DFE: Pooled Separate Account $2,277
Vanguard Value Index Fund John Hancock USA DFE: Pooled Separate Account $2,248
Vanguard Growth Index Fund John Hancock USA DFE: Pooled Separate Account $2,238
Oppenheimer Global John Hancock USA DFE: Pooled Separate Account $2,183
Vanguard Explorer Fund John Hancock USA DFE: Pooled Separate Account $2,115
Jh Thru 2020 Active Strategy John Hancock USA DFE: Pooled Separate Account $2,035
Fidelity Adv Leveraged Co Stk John Hancock USA DFE: Pooled Separate Account $2,021
Aston/Fairpointe Mid Cap Fund John Hancock USA DFE: Pooled Separate Account $1,895
Mid Value Fund John Hancock USA DFE: Pooled Separate Account $905
T. Rowe Price Sml Cap Val John Hancock USA DFE: Pooled Separate Account $903
T. Rowe Price Health Sci John Hancock USA DFE: Pooled Separate Account $749
John Hancock Stable Val John Hancock USA DFE: Pooled Separate Account $645
Vanguard Mid-Cap Growth Etf John Hancock USA DFE: Pooled Separate Account $630
Dfa U.S. Small Cap Fund John Hancock USA DFE: Pooled Separate Account $620
Legg Mason Clearbr Agg Growth John Hancock USA DFE: Pooled Separate Account $612
Keeley Small Cap Value John Hancock USA DFE: Pooled Separate Account $580
Templeton Global Bond Fund John Hancock USA DFE: Pooled Separate Account $464
Pimco Real Return John Hancock USA DFE: Pooled Separate Account $461
Blue Chip Growth Fund John Hancock USA DFE: Pooled Separate Account $424
T. Rowe Price Cap Appreciation John Hancock USA DFE: Pooled Separate Account $416
Jpmorgan Midcap Value Fund John Hancock USA DFE: Pooled Separate Account $397
Dodge & Cox Stock Fund John Hancock USA DFE: Pooled Separate Account $395
Aberdeen International Equity John Hancock USA DFE: Pooled Separate Account $265
Lord Abbett Value Opps Fund John Hancock USA DFE: Pooled Separate Account $263
Oppenheimer Intl Growth Fund John Hancock USA DFE: Pooled Separate Account $77
Total Stock Market Index Fund John Hancock USA DFE: Pooled Separate Account $55
International Core Fund John Hancock USA DFE: Pooled Separate Account $40
Total $3,067,398

Insurance Information

Insurance Information

Insurance Carrier Summary Persons Covered
John Hancock Life Insurance Company (U.S.A.) ('John Hancock USA') 96
EIN 01-0233346
Industry Code 65838
Contract Number 55616
Contract Year 01/01/2015 — 12/31/2015
Value in General Account at Year End $324,575
Value in Separate Accounts at Year End $3,067,399
Insurance Fees and Commissions $19,394
Persons Receiving Commissions and Fees
Agent/Broker Organization Code Commissions Paid Fees Paid Purpose of Fees Paid
Thoroughbred Financial Planning LLC 5110 Maryland Way, Suite 300 Brentwood, TN 37027 Agent or Broker other than Insurance $16,805 $0
Employee Benefit Services, Inc. 5110 Maryland Way, Suite 300 Brentwood, TN 37027 Third Party Administrator $0 $2,589 TPA FEES PAID AND COMPENSATION
Allocated Funds
Type of Contract Unspecified
Basis of premium rates
Premiums paid to carrier $0
Premiums due but unpaid at the end of the year $0
If the carrier, service, or other organization incurred any specific costs in connection with the acquisition or retention of the contract or policy, enter amount $0
Specify the nature of the costs
Unallocated Funds
Type of Contract Unspecified
Balance at the end of the previous year $310,258
Additions $15,906
Contributions Deposited during the year $9,843
Dividends and credits $0
Interest credited during the year $5,873
Transferred from separate account $0
Other $190
Total of Balance and Additions $326,164
Deductions $1,589
Disbursed from fund to pay benefits or purchase annuities during the year $0
Administration charge made by carrier $1,589
Transferred to Separate Account $0
Other $0
Balance at the end of the current year $324,575