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FORM 5500 DATA

R.A.H. Industries, Inc. Profit Sharing 401k Plan

Overview

Plan Information

  • Plan Year01/01/2018 — 12/31/2018
  • Date of Plan01/01/1978
  • Net Assets as of 12/31/2018 $5,817,191
  • Plan Number1
  • 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 12/31/2018

  • Active (Eligible) Participants161
  • Retired or separated participants receiving benefits0
  • Other retired or separated participants entitled to future benefits16
  • Subtotal177
  • Deceased participants whose beneficiaries are receiving or are entitled to receive benefits0
  • Total177
  • Total number of participants as of 01/01/2018189
  • Number of participants with account balances157
  • Number of participants that terminated employment during the plan year with accrued benefits that were less than 100% vested4

Expenses

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

Sponsor Information

  • Address24800 Avenue Rockefeller
  • CityValencia
  • StateCA
  • Zip91355
  • Telephone(661) 295-5190
  • EIN95-2742253
  • Industry Code332900

Audit Information

  • Audit StatusAudited
  • AuditorHedman Partners
  • Auditor EIN95-4485080
  • 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.
3D 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.
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? No
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 $500,000
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 $265,132
Contributions $539,343
Cash Contributions $539,343
Cash from Employers $145,450
Cash from Participants $378,889
Others (including rollovers) $15,004
Noncash Contributions $0
Total Earnings on Investments $-274,211
Total Interest $31,289
Interest-Bearing Cash $0
U.S. Government Securities $0
Corporate Debt Instruments $0
Loans (other than to participants) $0
Participant Loans $31,289
Interest from Other Investments $0
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 $-305,500
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 $0
Expenses $482,381
Total Benefit Payments $407,936
Directly to participants or beneficiaries, including direct rollovers $390,628
To insurance carriers for the provision of benefits $17,308
Other Benefit Payment Fees $0
Corrective Distributions $0
Certain deemed distributions of participant loans $0
Interest expense $0
Total Administrative Expenses $74,445
Professional Fees $12,570
Contract Administrator Fees $31,228
Investment Advisory and management fees $30,647
Other Administrative Fees $0
Net Income $-217,249
Transfers of Assets to this Plan $0
Transfers of Assets from this Plan $0

Asset and Liability Statement

12/31/2018 12/31/2017 Change YOY
Total Assets $5,817,191 $6,034,440 -3.60%
Total noninterest-bearing cash $6,366 $8,828 -27.89%
Receivables $0 $0 0.0%
Employer Contributions $0 $0 0.0%
Participant Contributions $0 $0 0.0%
Other Contributions $0 $0 0.0%
General Investments $0 $0 0.0%
Interest-bearing cash $0 $0 0.0%
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 $599,571 $523,432 14.55%
Value of interest in common/collective trusts $0 $0 0.0%
Value of interest in pooled separate accounts $5,211,254 $5,502,180 -5.29%
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 $5,817,191 $6,034,440 -3.60%

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
Merrill Lynch Investment advisory (participants), Investment advisory (plan) RIA $30,720 $0 $30,720
John Hancock Life Insurance Co USA Recordkeeping and information management (computing, tabulating, data processing, etc.), Investment management, Shareholder servicing fees, Sub-transfer agency fees, Float revenue, Distribution (12b-1) fees, Soft dollars commissions Recordkeeper $2,020 $0 $2,020
Total $32,740 $0 $32,740

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
Money Market Fund John Hancock USA DFE: Pooled Separate Account $625,783
Jh Thru 2030 Active Strategy John Hancock USA DFE: Pooled Separate Account $599,914
Jh Ls Mod Active Strategy John Hancock USA DFE: Pooled Separate Account $586,686
Jh Ls Con Active Strategy John Hancock USA DFE: Pooled Separate Account $517,395
Jh Thru 2020 Active Strategy John Hancock USA DFE: Pooled Separate Account $462,298
Jh Thru 2035 Active Strategy John Hancock USA DFE: Pooled Separate Account $291,832
Jh Thru 2025 Active Strategy John Hancock USA DFE: Pooled Separate Account $283,511
Jh Thru 2040 Active Strategy John Hancock USA DFE: Pooled Separate Account $255,211
Jh Ls Bal Active Strategy John Hancock USA DFE: Pooled Separate Account $206,418
Jh Thru 2050 Active Strategy John Hancock USA DFE: Pooled Separate Account $201,966
Jh Thru 2045 Active Strategy John Hancock USA DFE: Pooled Separate Account $179,758
Jh Ls Grow Active Strategy John Hancock USA DFE: Pooled Separate Account $167,673
Jh Ls Agg Active Strategy John Hancock USA DFE: Pooled Separate Account $149,527
John Hancock Disciplined Value John Hancock USA DFE: Pooled Separate Account $112,449
Investment Company of America John Hancock USA DFE: Pooled Separate Account $94,934
500 Index Fund John Hancock USA DFE: Pooled Separate Account $66,188
Mid Cap Index Fund John Hancock USA DFE: Pooled Separate Account $60,021
Jh Thru 2010 Active Strategy John Hancock USA DFE: Pooled Separate Account $49,082
Fidelity Advisor Total Bond John Hancock USA DFE: Pooled Separate Account $47,012
The Growth Fund of America John Hancock USA DFE: Pooled Separate Account $42,875
Jh Thru 2015 Active Strategy John Hancock USA DFE: Pooled Separate Account $34,506
T Rowe Price Short Term Bond John Hancock USA DFE: Pooled Separate Account $30,892
Jh Thru 2055 Active Strategy John Hancock USA DFE: Pooled Separate Account $28,339
Vanguard Mid-Cap Value Etf John Hancock USA DFE: Pooled Separate Account $22,882
Mutual Global Discovery John Hancock USA DFE: Pooled Separate Account $16,554
Intl Equity Index Fund John Hancock USA DFE: Pooled Separate Account $15,440
Small Cap Index Fund John Hancock USA DFE: Pooled Separate Account $14,528
Oppenheimer Intl Growth Fund John Hancock USA DFE: Pooled Separate Account $13,192
Invesco Core Plus Bond Fund John Hancock USA DFE: Pooled Separate Account $9,211
Europacific Growth Fund John Hancock USA DFE: Pooled Separate Account $7,708
Jh Thru 2060 Active Strategy John Hancock USA DFE: Pooled Separate Account $4,757
Invesco Small Cap Growth John Hancock USA DFE: Pooled Separate Account $4,187
T Rowe Price Small Cap Value Fund John Hancock USA DFE: Pooled Separate Account $4,087
Vanguard Small Cap Value Index John Hancock USA DFE: Pooled Separate Account $2,326
Pimco Commodity Real Return John Hancock USA DFE: Pooled Separate Account $2,113
Dfa Us Targeted Value Fund John Hancock USA DFE: Pooled Separate Account $0
Utilities Fund John Hancock USA DFE: Pooled Separate Account $0
Vanguard Energy Fund John Hancock USA DFE: Pooled Separate Account $0
Mid Value Fund John Hancock USA DFE: Pooled Separate Account $0
Science & Technology Fund John Hancock USA DFE: Pooled Separate Account $0
Small Company Value Fund John Hancock USA DFE: Pooled Separate Account $0
Vanguard Short Term Federal John Hancock USA DFE: Pooled Separate Account $0
Small Cap Value Fund John Hancock USA DFE: Pooled Separate Account $0
Total Bond Market Fund John Hancock USA DFE: Pooled Separate Account $0
Total $5,211,255

Insurance Information

Insurance Information

Insurance Carrier Summary Persons Covered
John Hancock Life Insurance Company USA 159
EIN 01-0233346
Industry Code 65838
Contract Number 88162
Contract Year 01/01/2018 — 12/31/2018
Value in General Account at Year End $0
Value in Separate Accounts at Year End $5,211,254
Insurance Fees and Commissions $15,625
Persons Receiving Commissions and Fees
Agent/Broker Organization Code Commissions Paid Fees Paid Purpose of Fees Paid
Dissinger Associates 11835 Olympic Blvd. Los Angeles, CA 90064 -5828 Third Party Administrator $0 $12,570 PLAN ADMINISTRATION AND COMPLIANCE SERVICES
Dissinger Associates 11835 Olympic Blvd. Los Angeles, CA 90064 -5828 Third Party Administrator $0 $3,055 CONTRACT MAINTENANCE AND RETENTION
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 GUARANTEED INTEREST
Balance at the end of the previous year $0
Additions $0
Contributions Deposited during the year $0
Dividends and credits $0
Interest credited during the year $0
Transferred from separate account $0
Other $0
Total of Balance and Additions $0
Deductions $0
Disbursed from fund to pay benefits or purchase annuities during the year $0
Administration charge made by carrier $0
Transferred to Separate Account $0
Other $0
Balance at the end of the current year $0
New York Life Insurance Company 17
EIN 13-3044743
Industry Code 91596
Contract Number P74429
Contract Year 01/01/2018 — 12/31/2018
Value in General Account at Year End $0
Value in Separate Accounts at Year End $0
Insurance Fees and Commissions $856
Persons Receiving Commissions and Fees
Agent/Broker Organization Code Commissions Paid Fees Paid Purpose of Fees Paid
Harris Kagan 6300 Wilshire Blvd Los Angeles, CA 90048 -5221 Insurance Agent or Broker $856 $0
Allocated Funds
Type of Contract Individual Policies
Basis of premium rates Standard as On File With State Insurance Commissioner
Premiums paid to carrier $17,308
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 $0
Additions $0
Contributions Deposited during the year $0
Dividends and credits $0
Interest credited during the year $0
Transferred from separate account $0
Other $0
Total of Balance and Additions $0
Deductions $0
Disbursed from fund to pay benefits or purchase annuities during the year $0
Administration charge made by carrier $0
Transferred to Separate Account $0
Other $0
Balance at the end of the current year $0