Form DBO-505 Schedule T "Fiduciary and Related Services" - California

What Is Form DBO-505 Schedule T?

This is a legal form that was released by the California Department of Financial Protection and Innovation - a government authority operating within California. Check the official instructions before completing and submitting the form.

Form Details:

  • Released on April 1, 2020;
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Download Form DBO-505 Schedule T "Fiduciary and Related Services" - California

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STATE OF CALIFORNIA – DEPARTMENT OF BUSINESS OVERSIGHT
DBO-505 (Rev. 4-20)
SCHEDULE T | FIDUCIARY AND RELATED SERVICES
SAVE
RESET
2. Name of Institution
2
M M ai ain n C C o o n n t t act
act ( ( N N am
ame, e, T T i i t t l l e) e)
Email Address
1. License Number
1
Phone Number
Phone Number
Ext.
Ext.
City
City
Report as of the Close of Business (mm/dd/yyyy)
3.a. Internet Information: Primary Web Address of Institution
3a
3.b. Internet Information: Does the website currently allow transactional activity for fiduciary and related services?
3b
PART 1
(Column A)
(Column B)
(Column C)
(Column D)
Managed
Non-Managed Number of
Number of
Assets
Assets
Managed
Non-Managed
FIDUCIARY AND RELATED ASSETS
(000s)
(000s)
Accounts
Accounts
4. Personal trust and agency accounts
4
0
0
0
0
5. Employee benefit and retirement-related
5
trust and agency accounts:
a. Employee benefit - defined contribution
5a
0
0
0
0
b. Employee benefit - defined benefit
5b
0
0
0
0
c. Other employee benefit and retirement-
related accounts
5c
0
0
0
0
6. Corporate trust and agency accounts
6
0
0
0
0
7. Investment management and investment
advisory agency accounts
7
0
0
0
0
8. Foundation and endowment trust and
agency accounts
8
0
0
0
0
9. Other fiduciary accounts
9
0
0
0
0
10. Total fiduciary accounts (sum of items 4
through 9)
10
0
0
0
0
11. Custody and safekeeping accounts
11
0
0
0
0
12. Not applicable
12
13. Individual Retirement Accounts, Health
Savings Accounts, and other similar
accounts (included in items 5c and 11)
13
0
0
0
0
CERTIFICATION
The undersigned,
Name
Title
Name
Title
of the above named trust company, each declares, for himself/herself alone and not for the other:
I have personal knowledge of the matters contained in this report and I believe that each statement in said report is true.
Each of the undersigned, for himself/herself alone and not for the other, certified under penalty of perjury that the foregoing
is true and correct.
Executed on:
At:
Signature
Signature
STATE OF CALIFORNIA – DEPARTMENT OF BUSINESS OVERSIGHT
DBO-505 (Rev. 4-20)
SCHEDULE T | FIDUCIARY AND RELATED SERVICES
SAVE
RESET
2. Name of Institution
2
M M ai ain n C C o o n n t t act
act ( ( N N am
ame, e, T T i i t t l l e) e)
Email Address
1. License Number
1
Phone Number
Phone Number
Ext.
Ext.
City
City
Report as of the Close of Business (mm/dd/yyyy)
3.a. Internet Information: Primary Web Address of Institution
3a
3.b. Internet Information: Does the website currently allow transactional activity for fiduciary and related services?
3b
PART 1
(Column A)
(Column B)
(Column C)
(Column D)
Managed
Non-Managed Number of
Number of
Assets
Assets
Managed
Non-Managed
FIDUCIARY AND RELATED ASSETS
(000s)
(000s)
Accounts
Accounts
4. Personal trust and agency accounts
4
0
0
0
0
5. Employee benefit and retirement-related
5
trust and agency accounts:
a. Employee benefit - defined contribution
5a
0
0
0
0
b. Employee benefit - defined benefit
5b
0
0
0
0
c. Other employee benefit and retirement-
related accounts
5c
0
0
0
0
6. Corporate trust and agency accounts
6
0
0
0
0
7. Investment management and investment
advisory agency accounts
7
0
0
0
0
8. Foundation and endowment trust and
agency accounts
8
0
0
0
0
9. Other fiduciary accounts
9
0
0
0
0
10. Total fiduciary accounts (sum of items 4
through 9)
10
0
0
0
0
11. Custody and safekeeping accounts
11
0
0
0
0
12. Not applicable
12
13. Individual Retirement Accounts, Health
Savings Accounts, and other similar
accounts (included in items 5c and 11)
13
0
0
0
0
CERTIFICATION
The undersigned,
Name
Title
Name
Title
of the above named trust company, each declares, for himself/herself alone and not for the other:
I have personal knowledge of the matters contained in this report and I believe that each statement in said report is true.
Each of the undersigned, for himself/herself alone and not for the other, certified under penalty of perjury that the foregoing
is true and correct.
Executed on:
At:
Signature
Signature
STATE OF CALIFORNIA – DEPARTMENT OF BUSINESS OVERSIGHT
DBO-505 (Rev. 4-20)
Page 2 of 4
SCHEDULE T | FIDUCIARY AND RELATED SERVICES
(Column A)
(Column B)
(Column C)
Personal Trust
Employee Benefit
and Agency and
and Retirement-
All Other
Investment
Related Trust and
Accounts
Management
Agency Accounts
Agency Accounts
MEMORANDA
(000s)
(000s)
(000s)
1. Managed assets held in fiduciary accounts:
a. Noninterest-bearing deposits
M1a
0
0
0
b. Interest-bearing deposits
M1b
0
0
0
c. U.S. Treasury and U.S. Government agency
obligations
M1c
0
0
0
d. State, county, and municipal obligations
M1d
0
0
0
e. Money market mutual funds
M1e
0
0
0
f. Equity mutual funds
M1f
0
0
0
g. Other mutual funds
M1g
0
0
0
h. Common trust funds and collective
investment funds
M1h
0
0
0
i. Other short-term obligations
M1i
0
0
0
j. Other notes and bonds
M1j
0
0
0
k. Investments in unregistered funds and
private equity investments
M1k
0
0
0
l. Other common and preferred stocks
M1l
0
0
0
m. Real estate mortgages
M1m
0
0
0
n. Real estate
M1n
0
0
0
o. Miscellaneous assets
M1o
0
0
0
p. Total managed assets held in fiduciary
accounts (for each column, sum of
Memorandum items 1a through 1o)
M1p
0
0
0
(Column A)
(Column B)
Number of
Managed Assets
Managed
(000s)
Assets
q. Investments of managed fiduciary accounts
in advised or sponsored mutual funds
M1q
0
0
STATE OF CALIFORNIA – DEPARTMENT OF BUSINESS OVERSIGHT
DBO-505 (Rev. 4-20)
Page 3 of 4
SCHEDULE T | FIDUCIARY AND RELATED SERVICES
Memoranda (continued)
(Column A)
(Column B)
Principal Amount
Number of
Outstanding
Issues
(000s)
2. Corporate trust and agency accounts:
a. Corporate and municipal trusteeships
M2a
0
0
(1) Issues reported in Memoranda 2a that are in default
M2a1
0
0
b. Transfer agent, registrar, paying agent, and other corporate
agency
M2b
0
(Column A)
(Column B)
Market Value of
Number of
Fund Assets
Funds
(000s)
3. Collective investment funds and common trust funds:
a. Domestic equity
M3a
0
0
b. International/Global equity
M3b
0
0
c. Stock/Bond blend
M3c
0
0
d. Taxable bond
M3d
0
0
e. Municipal bond
M3e
0
0
f. Short term investments/Money market
M3f
0
0
g. Specialty/Other
M3g
0
0
h. Total collective investment funds (sum of Memorandum
items 3a through 3g)
M3h
0
0
(Column A)
(Column B)
P. TRUST BUSINESS FOR WHICH SECURITIES ARE ON
Court Trusts
Private Trusts
DEPOSIT WITH THE STATE TREASURER
(000s)
(000s)
P.1. Trust business for which securities are on deposit with the
P1
State Treasurer
0
0
P2
P.2. Less: Real estate
0
P.3. Trust business on which security is required
P3
0
0
P.4. Amount of security required by Sections 1570 and 1571 of
P4
the California Financial Code
0
0
P5
P.5. Market value of securities on deposit with the State Treasurer
0
0
P6
P.6. Excess or (deficiency)
0
0
STATE OF CALIFORNIA – DEPARTMENT OF BUSINESS OVERSIGHT
DBO-505 (Rev. 4-20)
Page 4 of 4
SCHEDULE T | FIDUCIARY AND RELATED SERVICES
PART 2 - INCOME
FIDUCIARY AND RELATED SERVICES INCOME
(000s)
14
14. Personal trust and agency accounts
0
15. Employee benefit and retirement-related trust and agency accounts:
a. Employee benefit-defined contribution
15a
0
b. Employee benefit-defined benefit
15b
0
c. Other employee benefit and retirement-related accounts.
15c
0
16. Corporate trust and agency accounts
16
0
17. Investment management and investment advisory agency accounts.
17
0
18
18. Foundation and endowment trust and agency accounts
0
19. Other fiduciary accounts
19
0
20. Custody and safekeeping accounts
20
0
21. Other fiduciary and related services income
21
0
22
22. Total gross fiduciary and related services income (sum of items 14 through 21)
0
23. Less: Expenses
23
0
24. Less: Net losses from fiduciary and related services (M4e: Col. A + Col B - Col C)
24
0
25. Plus: Intracompany income credits for fiduciary and related services
25
0
26. Net fiduciary and related services income
26
0
(Column A)
(Column B)
(Column C)
Gross Losses
Gross Losses
Managed
Non-Managed
Recoveries
Accounts
Accounts
MEMORANDA
(000s)
(000s)
(000s)
4. Fiduciary settlements, surcharges, and other losses
a. Personal trust and agency accounts
M4a
0
0
0
b. Employee benefit and retirement-related trust and
agency accounts
M4b
0
0
0
c. Investment management and investment advisory
agency accounts
M4c
0
0
0
d. Other fiduciary accounts and related services
M4d
0
0
0
e. Total fiduciary settlements, surcharges, and other
losses (sum of Memorandum items 4a through 4d)
(sum of columns A and B minus column C must equal
Schedule T, item
24)
M4e
0
0
0
Page of 4