Savings Plan Management Enrollment

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Thank you for your trust in Retirement Management Systems. By following this series of steps, you will begin a client’s enrollment in our Savings Plan Management program. Before beginning, please have available the client’s contact information, including a valid phone number, and information about the employer-sponsored retirement plan account, such as account name, account type and the account website.

Please select RIA.

If your RIA firm is not listed, we will need to facilitate a selling agreement with them before you can enroll a client in our service. If you believe a selling agreement already exists between RMS and your firm, please call (888) 870-7674 so we can confirm.

Advisor Information

Please provide a advisor firm.
Please provide a advisor name.
Please provide a valid email.

Client Information

Please provide a first name.
Please provide a last name.
Please provide a address.
Please provide a city.
Please provide a state.
Please provide a zip code.
Please provide a valid cell phone.
Please provide a valid home phone.
Please provide a valid work phone.
Please provide a valid email.
Confirm email.

Tell us about the client's retirement plan and account

Please provide a employer name.
Please provide a savings plan.

Special Instructions – Company Stock

Some retirement plans offer participants the ability to invest in their company’s stock through the retirement plan account. Our investment policy is to hold NO company stock within a client’s retirement plan account. However, we understand the occasional need or desire to do so, whether from employee holding requirements or affinity to the stock. When instructed to hold company stock within the portfolio we will ‘carve out’ the stock and allocate the remaining assets to the specified strategy. Investor understands that any company stock allocation will cause the risk and return characteristics of the portfolio to differ from those of the modeled strategy.

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2.
%
3.

Special Instructions - Brokerage Link Management

Please complete the information below

1.

In order for RMS to manage the Brokerage Link account, it must be opened and funded.

2.
%
3.

Note: RMS is NOT responsible for regular rebalancing of money from the core account into the brokerage link account and vice versa. Please ensure future contributions are directed into the appropriate account.

4.

Note: If core account is less than or equal to $50,000 or 15% of the total value, the core account may be invested in an asset allocation fund.

Tell us about the fees

You may set the fee for the service as either a percentage of assets under management or as a flat fee. Please remember that the portion of the fee retained by Retirement Management Systems will be 0.12% with a minimum of $240 per year per account.

$
%
Therefore, for the first year of management, the fee is estimated to be:
$0
Percentage of AUM must be at least $240.
Flat fee must be at least $240.

Clients may pay through their checking or savings account, by credit card, or by check if paying annually.

Solicitor Advisory Agreement and Disclosure Statement

As an Investment Advisor Representative, I have been appointed and authorized by Retirement Management Systems (RMS), a Registered Investment Adviser, to act as a Solicitor on its behalf. Neither I, my broker dealer, my registered investment adviser firm, nor my company are affiliated with RMS. Solely to the extent that I have recommended RMS to Investor, I am acting as a fiduciary within the meaning of Section 3(21) of ERISA.

My primary role under the Solicitor’s agreement with RMS is to introduce and assist solicited clients in establishing a relationship with RMS, and to inform solicited clients who are retirement plan participants about the RMS advisory service. The ongoing relationship I will have with solicited client includes periodic contact to assist solicited client in understanding the advisory program, obtaining or updating solicited client information on behalf of RMS, providing education regarding the various risk levels found in RMS portfolios, and helping solicited client choose the most suitable portfolio.

I receive compensation for these services from Retirement Management Systems. My compensation will be the difference between the fee charged to the client and the RMS retained portion of the fee, which is 0.12% of account balance or $240 per year, whichever is greater, up to a maximum of $1,500. As different compensation may be paid by RMS to different solicitors, client may pay more or less than other clients for RMS services in the aggregate as a result of a particular solicitation arrangement.

Enclosed is a copy of the Form ADV Part 2A of Retirement Management Systems. This is the RMS disclosure brochure under the Investment Adviser’s Act and required by the Securities and Exchange Commission to be provided to any prospective client before establishing a relationship with RMS.

Please review the following documents and then electronically sign below to continue this process.

Savings Plan Management Agreement
Disclosure Brochure

Please provide a signature.
Please type you full name.
Agreement is required.

Please review the information below for accuracy and completeness. If everything is correct, please sign the bottom of this form. If there are any issues, please go back to that step and correct the information. Use the Back button at the bottom of each page to progress backward.


Advisor Information


Tell us about the client's retirement plan and account

Special Instructions – Company Stock

Some retirement plans offer participants the ability to invest in their company’s stock through the retirement plan account. Our investment policy is to hold NO company stock within a client’s retirement plan account. However, we understand the occasional need or desire to do so, whether from employee holding requirements or affinity to the stock. When instructed to hold company stock within the portfolio we will 'carve out' the stock and allocate the remaining assets to the specified strategy. Investor understands that any company stock allocation will cause the risk and return characteristics of the portfolio to differ from those of the modeled strategy.

1.
2.
%
3.

Special Instructions - Brokerage Link Management

Please complete the information below

1.

In order for RMS to manage the Brokerage Link account, it must be opened and funded.

2.
%
3.

Note: RMS is NOT responsible for regular rebalancing of money from the core account into the brokerage link account and vice versa. Please ensure future contributions are directed into the appropriate account.

4.

Note: If core account is less than or equal to $50,000 or 15% of the total value, the core account may be invested in an asset allocation fund.


Tell us about the fees

You may set the fee for the service as either a percentage of assets under management or as a flat fee. Please remember that the portion of the fee retained by Retirement Management Systems will be 0.12% with a minimum of $240 per year per account.

$
%

Therefore, for the first year of management, the fee is estimated to be:
$0

Clients may pay through their checking or savings account, by credit card, or by check if paying annually.


Agreement is required.