Savings Plan Management Enrollment Step 1 Step 2 Step 3 Step 4 Step 5 Step 6 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. To begin, please select your RIA from this list. * - Select - Unknown Advance Capital Management, Inc. AE Wealth Management LLC Bailey Financial Management and insurance services LLC Barber Financial Group Inc. Brokers International Financial Services Brookstone Capital Management Broussard Financial Group LLC Calandra Financial group inc Capital Asset Advisory Services LLC Capital Wealth Management LLC Centorbi Financial Group Christy Capital Management Inc. Commonwealth Financial Network Euclid Wealth Management LLC First American National Investment Advisors FSIC Geneos Wealth Management Inc. Harbour Investments Inc. Independent advisor alliance Independent Financial Group Intrust Advisors Inc. J. W. Cole JB Capital LLC KMS Financial Services Inc. LifeMark Securities Corp Lighthouse Wealth Management Luken Investment Analytics Inc. Marathon Retirement Planning Inc. Micel Financial Group Mutual Advisors LLC National Asset Management NPB Financial Group LLC Packerland Brokerage Services Patterson CPA Group Paul Damon & Associates PMB Capital Management LLC Premier Estate Planners Inc Prospera Financial Services Inc. Regal Investment Advisors Inc. Retirement Management Systems Inc. Rik Saylor Financial RL Wright & Associates LLC SA Stone Wealth Management Inc. Scarborough Capital Management Sigma Planning Corporation Inc. Silver Oak Securities Sound Financial Strategies Group Inc. Stoecker Financial LLC Strategic Wealth Advisors Group TCFG Investment Advisors LLC TFS Advisory Services White Oak Financial Management Inc. World Equity Group Inc. Other 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 Advisor Firm * Please provide a advisor firm. Advisor Name* Please provide a advisor name. Advisor Email* Please provide a valid email. Client Information First Name * Please provide a first name. Middle Initial Last Name * Please provide a last name. Birthday * - Select Month - January February March April May June July August September October November December - Select Day - 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 29 30 31 - Select Year - 2021 2020 2019 2018 2017 2016 2015 2014 2013 2012 2011 2010 2009 2008 2007 2006 2005 2004 2003 2002 2001 2000 1999 1998 1997 1996 1995 1994 1993 1992 1991 1990 1989 1988 1987 1986 1985 1984 1983 1982 1981 1980 1979 1978 1977 1976 1975 1974 1973 1972 1971 1970 1969 1968 1967 1966 1965 1964 1963 1962 1961 1960 1959 1958 1957 1956 1955 1954 1953 1952 1951 1950 1949 1948 1947 1946 1945 1944 1943 1942 1941 1940 1939 1938 1937 1936 1935 1934 1933 1932 1931 1930 1929 1928 1927 1926 1925 1924 1923 1922 1921 1920 Address* Please provide a address. Address 2 City * Please provide a city. State * Please provide a state. Zip Code * Please provide a zip code. Cell Phone * Please provide a valid cell phone. Home Phone Please provide a valid home phone. Work Phone Please provide a valid work phone. Email * Please provide a valid email. Confirm Email * Emails do not match. Tell us about the client's retirement plan and account Employer Name * Please provide a employer name. Savings Plan Provider (i.e., Fidelity, Vanguard, etc.) * Please provide a savings plan. Savings Plan Website (location for online account access) Additional Account Detail(s) (Please use this space if there is information about the account that we should know about. For example, is it one account or multiple accounts? Are there any trading restrictions or client requests related to the 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. Would you like to request that RMS hold company stock in your account? Yes No 2. If yes, what percent of the portfolio should the company stock represent? % 3. If yes, would you like future contributions to match the percentage of company stock above? Yes No Special Instructions - Brokerage Link Management Some retirement plans offer participants the ability to invest through a brokerage account that is "linked" to the main account. Do you have a Brokerage Link Account that you want RMS to manage? Yes No Unsure Please complete the information below 1. In order for RMS to manage the Brokerage Link account, it must be opened and funded. Is the Brokerage Account opened? Is the Brokerage Account funded? 2. What percentage of the total account value will be managed through the brokerage link account? % 3. Will future contributions go to the core/main account or into the brokerage link account? Core Account Brokerage Account 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. Will RMS be managing both the Brokerage Link account and any money remaining in the core account? Only manage the Brokerage Link account Manage BOTH the Brokerage Link account and the core account 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. Approximate Account Balance $ How will you be setting the fee? Percentage of AUM (Maximum fee allowed is 1.00%; call for recommendations) Flat Fee Percentage of AUM (Maximum fee allowed is 1.00%; call for recommendations) % Therefore, for the first year of management, the fee is estimated to be: $0 Percentage of AUM must be at least $240. Flat Fee 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. Check this box if you have confirmed with RMS that other payment options exist. Otherwise, please leave it unchecked so that RMS may collect payment information from the client. Alternative payment options may include payment from a brokerage account owned by the client or payment deducted from a 403(b)/401(a) account custodied with Fidelity or TIAA-Cref. 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 Client Relationship Summary Electronic Signature of FINANCIAL ADVISOR * Please provide a electronic signature of financial advisor. Please type you full name. Agreement is required. I understand that checking this box constitutes a legal signature confirmation that I have read, acknowledge, and agree to the RMS Savings Plan Management Agreement, RMS ADV Part 2A, and the Solicitors Disclosure Statement. 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. RIA * - Select - Unknown Advance Capital Management, Inc. AE Wealth Management LLC Bailey Financial Management and insurance services LLC Barber Financial Group Inc. Brokers International Financial Services Brookstone Capital Management Broussard Financial Group LLC Calandra Financial group inc Capital Asset Advisory Services LLC Capital Wealth Management LLC Centorbi Financial Group Christy Capital Management Inc. Commonwealth Financial Network Euclid Wealth Management LLC First American National Investment Advisors FSIC Geneos Wealth Management Inc. Harbour Investments Inc. Independent advisor alliance Independent Financial Group Intrust Advisors Inc. J. W. Cole JB Capital LLC KMS Financial Services Inc. LifeMark Securities Corp Lighthouse Wealth Management Luken Investment Analytics Inc. Marathon Retirement Planning Inc. Micel Financial Group Mutual Advisors LLC National Asset Management NPB Financial Group LLC Packerland Brokerage Services Patterson CPA Group Paul Damon & Associates PMB Capital Management LLC Premier Estate Planners Inc Prospera Financial Services Inc. Regal Investment Advisors Inc. Retirement Management Systems Inc. Rik Saylor Financial RL Wright & Associates LLC SA Stone Wealth Management Inc. Scarborough Capital Management Sigma Planning Corporation Inc. Silver Oak Securities Sound Financial Strategies Group Inc. Stoecker Financial LLC Strategic Wealth Advisors Group TCFG Investment Advisors LLC TFS Advisory Services White Oak Financial Management Inc. World Equity Group Inc. Other Advisor Information Advisor Firm * Advisor Name * Advisor Email * Client First Name * Client MI Client Last Name * Client Address* Client Address 2 Client City * Client State * Client Zip Code * Cell Phone* Home Phone Work Phone Client Email * Tell us about the client's retirement plan and account Employer Name Savings Plan Provider (i.e., Fidelity, Vanguard, etc.) Savings Plan Website (location for online account access) Additional Account Detail(s) (Please use this space if there is information about the account that we should know about. For example, is it one account or multiple accounts? Are there any trading restrictions or client requests related to the 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. Would you like to request that RMS hold company stock in your account? Yes No 2. If yes, what percent of the portfolio should the company stock represent? % 3. If yes, would you like future contributions to match the percentage of company stock above? Yes No Special Instructions - Brokerage Link Management Some retirement plans offer participants the ability to invest through a brokerage account that is "linked" to the main account. Do you have a Brokerage Link Account that you want RMS to manage? Yes No Unsure Please complete the information below 1. In order for RMS to manage the Brokerage Link account, it must be opened and funded. Is the Brokerage Account opened? Is the Brokerage Account funded? 2. What percentage of the total account value will be managed through the brokerage link account? % 3. Will future contributions go to the core/main account or into the brokerage link account? Core Account Brokerage Account 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. Will RMS be managing both the Brokerage Link account and any money remaining in the core account? Only manage the Brokerage Link account Manage BOTH the Brokerage Link account and the core account 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. Approximate Account Balance $ How will you be setting the fee? Percentage of AUM (Maximum fee allowed is 1.00%; call for recommendations) Flat Fee Percentage of AUM (Maximum fee allowed is 1.00%; call for recommendations) % Therefore, for the first year of management, the fee is estimated to be: $0 Flat Fee Clients may pay through their checking or savings account, by credit card, or by check if paying annually. Check this box if you have confirmed with RMS that other payment options exist. Otherwise, please leave it unchecked so that RMS may collect payment information from the client. Alternative payment options may include payment from a brokerage account owned by the client or payment deducted from a 403(b)/401(a) account custodied with Fidelity or TIAA-Cref. Agreement is required. I have reviewed the information above and certify everything is accurate to the best of my knowledge.