Enrollment - Retirement Management Systems

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. *

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.

Date of Birth

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 *

Confirm email.

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

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

Electronic Signature *

Please provide a signature.

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 Savings Plan Management Agreement 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 *

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 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.