Savings Plan Management Enrollment Step 1 Step 2 Step 3 Step 4 Thank you for your interest in the RMS Savings Plan Management service. Please follow this series of steps to complete the enrollment. To move back in the process, please use the Back button at the bottom of each page. Please tell us about yourself 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 Please select month. - 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 Please select day. - 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 Please select year. 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 email. Confirm Email * Emails do not match. Tell us about your 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 special requests related to the account?) Approximate Account Balance $ 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. (Please check all that apply.) 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. Your Investor Profile 1. When do you expect to begin spending the money within this account? * This is required. Immediately 1 - 3 years 4 - 6 years 7 - 10 years 11 - 15 years 16 - 20 years 21 or more years 2. How would you describe your level of investment knowledge? * This is required. Novice Somewhat experienced Experienced 3. How many months could you continue to meet all your living expenses from existing savings and checking accounts if you suddenly lost your income? * This is required. Less than one month 2 to 3 months More than 3 months 4. What is your investment objective? * This is required. Preserve the purchasing power of my money Generate income while also preserving the principal of my money Moderately increase the value of my account, even though I may experience moderate losses Significantly increase the value of my account, even though I may experience significant losses 5. Which statement best describes your attitude about your portfolio performance over any one year period? * This is required. I'd have a hard time stomaching any loss I can tolerate a 5% loss If I lost 10%, I’d be concerned but would not change my strategy I wouldn't worry about losses in that timeframe 6. Which statement best describes your retirement preparedness? * This is required. I know how much I need and I'm on track I think I’m on track, but don’t know for sure I'm not on track and am running out of time 7. You are a contestant on a TV game show and you can choose one of the following options: * This is required. A $2,500 cash prize A 50% chance of winning $5,000 with a 50% chance of winning nothing A 5% chance of winning $50,000 with a 95% chance of winning nothing 8. Which of the following statements best describes how you feel about fluctuations in the value of your portfolio? * This is required. I have no tolerance for fluctuations I feel somewhat uncomfortable with fluctuations I do not mind seeing fluctuation 9. How do you think your spouse or best friend would describe you? * This is required. Completely risk averse A cautious person Willing to take chances 10. Which hypothetical portfolio are you most comfortable with, considering these theoretical four year returns? * This is required. A B C D Your financial advisor will review this Investor Profile with you prior to submitting the final enrollment request to Retirement Management Systems. Please create a PIN number that we will send to the advisor to access your profile. * Please provide a valid pin. Don't forget to write down your PIN. You will need it later. Your Financial Advisor Are you currently working with a Financial Advisor? Yes No Please tell us advisor's firm * - 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 a firm. Other advisor's firm If yes, please tell us the advisor's name * Please provide a advisor name. Please provide us with your advisor's email address * Please provide a advisor email. Confirm advisor's email address Email address don't match