Rebalance Request for a Cash Balance Plan Design Recommendation

III. Current Retirement Plans (if applicable)

If there is an existing retirement plan for your organization, what type of plan(s) do you sponsor?

NoneSEPSIMPLE IRA - MatchingSIMPLE IRA - Non-Matching401(k) Safe Harbor - Matching401(k) Safe Harbor - Non-Matching401(k) Non-Safe Harbor - w/o matching contributions401(k) Non-Safe Harbor - with matching contributions401(k) Non-Safe Harbor - with non-elective employer or profit-sharing contributions

What is the approximate annual cost of employer contributions to the plan?

If you sponsor a SEP or SIMPLE plan, have you made a contribution this year to the plan(s)? If so, indicate which plan(s):

No contributions this yearSEPSIMPLE IRA - MatchingSIMPLE IRA - Non-Matching

If you sponsor a SIMPLE or 401(k) plan, approximately what percentage of your employees contribute to the plan?

IF YOU CURRENTLY SPONSOR A RETIREMENT PLAN PLEASE SUBMIT A COPY OF YOUR PLAN OR ADOPTION AGREEMENT OR SUMMARY PLAN DESCRIPTION (SPD) SO THAT WE CAN DETERMINE HOW A CASH BALANCE PLAN CAN BEST BE IMPLEMENTED FOR YOUR ORGANIZATION.

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Your Name*

Your Company*

Your E-mail*

Your Phone*

Regional Sales Consultant*

Note: This completes part one of this TWO part submission form.

After you submit this plan design request form, you will receive an email requesting census information about the employees of your organization.