QUESTIONNAIRES

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Existing Plan Questionnaire

Plan Sponsor Information
* Indicates Required Field

*Prefix:

*First Name:
*Last Name:
*Title:
*Company:
*Address:
*City, State, Zip:
     
E-Mail Adress:
*Phone Number:
 - -   Ext.:
*Fax Number
 - -

          Business Information
*Legal Entity

Other:
*Years In Business:
   *Number of Employees
*Estimated Number
of Participants
    *Are Any Employees Leased?
*Are Any Employeees Union Members:

 

Plan Sponsor Goals

What goals do you wish to achive with a retirement plan? (Please check all that apply.)
Attract and retain quality employeees
Maximize benefits for owners and key employees
Minimize total expenditures for the retirement plan
Provide an opportunity for employees to save for their own retirement through payroll deducation

 

Current Plan Information

 401(k)
Safe Harbor 401(k)
Simple 401(k)
Profit Sharing
Money Purchase
Defined Benefit
Target Benefit
403(b)
SEP
Simple IRA
Other:
  Plan Year End Date: Month Day Year
  Approximate Value of Plan Assets:
  Most Recent Statement Date: Month Day Year  
  Does your plan have a brokerage account?  
  As Employer/Sponsor, are you satisfied with the amount you and your key Employees can contribute to the Plan?  
  Match Contribution formula (if applicable):
  % up to % and % up to %
  Approximate Profit Sharing Contribution ($ or %):

 

Plan Sponsor Service Requirements

  Sponsor Internet Access:  
  Participant Internet Access:  
  Number of Fund Families:  
  Number of Investment Options:  

 

Investment Information
Who controls the investment

  Employee Contributions (if applicable):  
  Employer Matching Contributions (if applicable):  
  Employer Contributions (if applicable):  
  Are there any assets that are not liquid (e.g. GIC's, Real Estate, etc.)?  
  If yes, please list the type and % of the total fund:

 

Current Administration

  If you are dissatisfied with your current TPA, please check all that apply:
Customer Service
High Fees
 
Employee Education
Not Dissatisfied
 
Communication
Other:
  Are Loans Allowed?  
  Are Hardship Withdrawals Allowed?  
  Number of Fund Families:  
  Frequency of Plan Valuations:  
  Current Record Keeping:
  Compliance Testing:  
  Government Forms: 
  Plan Document and SPD: 
  Current annual fees for:
  Valuations: $ Government Reports:  $
  Loans:  $ Plan Document/SPD: $

 

Financial Consultant Information

Prefix:

First Name:
Last Name:
Title:
Company:
Address:
City, State, Zip:
     
E-Mail Adress:
Phone Number:
 - -   Ext.:
Fax Number
 - -

 

Accountant Information

Prefix:

First Name:
Last Name:
Title:
Company:
Address:
City, State, Zip:
     
E-Mail Adress:
Phone Number:
 - -   Ext.:
Fax Number
 - -

 

Attorney Information

Prefix:

First Name:
Last Name:
Title:
Company:
Address:
City, State, Zip:
     
E-Mail Adress:
Phone Number:
 - -   Ext.:
Fax Number
 - -

 

Additional Comments:

 

 

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