8331 E Walker Springs Lane - Suite 301
Knoxville, TN 37923
(865) 246-1760
Financial Advisors Getting Started

Financial Advisors – Getting Started

In an effort to better serve you, we have streamlined our new business proposal and installation process. In connection with this, we have provided the various forms you will need:

  • Proposal Information - Once we have this information, we can order proposals from various investment providers on your behalf. We already have relationships with many investment providers and would welcome adding new firms you are interested in using.
  • Client Data Sheet - Information obtained from this form is required for accurate plan design and plan document creation.
  • Census -Complete fully and accurately for all current employees of the targeted firm if you are requesting plan design.
  • Fee Quote Request - Used to develop a formal RPC fee quote.
  • Plan Takeover List - These are the items/documents we must have in order to take over service of a plan.
  • Process Time Line - This states the general order for implementing a retirement plan.

 

 In order to protect your client's confidential information, please return the above completed forms via LeapFile. If you have any questions regarding the above forms or process, please contact New Business at (865) 246-1761.

 

Upcoming events

  • Filing Form 1099-R
    • February 29, 2012
    Deadline for filing Form 1099-R in paper formate with the IRS to report distributions made in the previous calendar year (or by March 31 if filing electronically).
  • Corrective Distributions Deadline
    • March 15, 2012
    Deadline for processing corrective distributions for failed actual deferral percentat/actual contribution percentage (ADP/ACP) tests without incurring 10% excise tax. Note: for non-calendar-plan years, the deadline is 2 1/2 months following the plan...
  • Form 1099-R Electonic Format
    • March 31, 2012
    Deadline for file Form 1099-R in electronic format with the IRS to report distributions made in the previous calendar year.
  • Initial Required Minimum Distributions
    • April 01, 2012

    Deadline for making initial required minimum distributions.

     

  • Plan Sponsor Disclosures
    • April 01, 2012

    For 2012 only, deadline for plan sponsors or other hiring fiduciaries to receive any disclosures required under the new service provider fee disclosure rules, based on current guidance.

    On an on-going basis these disclosures must be provided reasonably...

View full calendar
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