RSP Form – Fact Finding

Step 1 of 2

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Legal Entity Name(Required)

First

Legal Entity Address(Required)

Street Address Address Line 2 City State ZIP Code

Legal Entity Phone(Required)

Owner Name(s)(Required)

Owner(s) Emails(Required)

Years in Business(Required)

Business Entity Type(Required)

S-Corp

C-Corp

LLP

501(c)(3)

Government

LLC taxed as an S-Corp

LLC taxed as a Partnership

Sole Proprietor

Partnership

Other

What is your SIC/NAIC code (This is normally found on box B of Corporate return)

Tax ID(Required)

Fiscal Year-End(Required)

Main Point of Contact Name (if different from owner)

First Name Last Name

Main Point of Contact Email (if different from owner)

If you/the owner(s) of the company listed on this application have ownership in any other company(ies), please provide the following information for each entity:

Does your Company belong to a controlled group, parent group, or affiliated service group?*(Required)

Yes

I Don't Know

Do you/the owner(s) of this Company have ownership in any other Company(ies)?(Required)

Yes

If yes, does the entity employ any W-2 ("common law") employees?(Required)

Yes

Hidden

Company Name:

List All Owner’s Name(s) and Percentage of Ownership

1. Company Name(Required)

1. Percentage of Ownership(Required)

2. Company Name(Required)

2. Percentage of Ownership(Required)

3. Company Name(Required)

3. Percentage of Ownership(Required)

4. Company Name(Required)

4. Percentage of Ownership(Required)

Attach an Addendum if More Companies Need To Be Listed

Max. file size: 200 MB.

Contact Information

Financial Advisor Name

First Last

Financial Advisor Firm Name

Financial Advisor Phone

Financial Advisor Email

Who referred you to us?

What is the Firm's name?

Accountant Name

First Name Last Name

Accountant Firm Name

Accountant Phone

Accountant Email

Company Retirement Plan Data

Do you have an existing Retirement Plan?(Required)

Yes

Please select the type(s) of Retirement Plan(s)(Required)

SIMPLE

SEP

401(k)

Profit Sharing

Pension

Other

What calendar year was your SIMPLE Plan last funded?(Required)

What calendar year was your SEP Plan last funded?(Required)

Is your 401(k) Plan currently under a Safe Harbor election?(Required)

Yes

Please provide the latest 401(k) Plan tests: Actual Deferral Percentage (ADP) / Actual Contribution Percentage (ACP)(Required)

Accepted file types: pdf, Max. file size: 300 MB.

Safe Harbor Election Type:(Required)

Non-Elective

Matching Equation

Please attach the Summary Plan Description (SPD) or an Adoption Agreement(Required)

Accepted file types: pdf, Max. file size: 300 MB.

Please attach the Summary Plan Description (SPD) or an Adoption Agreement(Required)

Accepted file types: pdf, Max. file size: 300 MB.

Is your Profit Sharing Plan combined with your 401(k) or Stand Alone?(Required)

Combined with your 401(k)

Stand Alone

Are participant forfeitures?(Required)

Distributed to the vested employees

Used to offset future vested employees?

I don’t know for sure.

Please attach the Summary Plan Description (SPD) or an Adoption Agreement(Required)

Accepted file types: pdf, Max. file size: 300 MB.

Please provide the latest Actuarial Valuation(Required)

Accepted file types: pdf, Max. file size: 300 MB.

Other - Retirement Plan(s)(Required)

What tax year are you looking for this new plan design to start?(Required)

Hidden

When was the last time you reviewed your plan with your plan advisor?(Required)

Hidden

If there was just one improvement you could make to your current plan, what would that be?(Required)

Hidden

How well is the plan working for you and your employees/is your current plan accomplishing the goals you established when you implemented it?(Required)

Hidden

If I asked you, "What are the total costs of your current plan”, could you answer that question?(Required)

What are your goals and objectives when it comes to sponsoring a Retirement Plan? Please rank the below items 1-3. 1 = Most Important*

Attract and retain employees.(Required)

Rank 1

Rank 2

Rank 3

Rank 1-3. 1 = Most Important

Maximize personal retirement savings.(Required)

Rank 1

Rank 2

Rank 3

Rank 1-3. 1 = Most Important

Maximize my corporate tax deduction.(Required)

Rank 1

Rank 2

Rank 3

Rank 1-3. 1 = Most Important

Any additional goals and objectives?

What are the three (3) highest consecutive annual W-2 earnings (or self-employment earnings?) for each owner?(Required)

Hidden

What are the three (3) highest consecutive annual W-2 earnings (or self-employment earnings) for each owner?(Required)

IMPORTANT: Thank you for taking the time to complete our questionnaire. The next step is to download and complete a company Census. Click on the link below to download the Census Template. You can 1) complete the Census now and upload the spreadsheet here or, 2) you can submit this questionnaire and provide the Census after you’ve had more time to complete the spreadsheet. We will send you a follow-up email with a link to upload your completed Census. Census Template Excel

Please upload the Census Data spreadsheet for your Company's W2 employees

Accepted file types: pdf, Max. file size: 300 MB.

Your Name(Required)

First Name Last Name

Your Email(Required)

Phone

This field is for validation purposes and should be left unchanged.

RSP Form – Fact Finding

Contact Information

Company Retirement Plan Data

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