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When we provide investment advice to you regarding your retirement plan account (eg. 401k, 403b, etc.) or individual retirement account (“IRA”), we are fiduciaries under the laws that govern retirement accounts. The way we make money creates some conflicts with your interests, so we operate under a rule that requires us to act in your best interest and not put our interest ahead of yours. This Rollover Analysis Form is being presented to you for review and signature as result of such laws and rules. Under this special rule’s provisions, we must: Meet a professional standard of care when making investment recommendations (give prudent advice); Never put our financial interests ahead of yours when making recommendations (give loyal advice); Avoid misleading statements about conflicts of interest, fees, and investments; Follow policies and procedures designed to ensure that we give advice that is in your best interest; Charge no more than is reasonable for our services; and Give you basic information about conflicts of interest.”

What best represents your family status?
What kind of retirement account action are we taking?

How did we work together on this action?

Client-Directed Action
Advisor Provided Solely Educational Info
Advisor Recommended Course of Action
Reasoning FOR rollover or retirement account action
Reasoning AGAINST rollover or retirement account action

The Department of Labor created the rule that necessitates this form in order to promote investment advice that is in the best interest of retirement investors. In order for us to render investment advice that is in your best interest, we need to know certain information about your current plan so that we can compare it with other available options. However, if you're comfortable with the above assessment done by you and your advisor, and you'd like to avoid doing additional work, then you can elect not to do this.

Would you like to do 1-3 hours of research on your current plan/IRA or are you comfortable with the above assessment?
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