Rollover Disclosure Questionnaire Our Fiduciary Commitment to You When we provide investment advice regarding your retirement account, we act as fiduciaries under federal law (ERISA and the Internal Revenue Code). This means we are legally required to: Give you prudent advice based on a professional standard of care. Give you loyal advice, putting your interests ahead of our own. Charge only reasonable fees and avoid misleading statements. Understanding Our Conflicts of Interest. We have a conflict of interest because we earn more money (management fee) if you roll your assets into an account managed by us. While our interests are aligned, the more assets you have with us, the more you will pay us. We disclose this so you can make an informed decision about our recommendation. Your truFP financial planner completed the questionnaire below to document the reasoning for the recommendation and adhere to Department of Labor’s PTE 2020-02 rule.Date MM slash DD slash YYYY AdvisorAdvisor's Name First Last Advisor's Email(Required) Client InformationClient's Name(Required) First Last Client's Email(Required) Client's PhoneClient's Address Street Address Address Line 2 City AlabamaAlaskaAmerican SamoaArizonaArkansasCaliforniaColoradoConnecticutDelawareDistrict of ColumbiaFloridaGeorgiaGuamHawaiiIdahoIllinoisIndianaIowaKansasKentuckyLouisianaMaineMarylandMassachusettsMichiganMinnesotaMississippiMissouriMontanaNebraskaNevadaNew HampshireNew JerseyNew MexicoNew YorkNorth CarolinaNorth DakotaNorthern Mariana IslandsOhioOklahomaOregonPennsylvaniaPuerto RicoRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahU.S. Virgin IslandsVermontVirginiaWashingtonWest VirginiaWisconsinWyomingArmed Forces AmericasArmed Forces EuropeArmed Forces Pacific State ZIP Code QuestionsQuestion 1: Is this client receiving a specific recommendation to roll over assets, or is this strictly for general education?(Required) Specific Rollover Recommendation General Education Only Question 2: How did you obtain the current retirement plan information?(Required) Client provided statements/disclosures I made diligent and prudent efforts, but used reasonable estimations for missing data. If so, please explain. Explain reasonable estimations for missing data.(Required)Asset ValueAsset Value(Required)Current & Recommended PlansCurrent PlanRecommended PlanInvestment OptionsInvestment Options - Current Plan 1 - 10 10 - 25 25 - 50 50+ Investment Options - Recommended Plan 1 - 10 10 - 25 25 - 50 50+ Mutual Fund or ETF Expenses (avg)Mutual Fund or ETF Expenses (avg) - Current PlanMutual Fund or ETF Expenses (avg) - Recommended PlanManagement FeeManagement Fee - Current PlanManagement Fee - Recommended PlanOther FeesOther Fees - Current PlanOther Fees - Recommended PlanServices OfferedServices Offered - Current Plan Investment Management Retirement Planning Tax Planning Estate Planning Risk Management Custody Services Offered - Recommended Plan Investment Management Retirement Planning Tax Planning Estate Planning Risk Management Custody Summary of RecommendationWhy is this rollover in the client's best interest?(Required) Features and benefits of the recommended plan outweigh the current plan. Features and benefits of the recommended plan are equivalent to the current plan. The current plan offering is clearly below industry standards for investment options, accessibility, and/or fees. By proceeding with this rollover, you acknowledge that you have reviewed this analysis and understand our fiduciary role and the associated conflicts of interest. Δ
