Plan Sponsor Direction for Plan Implementation. In connection with the initial selection of XXXx (the “New Menu Options”) for the Plan by IRON in its discretion as the Plan’s Investment Manager, the investments for participants under the Plan will be transitioned as follows: Mapping: IRON will map the Plan’s existing investment alternatives into the New Menu Options as described in Appendix D. The mapping of investment alternatives may be implemented as an internal transfer where Nationwide serves as the Record-keeper both before and after such mapping, or as part of an administrative conversion in which the Plan is transitioned from an unrelated Record-keeper to Nationwide. Plan Re-enrollment: The participants under the Plan will re-enroll, and participants will complete new investment election forms populated with the New Menu Options. Sponsor must select an option above. Nationwide must be notified immediately if the selection above is changed.
Plan Sponsor Direction for Plan Implementation. In connection with the initial selection of XXXx (the “New Menu Options”) for the Plan by IRON in its discretion as the Plan’s Investment Manager, the investments for participants under the Plan, when it is not a newly created plan that has not yet received funding, will be transitioned as follows: Mapping: IRON will map the Plan’s existing investment alternatives into the New Menu Options as described in Appendix D. The mapping of investment alternatives may be implemented as an internal transfer where Nationwide serves as the Record-keeper both before and after such mapping, or as part of an administrative conversion in which the Plan is transitioned from an unrelated Record-keeper to Nationwide.
Plan Sponsor Direction for Plan Implementation. The Plan Sponsor by accepting and acknowledging this Agreement represents that performance of the Agreement is within the scope of the activities authorized by the Plan and applicable laws and that he or she is duly authorized to negotiate, enter into, and renew this Agreement on behalf of the Plan. Each party represents to the others that the person executing this Agreement on its behalf is duly authorized and empowered to execute this Agreement. IRON Fiduciary, an offering by Creative Planning, LLC and the Plan Sponsor hereby agree with the provisions set forth in this Agreement, including all Appendixes, and the verification set forth above. The Parties have executed this Agreement as of , 20 _ the Effective Date. (Date: MM/DD) (YY) Sponsor/Responsible Plan Fiduciary Plan Sponsor Signature: Plan Sponsor Printed Name: Plan Sponsor Title: Plan Sponsor Address: (Street) (City) (State/Zip) Plan Sponsor Email: IRON Fiduciary, an offering by Creative Planning, LLC IRON Representative Signature: IRON Representative Printed Name: Xxxxxx Xxxxx IRON Representative Title: Chief Investment Officer, Fiduciary Services Nationwide hereby agrees with the provisions set forth in Appendix D. NATIONWIDE Nationwide Representative Signature: Nationwide Representative Printed Name: Nationwide Representative Title: 15 of 28 ERISA Fiduciary 3(21) Investment Advisory Agreement APPENDIX A Retirement Plan Client Profile SECTION I: COMPANY & PLAN INFORMATION Company Name: Company Address: Plan Type: Name of Responsible Plan Fiduciary (the person(s) authorized to enter into arrangements for service on behalf of the Plan) : Company Phone: Company Fax: Company Email: Is the Company USA-based? Yes Other: TIN: DBA: Number of Company Locations: State(s) in which there are Company Location(s): Current Designated Investment Alternatives: Current Money Market or Cash Equivalent: Description of Business: (i.e. manufacturing, consulting, etc.) Does the Plan have a preexisting relationship with IRON Financial or an affiliate? Yes No If Yes, please describe: Does the Plan own any IRON Financial affiliated products? Yes No If Yes, please list: _ Assets as of: Projected Annual Cash Flow: PLEASE COMPLETE DATA BELOW – PLAN CANNOT BE SET UP WITH OUT THIS DATA Advisor/Broker Name: Phone No. Email Address TPA Name: Phone No. Email Address Plan Trustee Name: Phone No. Email Address 16 of 28 ERISA Fiduciary 3(21) Investment Advisory Appendix B Schedule of Services IRON shall provide only the se...
