RecordkeeperDirect fee-based install kit

The following forms and instructions are needed to establish a RecordkeeperDirect® 401(k), 403(b), money purchase or profit-sharing plan with fee-based compensation.

RecordkeeperDirect Retirement Plan Specifications Part 1 of 2 (PDF)
This form is designed for fee-based financial professionals to collect required information from plan sponsors, and must be submitted together with Part 2 below.

RecordkeeperDirect Retirement Plan Specifications Part 2 of 2 (PDF)
This form is designed for third-party administrators to collect required information, and must be submitted together with Part 1 above.

RecordkeeperDirect Recordkeeping Services Agreement (PDF)
Defines the terms of agreement between RecordkeeperDirect and the plan sponsor.

FOR 403(b) PLANS ONLY: 403(b) Custodial Services Documents (PDF)
Used to appoint Capital Bank and Trust Company as the plan custodian.

Trustee Services Documents (not applicable to 403(b) plans) (PDF) 
Plan sponsors who want Capital Bank and Trust Company to act as the plan’s trustee must complete this form.

RecordkeeperDirect Fee Disclosure Customization Request (PDF)
Plan sponsors can use this form to collect customized information for the annual fee disclosure document.

RecordkeeperDirect Automatic Rollover IRA Employer Agreement (PDF)
Plan sponsors should return this agreement if the plan includes an automatic rollover provision. This agreement allows authorized signers to direct us to roll applicable terminated participant account balances to American Funds IRAs on an as-needed basis.

If plan sponsors want help selecting and monitoring investments, they can use their choice of any fiduciary services provider. In addition to others, Capital Group facilitates access to 3(21) and 3(38) fiduciary services from an independent third-party, Wilshire Advisors, LLC (Wilshire®).* See more information about these services, including the paperwork required to sign up.

If you have any questions or need help, please call us at (800) 421-9900.