Run-it-yourself 401k software, 401k plan conversions,

Thank you for your interest in Advisors 401(k)!

Your Advisors 401(k) plan, like any quality 401k plan, is customized at no extra cost to your company's particular needs and employee benefits interests. With Advisors 401(k), you have discretion over...

Your plan's investment choices.

Your plan's participation eligibility requirements.

Whether or not your plan will use automatic enrollment.

Whether or not your plan will offer employer matching contributions and, if so, the rate at which those contributions will be made.

The rate of vesting to be applied to any matching contributions being made.

Whether or not your plan will permit
401k loans.

We hardwire each of your customization decisions into your Advisors 401(k) software before mailing your package out to you. Your plan-specific Advisors 401(k) software will integrate all relevant aspects of your plan into each of its processing functions -- drastically reducing the work you have to do!

Please complete the below First Plan Advisors
401(k) Order Form. For any plan customization item about which you are undecided or would like some help or additional information, please mark the "contact us with help..." button.

If you already have a 401k plan or other retirement plan and are interested in converting it to a Advisors 401(k) run-it-yourself plan, please use our Conversion Plan Order Form.

What happens after I complete the order form?

-- An Advisors 401(k) representative will call you to go over any items about which you mark "unsure" and to collect additional information needed for your plan's official Summary Plan Description (SPD) and Prototype Plan Adoption Agreement.

-- As soon as we receive your $795 Advisors 401(k) first-year-only setup fee (this fee is nonrefundable), we'll customize your software and process your SPD and Adoption Agreement.

-- We'll send drafts of your SPD and Adoption Agreement to you for your review and signature. You'll also be given the opportunity to download a pdf of the actual IRS-approved Prototype Plan Document should you wish to review this detailed, 98-page document.

-- After reviewing the SPD and Adoption Agreement, if the two documents meet with your approval, simply sign the Adoption Agreement and send it back to us with your annual fee (that's the fee that varies with plan size). Your annual fee is fully refundable under our 15-day money-back guarantee should you be dissatisfied with any aspect of your customized Advisors 401(k) system.

-- As soon as we receive your signed Adoption Agreement and payment we will ship your customized software and companion materials. We'll also supply you with the name and contact information of your Advisors 401(k) Setup Consultant, who will help you get your plan up and running -- should you need any help!

Depending on how quickly you get back to us, the whole process typically takes less than two weeks!

Advisors 401(k) First Plan Order Form for companies with no previously established 401(k) plan or other company retirement plan
1) Will this be your company's first 401k plan or are you replacing an already-existing plan?	First 401k plan Already-existing 401k plan to be converted to a Advisors 401(k) plan (STOP!!! Please use our Plan Conversion Order Form instead of this New Plan Order Form. Thank You.)
Part I:Company Information...
2) Company name:
3) Contact person:
4) Title:
5) Phone:	-
6) Fax:	-
7) E-mail:
8) Your 401(k) decision-making role:	Sole decision maker Making recommendation Leading committee to gather information Member of committee to evaluate options Interested employee Unsure. Please contact me with help regarding this item.
9) Company address:
10) City:
11) State:
12) Zip:
9-12alt) Company mail-to address:	Use address listed above as mail-to address Use other address:
13) Federal ID number:
14) Date business commenced:
15) Type of entity:	Please indicate your company's type: C Corporation Professional Service Corporation S Corporation Sole Proprietorship Partnership Limited Liability Company taxed as (check one)... Partnership or Sole Proprietorship Corporation S Corporation other: Is your company a member of a controlled group? Yes No Unsure. Please contact me regarding this question. Is your company a member of an affiliated service group? Yes No Unsure. Please contact me regarding this question.
16) # of employees on payroll:
17) Fiscal year on which business is run:	January 1 - December 31 Other: Unsure. Please contact me regarding this item.
18) Computer system:	Advisors 401(k) runs on Windows 98 and above. Is your computer running Windows 98 or above? Yes No Unsure. Please contact me regarding this item.

Part II:Plan Information...

Note:

Complete the below ONLY if the Advisors 401(k) plan will be your company's FIRST retirement plan ever.

If your company already has a retirement plan and will be having Advisors 401(k) replace that plan, please use our Plan Conversion Order Form instead of this New Plan Order Form. Thank You.

19) Potential size,
in number of employees,
of your Advisors 401(k) plan:

Number of full-time employees currently on your payroll:

2-4

5-10

11-15

16-20

21-25

26-30

31-35

126-150

151-175

46-50

more than 50

Unsure. Please contact me regarding this item.

20) Plan Administrator:

Who at your company will serve as Plan Administrator for your Advisors 401(k) plan? If you don't know who will serve as your Plan Administrator, mark the "Unsure. Please contact..." box below.

will serve as Plan Administrator for our Advisors 401(k) plan. His/her phone number is , and email address is . Optional: His/her title ("Controller," "CFO," "President" etc.) is .

Unsure. Please contact us about naming a Plan Administrator.

21) Plan Trustee(s):

Who at your company will serve as your Advisors 401(k) plan's Trustee(s)? Please include his/her/their title(s) (such as "CFO"), as applicable. If you are unsure who will serve as your plan's trustee(s), mark the "Unsure. Please contact..." box below.

Trustee(s) phone number(s): .

Unsure. Please contact us about naming a Plan Administrator.

22) Compliance test preferences:
(remember, just mark "Unsure" if you want help with any item; compliance test preferences is something people new to 401k plans usually need help with)

You have some flexibility regarding the parameters by which the IRS compliance tests your plan will have to pass each year are run. Your Advisors 401(k) software will have your preferences hardwired into it so you can run accurate compliance tests as often as you like (we recommend monthly) from your Advisors 401(k) software to keep you apprised of your plan's health and help ensure your plan passes its critical year-end tests.

The determination of Highly-Compensated versus Non-Highly-Compensated Employees for your plan will be based on the previous year's wages. Would you like your plan to limit the definition of Highly-Compensated Employees to "the top 20% of employees"?

Yes (recommended)

Unsure. Please contact me regarding this item.

23) Age requirement for participation
in Advisors 401(k) plan:

What age requirement do you want use for your Advisors 401(k) plan?

None

Other (please specify):

Unsure. Please contact me regarding this item.

24) Length of Service requirement for your
Advisors 401(k) plan?

What length of service requirement do you want use for participation in your Advisors 401(k) plan?

None

Three (3) months of service with the company

Six (6) months of service with the company

One (1) year of service with the company

Other (please specify):

Unsure. Please contact me regarding our Advisors 401(k) plan length of service requirement.

25) Participation exclusions:

Would you like to exclude any categories of employees from participation in your Advisors 401(k) plan?

Yes

Unsure. Please contact me regarding participation exclusions used in our existing company plan.

If "Yes", please identify the classes of employees you'd like to exclude from participation in your Advisors 401(k) plan: (check all that apply)

Union members

Non-resident aliens

26) Automatic enrollment:

Do you want your Advisors 401(k) plan to use automatic enrollment?

Yes No Unsure. Please contact me regarding this item.

If "Yes", what would you like the default contribution rate to be for automatically enrolled participants?

Not applicable. Do not want auto enrollment used in our Advisors 401(k) plan.

3% 4% 5%

Unsure. Please contact me regarding using auto enrollment in our Advisors 401(k) plan.

27) Employer contributions:

Your company can contribute to plan participants' accounts in either (or both) of two ways: (1) matching contributions and/or (2) profit-sharing contributions. Matching contributions are defined in terms of participant contributions (e.g., 50¢ contributed by the employer for each dollar contributed by the plan participant), whereas profit-sharing contributions are tied to some other variable, such as compensation.

1) Will your company be making any EMPLOYER MATCHING CONTRIBUTIONS to employees' accounts?

No employer matching contributions will be made.

Our company will make matching contributions at a rate of % (e.g., 50%) to each dollar our participants defer into the plan.

Our company will make matching contributions at a rate of % (e.g., 50%) to each dollar our participants defer into the plan, up to a maximum annual matching contribution of $ per participant per year.

Other:

Unsure. Please contact me regarding employer matching contributions.

2) Would your company like to have the option of being able to make DISCRETIONARY EMPLOYER CONTRIBUTIONS (i.e., profit-sharing contributions) to employees' accounts?

No, we do not want the option of even possibly making profit-sharing contributions.

Yes, our company will POSSIBLY make profit-sharing contributions in an amount to be determined by our company. AND DOES NOT want contribution amounts to be limited to current or accumulated net profit. (Checking this option in no way obligates your company to making any actual contributions, it simply leaves open the possibility that you might.)

Yes, our company will POSSIBLY make profit-sharing contributions in an amount to be determined by our company AND DOES want contribution amounts to be limited to current or accumulated net profit. (Checking this option in no way obligates your company to making any actual contributions, it simply leaves open the possibility that you might.)

Unsure. Please contact me regarding profit-sharing contributions.

3) Would your company like to have the option of being able to make QUALIFIED NONELECTIVE CONTRIBUTIONS to employees' accounts?

No (except as needed for discrimination test corrections).

Yes, our company will POSSIBLY make qualified nonelective contributions in an amount to be determined by our company. (Checking this option in no way obligates your company to making any actual contributions, it simply leaves open the possibility that you might.)

Yes, our company will make qualified nonelective contributions equal to % of the total compensation of all participants eligible to share in the allocations.

Unsure. Please contact me regarding profit-sharing contributions.

28) Vesting of any
employer contributions:

"Vesting" refers to ownership. For instance, if you pick Schedule D below and a plan participant leaves your company after 2 years, he or she will only be entitled to 20% of any relevant employer contributions made by your company to his or her account. The remainder will go into a pool that your company can choose to use for employer contributions owed to other participants.

What vesting formula do you want to use for any employer contributions? Mark your choice for any profit-sharing contributions in column P-S Contribs and for any matching contributions in column Match Contribs.

P-S
Contribs Match
Contribs
Vesting Schedule

Not applicable (no employer contributions, so no vesting)

SCHEDULE A: 100% immediate vesting

SCHEDULE B:
0-2 years
3 years

=
=
0% vested
100% vested

SCHEDULE C:
WARNING: not recommended due to likelihood of causing top heavy testing problems.
0-4 years
5 years

=
=
0% vested
100% vested

SCHEDULE D:
0-1 years
2 years
3 years
4 years
5 years
6 years

=
=
=
=
=
=
0% vested
20% vested
40% vested
60% vested
80% vested
100% vested

SCHEDULE E:
1 year
2 years
3 years
4 years

=
=
=
=
25% vested
50% vested
75% vested
100% vested

SCHEDULE F:
1 year
2 years
3 years
4 years
5 years

=
=
=
=
=
20% vested
40% vested
60% vested
80% vested
100% vested

Other:

Unsure. Please contact me regarding the vesting schedule(s) to use for our 401k plan.

29) Loans:

Do you want your Advisors 401(k) plan to allow for 401k loans (that is, for participants to borrow from their accounts)?

Yes

Unsure. Please contact me regarding this item.

30) Advisors 401(k) plan investments
INVESTMENT TYPE:

(view investment listings)

Please indicate the TYPE of investments you prefer for your Advisors 401(k) plan:

Class A Mutual Funds only (requires your existing plan have $1 million or more in assets)

Class B Mutual Funds only

Class C Mutual Funds only

Unsure. I will contact my investment advisor regarding the type of mutual fund investments to offer within our Advisors 401(k) plan.

31) Investments --
INVESTMENT FAMILY:

(view investment listings)

Please indicate the family of funds and/or the brokerage account you wish to offer within your Advisors 401(k) plan (for example, John Hancock Class B mutual funds or MFS Class C mutual funds). If you have not already done so, you should look through our investment listings to view your options:

Unsure. Please contact me regarding the exact investment family and/or brokerage account to offer within our Advisors 401(k) plan.

32) Safe Harbor Designations:

The IRS allows 401k plan sponsors an alternative to subjecting their 401k plans to annual discrimination testing. The safe harbor method of plan operation lets employers instead make certain contributions to the plan, with immediate vesting of the contributions to employees' 401k accounts.

Do you want to operate your 401(k) Easy plan as a safe harbor 401(k) plan?

Yes

No (you can skip the rest of this section 32)

Unsure. Please contact me regarding operating our 401k plan as a safe harbor plan.

If you are choosing to operate your 401k plan as a safe harbor plan, which employer contribution formula would you like to employ?

Not applicable (don't want to use the safe harbor method)

Make a qualified nonelective contribution equal to 3% of compensation to each eligible employee's account. (Note: Qualified nonelective contributions are made to ALL eligible employees accounts, regardless of whether the persons participate in the company 401k plan.)

Make a dollar-for-dollar matching contribution to non-highly-compensated employees on salary deferrals up to 3% of compensation and 50¢ to the dollar matching contributions to non-highly compensated employees on salary deferrals of 3% to 5% of compensation, making sure not to exceed these rates in any matching contributions made to highly compensated employees. (Note: Matching contributions, because they're based upon salary deferral amounts, are made only to currently-participating employees' 401k accounts.)

Unsure. Please contact me regarding the type of 401k safe harbor contribution to make.

If you are choosing to operate your 401k plan as a safe harbor MATCHING CONTRIBUTION plan, how often do you want your employer contributions to be made?

Not applicable (don't want to use the safe harbor method)

Annually

Per payroll period

Per month

Per quarter

Unsure. Please contact me regarding the frequency of making our 401k safe harbor employer contributions.

33) Financial advisor information:

Please name your Financial Advisor for your Advisors 401(k) plan. Your Financial Advisor will be the designated Broker of Record for your Advisors 401(k) mutual fund investments. He/She must be registered with either the NASD or the SEC to be eligible to receive sales commissions from the mutual fund companies you select.

Your Financial Advisor's Name:

Your Financial Advisor's Firm:

Your Financial Advisor's Phone Number:

Your Advisor's NASD or SEC Registration Number:

Part III:Advisors 401(k) Shopping Cart...

34) The price of your Advisors 401(k) system is a function of your plan's size:

(Advisors 401(k) is licensed on a calendar year basis, which requires the purchase of a new license at the beginning of each New Year)

Plan Size
(in number of eligible employees) Advisors 401(k) Price
for your custom 401k plan
and plan administration system

2-4 $695 per year

5-10 $895 per year

15-20 $995 per year

21-25 $1195 per year

26-30 $1395 per year

31-35 $1595 per year

36-40 $1795 per year

41-45 $2095 per year

46-50 $2295 per year

50+ eligible employees $2495 plus $225 for each additional 5 eligible employees

35) One-time, first-year-only setup fee ($795 for all plans):

36) TOTAL (system + setup fee):

Part IV:Payment Preference...

NO PAYMENT IS DUE AT THIS TIME.
We will contact you within 24 hours of receiving your order to confirm your designations, answer any questions you have, and give you quotes on any Additional Items you've requested.

37) Do you prefer to be contacted regarding your order by telephone or e-mail?

contact by phone

contact by e-mail

When your Advisors 401(k) representative calls you to go over any items about which you marked "unsure" and to collect additional information needed for your plan's official Summary Plan Description (SPD) and Prototype Plan Adoption Agreement, you will be able to pay your Advisors 401(k) customization fee using your Visa, Mastercard, American Express Card, or by check through the mail; there is a five-day holding period on all check orders.

As soon as we receive your payment we will customize your software, prepare official documents for your review, then send out your customized system. You can have your 401(k) up and running within two weeks -- or less!

38) How will you prefer to pay for your Advisors 401(k) system when we contact you?

credit card via phone

credit card via e-mail

check

Part V:How did you hear about us?

39) One last thing before you submit your order: Please tell us how your heard about Advisors 401(k)!

Financial planning professional, friend or colleague. Please list the person and/or company name:

Linked to the Advisors 401(k) website from another website. Please tell us the name of the site and/or company sponsoring it:

Web search. Please list the browser and search term(s), if you remember them (e.g., Netscape, 401k software):

Business or trade publication. Please give the name of the publication:

Other. Please explain:

40) Now please look over our User's Agreement, then submit your order or inquiry. (Submitting an order acknowledges that you have read and accept our User's Agreement but in no way obligates you to making any purchase.)

401k Pro, INC.
4570 Van Nuys Blvd., Suite 550 Sherman Oaks, CA 90024
(800) 660-0050 phone (818) 501-4050 fax sales@401k-network.com email

mutual funds investments | Class A mutual funds | Class B mutual funds | Class C mutual funds