2. Advisory Platforms
Qualified accounts must be managed under the DOL Platform
Non-qualified accounts can either be managed under the DOL Platform or through the grid

3. New Accounts for Non-Advisory Reps

4. New Accounts for Advisory Reps

5. Advisory Services Agreement (ASA)
Advisor will receive a customized, DOL compliant ASA that is eight pages long
This ASA applies to all qualified accounts and any non-qualified accounts managed under the DOL platform
For non-qualified accounts not managed under the DOL platform, the six page ASA on FHC’s website should be used

8. Discounting Tiers

9. Discounting a Flat Fee

10. Financial Planning Services
Client Interview Form
Financial Planning Agreement
Invoice (Hourly or Flat Fee)
ERISA Disclosure – only required when the advisor is providing financial planning services to a participant of a 401k plan, not for the entire plan itself

11. Client Interview Form

12. Financial Planning Agreement

13. ERISA Disclosure

14. Hourly and Flat Fee Invoice Examples

15. Retirement Plan Account Form – two pages long
401k Plans
Retirement Plan Account Form – two pages long
Retirement Plan Services Agreement – six pages long

16. Retirement Plan Account Form

17. Retirement Plan Services Agreement

20. Questions?