RecordkeeperDirect fee-based install kit
RecordkeeperDirect® fee-based installation kit
Forms and instructions needed to establish a RecordkeeperDirect 401(k), 403(b), money purchase or profit-sharing plan with fee-based compensation.
Required forms
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. This form 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. This form 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 CompanySM as the plan custodian.
Optional forms
FOR 401(k) PLANS ONLY: Trustee Services Documents (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.
Fiduciary services
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.
* Wilshire’s recommendations are subject to any generally applicable limitation on the investment options available, including limitations imposed by the plan’s recordkeeper or financial professional. Plans that elect target-date mapping at plan conversion may only choose coverage under the 3(21) Select List. Wilshire is a registered service mark of Wilshire Advisors, LLC, Santa Monica, California. All other trade names, trademarks and/or service marks are the property of their respective holders. Wilshire is not an affiliate of any member company of Capital Group. Wilshire is solely responsible for the program material and its investment recommendations. The complete terms and limitations of Wilshire’s 3(21) Investment Adviser and 3(38) Investment Manager programs may be found in the applicable agreement between the plan sponsor and Wilshire.
Remitting forms
Via email (17 MB limit):
Via fax:
Via U.S. mail:
American Funds
RecordkeeperDirect c/o Retirement
Plan Services
P.O. Box 6040
Indianapolis, IN 46206-6040
Via express courier:
American Funds
RecordkeeperDirect c/o Retirement
Plan Services
12711 N. Meridian St.
Carmel, IN 46032-9181
Investments are not FDIC-insured, nor are they deposits of or guaranteed by a bank or any other entity, so they may lose value.
Investors should carefully consider investment objectives, risks, charges and expenses. For Non-American Funds, visit the website for the firm managing the applicable investment. For an investment offered through a group annuity, some of this information may differ and can be obtained from a financial professional.
All Capital Group trademarks mentioned are owned by The Capital Group Companies, Inc., an affiliated company or fund. All other company and product names mentioned are the property of their respective companies.
Use of this website is intended for U.S. residents only. Use of this website and materials is also subject to approval by your home office.
American Funds Distributors, Inc., member FINRA.
RecordkeeperDirect-Multifund investments are offered through a group fixed and variable deferred annuity (“group annuity”) issued by Great-West Life & Annuity Insurance Company, Corporate Headquarters: Greenwood Village, CO; or, in New York, by Great-West Life & Annuity Insurance Company of New York, Home Office: NY, NY. RecordkeeperDirect-Multifund is not available to 403(b), SEP or SIMPLE IRA plans, and is closed to new plans.
This content, developed by Capital Group, home of American Funds, should not be used as a primary basis for investment decisions and is not intended to serve as impartial investment or fiduciary advice.