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Retirement Plan SolutionsTD AmeritradeRetirement PlanProvided by TD Ameritrade Trust CompanyA simple, comprehensive solutiondesigned with advisors in mind.
Requested by advisors. Designed for your business.OverviewAt TD Ameritrade, we understand that independent Registered Investment Advisors(RIAs) expect powerful solutions that serve clients and drive success. That’s whywe’ve created a retirement plan program that fits the way you do business.The TD Ameritrade Retirement Plandelivers on your expectations and theexpectations of plan sponsors:The TD Ameritrade Retirement Plan brings together the unique retirement plan andcustodial experience of TD Ameritrade Trust Company as well as responsive andreliable recordkeeping, the outstanding brokerage services of TD Ameritrade, Inc.,and TD Ameritrade Institutional’s unrivaled focus on supporting independent RIAs. The ease of a turnkey solutionMore than the sum of its parts, this program includes the most sought-after featuresin one outstanding offering, satisfying the high expectations of advisors, plansponsors, and participants alike.A vast range of investment options. A turnkey solution. A trusted and establishedbrand. And more. Whether you aim to grow your thriving retirement plan businessor expand your current practice into the retirement plan arena, the TD AmeritradeRetirement Plan combines the best qualities of bundled and unbundled solutions,delivering everything you need in one place. A customized Playbook to guideyour business True open architecture with a broadselection of investment options No proprietary fund requirements Institutional MMDA is included toenable participants’ access to anFDIC-insured product* Exceptional support for advisors,plan sponsors, and participants Easy-to-understand, competitive pricing From a trusted and established brandwith a reputation for service866-827-5894 tdaretirementplansolutions.comRetirement Plan Solutions1
Advisor-centric designThe TD Ameritrade Retirement Plan was built at the request of independentadvisors. One of the only solutions in the marketplace developed exclusively forRIAs, the program’s design reflects TD Ameritrade Institutional’s unique insights intoadvisors’ business needs, making it stand out in a market full of look-alike solutions.True open architectureThe program provides access to more than 13,000 mutual funds, approximately1,100 ETFs, self-directed brokerage accounts, and advisor-managed portfolios.Our open architecture framework does not have proprietary fund requirements,giving you freedom, choice, and flexibility, and enabling the creation of a customizedinvestment menu. The Institutional Money Market Deposit Account is included toenable participants’ access to an FDIC-insured product.*An innovative solution powered by industryinsight and collective experienceTD Ameritrade InstitutionalProvides a proven commitment to theneeds of independent RIAsTD AmeritradeTrust CompanyTD AmeritradeProvides the reputation and valueof a trusted and established brandProvides unique experiencein retirement plan custodyThe TD AmeritradeRetirement Plan866-827-5894 tdaretirementplansolutions.comRetirement Plan Solutions2
A dynamic way toboost your businessBuilding a successful retirement plan business canbe an intimidating process. Whether you are newto the retirement plan industry or are a seasonedveteran in the field, the TD Ameritrade RetirementPlan Playbook is uniquely positioned to support yourspecific business goals with easy-to-follow actionitems and industry-proven best practices.From defining your practice structure and pursuing business developmentopportunities to setting up and servicing plans, our suite of tools provides customtailored strategies to foster your success at every stage. Our unique knowledge ofboth the retirement plan and RIA arenas provides fresh insights that may help toboost your business. Step-by-step, the Playbook will give you guidance as youdevelop a plan for success. Complete with useful resources, our Playbook is apowerful tool, created with advisors in mind, ever-evolving to fit your changingneeds, and designed to help you master this market.866-827-5894 tdaretirementplansolutions.comRetirement Plan Solutions3
Playbook overviewBusinessDevelopmentPracticeStructureTD AmeritradeRetirement PlanPlaybookServicingthe Plan866-827-5894 tdaretirementplansolutions.com Practice Structure: understand theretirement plan advisor’s role, expandyour investment expertise, andconsider your fee approach Business Development: identifyqualified leads, close deals, andreinforce your value proposition Setting Up the Plan: supportretirement plan investment committees,set up, and convert plansSetting Upthe Plan Servicing the Plan: provide ongoingsupport and bring your valueproposition to lifeRetirement Plan Solutions4
A simple, comprehensivesolutionSeamless integrationAll aspects of the TD Ameritrade Retirement Plan—from plan design support,recordkeeping, plan administration, and custodial services to fiduciary resources andparticipant education—have been seamlessly integrated to provide you and yourplan sponsors with a turnkey retirement plan program.Leveraging service contracts with leading recordkeeping firms, the program willprovide recordkeeping services that meet plan and participant needs and supporta continuous experience of quality for you and your clients.Exceptional support for plan sponsors & participantsThe program features a comprehensive suite of robust tools and materials. It enablesstreamlined account management for plan sponsors, participants, and advisors—including resources, enrollment support, retirement readiness planning tools, andeven IRA rollover assistance.**Clear, competitive pricingWe know clear pricing has never been more critical. TD Ameritrade is known forcompetitive, easy-to-understand pricing, and you can rest assured that, regardlessof plan size or investment type, our fees are structured to help you work with plansponsors as they seek to understand and uphold their fiduciary responsibilities.Please see information under separate cover for detailed plan fees.Strength, reputation, experienceAs an advisor, your confidence in us can go much deeper than our name.TD Ameritrade Institutional has a singular and established commitment to supportingindependent RIAs, helping advisors build business, and advocating for the RIA model.In addition, TD Ameritrade Trust Company and its employees have a long and robusthistory of providing custodial and trustee services in the retirement plan arena.866-827-5894 tdaretirementplansolutions.comRetirement Plan Solutions6
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The benefits of the TD Ameritrade Retirement Plan:For advisorsFor plan sponsorsFor participants A dedicated sales force Plan design support Enrollment support and materials Easy access to an experiencedand knowledgeable support team Plan documents andsupporting forms Retirement planningtools, including an onlineresource center A Playbook with advisor tools tohelp you build your business,sell and service retirement plans Full-service recordkeeping andplan administration Extensive materials, includingtools, a comprehensive planproposal, and educationalopportunities Compliance testing Form 5500 preparation Downloadable reports An open-architectureinvestment framework thatprovides you with great flexibilityto create and monitor yourclients’ investment menus Rollover assistance whenparticipants leave the plan** Easy access to accountinformation online or by phone Daily valuation of accounts Guaranteed timely payment ofmutual fund revenue sharing Custodial services Directed trustee services(may be available) Easy access to plan informationonline or by phone Seamless conversion andtransition processes866-827-5894 tdaretirementplansolutions.comRetirement Plan Solutions8
Designed with advisorsin mindTake the broad investment selection of trueopen architecture, and combine it with the easeand simplicity of a turnkey solution. Then addoutstanding service, robust tools, and the trustthat comes with the TD Ameritrade name.The result is the TD Ameritrade Retirement Plan—a solution specifically designed for you, plansponsors, and participants.1Key benefits of bundled solutions Simplify your business process2Key benefits of unbundled solutions Access true open architecture—with one of the broadestinvestment selections available3 Enjoy a comprehensive solutionfrom a single provider Avoid proprietary fundrequirements in our openarchitecture frameworkThe strength of a trusted brand Leverage our experience andour respected national brand Inspire confidence in plansponsors and participants Trust in our stability866-827-5894 tdaretirementplansolutions.comRetirement Plan Solutions9
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Learn more or request a proposal ons.comEMAIL RPS@tdameritrade.com*The TD Bank USA, N.A. Institutional Money Market Deposit Account (InstitutionalMMDA) is included as an investment option in your plan menu. The InstitutionalMMDA enables participants to have access to an FDIC insured product. In additionto the Institutional MMDA, the plan sponsor may select other cash or money marketoptions for the plan menu.**Advisors should seek independent legal counsel regarding potential conflicts of interestin connection with rollovers from plans that they advise.Custody, directed trustee, recordkeeping, plan design support, and plan administrationare provided by TD Ameritrade Trust Company, a non-depository trust company.tdaretirementplansolutions.comBrokerage services are provided by TD Ameritrade, Inc., member FINRA/SIPC.TD Ameritrade Trust Company and TD Ameritrade, Inc., are separate but affiliatedsubsidiaries of TD Ameritrade Holding Corporation (“TD Ameritrade”). TD Bank USA,N.A., TD Ameritrade, Inc., and TD Ameritrade Trust Company are affiliated through theirparent companies. Business development support, guidance, and tools are providedto independent registered investment advisors by TD Ameritrade Institutional, a divisionof TD Ameritrade, Inc. TD Ameritrade is a trademark jointly owned by TD AmeritradeIP Company and The Toronto-Dominion Bank. 2016 TD Ameritrade IP Company, Inc.T 518823 12/31/2018TDTC 4299 BR 12/16
866-827-5894 tdaretirementplansolutions.com Retirement Plan Solutions 3. Building a successful retirement plan business can be an intimidating process. Whether you are new to the retirement plan industry or are a seasoned veteran in the field, the TD Ameritrade Retirement Plan
