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Description

In a Trustee-Directed plan, all investments are owned at the plan level and all investment activity is directed by a trustee and/or self-employed individual. Plans include the following account types:

• 401(k)
• Pension Plan
• Profit Sharing Plan
• Other QRPs

Required forms

• Custody Fee Schedule
• QRP C-Share Application with Advisory Agreement - Trustee-Directed

Optional forms

• Request to Transfer Assets (Non-IRA)
  Please include copy of current statement with the Transfer Form

Qualified Retirement Plan accounts require additional documentation. Please submit a copy of the plan documents, Adoption Agreement, and IRS Determination Letter (if applicable) to Dunham with your application.

Description

In a Participant-Directed plan, all investments are directed by the individual participant. However, Dunham will not receive investment instructions from the individual participant. Plans include the following account types:

• 401(k)
• Pension Plan
• Profit Sharing Plan
• Other QRPs

Required forms

• Custody Fee Schedule
• QRP C-Share Application with Advisory Agreement - Participant-Directed

Optional forms

• Request to Transfer Assets (Non-IRA)
  Please include copy of current statement with the Transfer Form

Qualified Retirement Plan accounts require additional documentation. Please submit a copy of the plan documents, Adoption Agreement, and IRS Determination Letter (if applicable) to Dunham with your application.