Advisor Gateway

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Small Business 401k provides financial advisors with a valuable real-time "link" with plan sponsors and plan participants. As an advisor, you have an up-to-the-minute detailed view of all your clients' plans and monitor their participants' retirement holdings. The Advisor Gateway allows essential 401(k) accounting, testing and reporting functions but cannot initiate transactions via.

Advisors are able to view summary plan balances of all their plans on the 401k system, and view the specifics of each plan and individual participant accounts. To keep their clients informed about investments regarding the plan, the built in email message center allows the advisor to post bulletins and send/receive messages with plan sponsors and participants.

Advisors can view and print detailed histories of a variety of administration reports, including contribution statements for participants, allocation logs, loan activity, liquidations, transfers, and distributions. All Plan Reports are instantly created as Adobe PDF documents for printing or archiving.

The Global Audit Log maintains a record of ALL activity performed throughout the system, including activities at the general system administration level.

• Advisor can search for information by client, plan, date range, plan administrator, participant, and/or transaction type.

The Advisor can run the following tests and reports for any number of plans at will:

Tests:

• ACP Test-Section 401(m)
• ADP Test-Section 401(k)
• Calendar Year Deferral Limit Test-402(g)
• Compensation Nondiscrimination
• Maximum Annual Additions Test-415 (c)
• Ratio Percentage Test
• Top Heavy Test- Section 416

Reports:

• Age 50 Report
• Balance Less Than $5000
• Deferral Change Summary Report
• Distribution Activity Summary
• Investment Elections Report
• Loans-Activity Summary
• Loans-Delinquent Loans
• Loans-New Loan Summary
• Loans-Reconciliation
• Participant Address Report
• Participant Allocation Report
• Participant Contribution Summary
• Participant Hours & Compensation Summary
• Participant Statements
• Participant Synoptic Report
• Participant Vesting Detail
• Participant Vesting Summary
• Participation Allocation Summary
• Required Minimum Distributions