When submitting the forms to us electronically, please use a secure method such as uploading to the “_Client Uploads” folder of your ShareFile account. Please note that an attachment to a general email is not secure. Download and print any of the forms that you prefer to complete by hand or return to us in hard copy.
Data Request Forms
We need compliance information for each plan that we administer and/or include in non-discrimination testing.
Information Checklist (PDF)Back to top
If this is the first year of the plan or you need more room than is provided on the Information Checklist to indicate changes to information previously provided, then please also complete the Plan Questionnaire.
Plan Questionnaire (PDF)Back to top
This form is required for all plans that cover employees other than owners and their spouses. For more information on bonding requirements, please see our Bonding Requirements Memo (PDF).
Bonding and Audit Requirements (PDF)Back to top
The administrative report we prepare and the 5500 forms require that we not only know the balance of plan assets, but also have sufficient information to reconcile the change in value during the year. In order to do so, an accounting of the trust must be performed. This may be done by you or the plan trustee, your accountant, or by us.
Asset Information Packet (PDF)Back to top
If your plan has a 401(k) feature, please complete a 401(k) Deposit Summary.
401(k) Deposit Summary (PDF)Back to top
If your plan contains insurance products, we will need additional information to complete the administration. The Insurance Information PDF includes a detailed list of the information we will need on the policies.
Insurance Information (PDF)Back to top
If you would like IAI to prepare the Form(s) 1099-R for your plan(s) for distribution(s) made during the year, please download and complete one of these forms for easy electronic completion of this request.
1099-R Worksheet (Excel Worksheet)
1099-R Worksheet (PDF)Back to top
New Plan Forms
Complete the below forms to request a plan design study for a new plan.
Study Information Request – Employer Information (PDF)
Study Information Request – Census Data (Excel Worksheet)Back to top
Each plan participant should have a completed beneficiary designation form as part of the plan’s records.
Beneficiary Designation Form – Defined Benefit Plan (PDF)
Beneficiary Designation Form – Defined Contribution Plan Without Joint & Survivor Requirements (PDF)
Beneficiary Designation Form – Defined Contribution Plan With Joint & Survivor Requirements (PDF)Back to top
Each new 401(k) plan participant must complete a salary deferral agreement to elect whether or not they would like to defer compensation. This form can also be used for existing participants who would like to change their election.
Salary Deferral Agreement Election Form – Traditional 401(k) Deferrals Only (PDF)
Salary Deferral Agreement Election Form – Traditional & Roth 401(k) Deferrals (PDF)Back to top
Participants are required to receive the appropriate notice no more than 180 days prior to the date their pension is scheduled to commence if any part of their benefit is eligible to be rolled over to an IRA or other qualified plan.
IRS Notice – Your Rollover Options – Roth Account (PDF)
IRS Notice – Your Rollover Options – No Roth Account (PDF)Back to top