Retirement Plan Solutions

Retirement Plan Services Disclosure Form

Broker/Financial Advisor
Name of Broker/Investment Advisor: / Erik A. Swenson, Retirement Plan Solutions
Years of financial industry experience: / 29+
Professional designations directly related to qualified retirement
plan operations and/or fiduciary awareness: / Accredited Investment Fiduciary®,Chartered Retirement Plans Specialist®
Does this person have qualified plan knowledge and expertise? / YES
Percent of work time spent working with qualified plans? / 90+%
Approximate percentage of prior three year investment revenue derived from ERISA qualified retirement plans? / 90+%
Qualified Plan Support Staff:
Team member/ support staff name: / Pam
Years of financial industry experience: / 24
Does this person have qualified plan knowledge and expertise? / YES
Percent of work time spent servicing qualified plan clients? / 90+%
Team member/ support staff name: / Kirsten
Years of financial industry experience: / 13
Does this person have qualified plan knowledge and expertise? / YES
Percent of work time spent servicing qualified plan clients? / 90+%
Team member/ support staff name: / Jennifer
Years of financial industry experience: / 12
Does this person have qualified plan knowledge and expertise? / YES
Percent of work time spent servicing qualified plan clients? / <20%
Team member/ support staff name: / Josh
Years of financial industry experience: / 4
Does this person have qualified plan knowledge and expertise? / YES
Percent of work time spent servicing qualified plan clients? / 90+%
Broker / Investment Advisor Model and Affiliation
Are you proposing to provide the services discussed herein as a: / Broker Investment Advisor
Broker dealer or Investment Advisory firm through whom you propose to provide the services described herein: / Investment Advisory Firm: National Retirement Partners Advisors, Inc.
Approximate total qualified plan assets that firm services: / $50+ Billion
401k Fiduciary Capacity and Investment Advice:
Does Broker/Investment Advisor have the ability to provide 401k services in a fiduciary capacity? / YES
Does Broker/ Investment Advisor have the ability to provide 401k Investment Advice to the employer/ plan fiduciaries? / YES
Does Broker/ Investment Advisor have the ability to provide 401k Investment Advice to the employees and their beneficiaries? / YES
Statistical Data:
The number of ERISA qualified plans you were the lead or sole broker or Investment Advisor for as of end the prior calendar year? / 42
The number of years you have been providing broker or Investment Advisor services to ERISA qualified plans? / 20+
The number of Requests for Proposal (vendor recordkeeping comparison searches) you and/or your staff have coordinated during this time (est.)? / 150+
The number of plan design, investment structure, or regulatory discussions, Annual Plan Fiduciary Reviews you provided for ERISA qualified plan clients during this time (est.)? / 250+
The number of group employee education programs you have presented for ERISA qualified plans during this time (est.)? / 250+
The number of individual employee assistance sessions in which you and/or your staff have provided personal assistance to employees with regard to their ERISA qualified plan participation, contributions or investment allocations during this time (est.)? / 2000+
Independent, Conflict of Interest:
Are you and your firm fully independent, with no affiliation with any administration, record keeping, investment company, or any other retirement plan services vendors? / Yes
Among a fiduciary’s fundamentalresponsibilities is the “avoidance ofconflicts of interest.” Should we select you, could anyone benefit financially in a manner that may not be in the best interest of plan participants or their beneficiaries? / No
If yes, please explain:
Written Disclosure of Services:
The Department of Labor states that ERISA qualified retirement plan fiduciaries are responsible for documenting their decision making process. Do you have a document that provides a comprehensive list of the qualified plan services your group provides that are custom tailored to each plan? If yes, please provide a copy to us. / Yes
Employer Feedback Regarding Services Advisor Provides:
Do you systematically employ an objective methodology through which your qualified plan clients objectively evaluate and report on the services you are providing to them? / Yes
If yes please provide a brief summary of this data, as well as the time frame to which it refers:
We send a Plan Vendor Services Review to our clients each year, and received the following data back from our clients in 2009 based upon the services we provided to them in 2008:Total scores received by clients: 95. On a scale of 1-10,
with 10 being the highest, we received 75-10’s, 14-9’s,3-8’s,2-7’s and 1-5.

The Broker/Investment Advisor named above states the above Information is true and accurate as of the date below:

Erik A. Swenson, Retirement Plan Solutions11/14/2009

Signature Date

Rev 111409