RecordkeeperDirect Commission-Based Install Kit | American Funds

Forms & Literature


RecordkeeperDirect® Commission-Based Installation Kit

Forms and instructions you need to establish a RecordkeeperDirect-American Funds 401(k), 403(b), money purchase or profit sharing plan.

For the forms and instructions you need for RecordkeeperDirect-Multifund, call (800) 421-9900.

Required Forms

Complete, sign and return each of these three forms:

RecordkeeperDirect Retirement Plan Specifications Part 1 of 2 (PDF)

This form is designed for commission–based financial professionals to collect data from the Plan Sponsor that is required to establish an American Funds RecordkeeperDirect retirement plan. This form must be submitted together with the RecordkeeperDirect Retirement Plan Specifications Part 2 of 2.

RecordkeeperDirect Retirement Plan Specifications Part 2 of 2 (PDF)

This form is designed for the third-party administrator to collect data that is required to establish an American Funds RecordkeeperDirect retirement plan. This form must be submitted together with the RecordkeeperDirect Retirement Plan Specifications Part 1 of 2.

RecordkeeperDirect Recordkeeping Services Agreement (PDF)

Defines the terms of the agreement between RecordkeeperDirect and the Plan Sponsor.

403(b) Custodial Services Documents (PDF)

For 403(b) plans only. Used to appoint Capital Band and Trust Company℠ as the plan custodian.

Optional Forms

401(k) Trustee Services Documents (PDF)

For 401(k) plans only. Complete if Capital Bank and Trust Company℠ will be the plan trustee.

RecordkeeperDirect Fee Disclosure Customization Request (PDF)

If requested by the plan sponsor, use this form to collect data for inclusion in the annual fee disclosure document.

Download all forms (ZIP)

Fiduciary Services

For plans seeking additional fiduciary coverage, American Funds makes available 3(21) and 3(38) fiduciary services through Wilshire Inc., an independent third-party fiduciary. Learn more about these services, including required paperwork to sign-up.


Remitting Your Forms

Mail your completed forms to the address below.

If a signature guarantee is not required on the RecordkeeperDirect Retirement Plan Specifications form, you can fax the completed paperwork to (855) 521-9952.

Via U.S. mail:

American Funds RecordkeeperDirect c/o Retirement Plan Services
P.O. Box 6040
Indianapolis, IN 46206-6040

Via express courier:

American Funds RecordkeeperDirect c/o Retirement Plan Services
12711 N. Meridian St.
Carmel, IN 46032-9181
Phone: (800) 421-6019


Investments are not FDIC-insured, nor are they deposits of or guaranteed by a bank or any other entity, so they may lose value.

Investors should carefully consider investment objectives, risks, charges and expenses. This and other important information is contained in the fund prospectuses and summary prospectuses, which can be obtained from a financial professional and should be read carefully before investing. For an investment offered through a group annuity, some of this information may differ and can be obtained from a financial professional.