01/07/2026
Solo Defined Benefit and ERISA 403(b) Now Available

Exciting News! Solo DB and ERISA 403(b) Document Services Are Here — Plus, Check Out the New Solo DB Advisor Fact Sheet!

Ascensus

Ascensus Retirement Services

Ascensus, a leading retirement plan solutions provider, will act as the pre-approved sponsor for your client's retirement plan document. As one of the largest qualified retirement plan platforms in the country, we offer many plan design options to help create a plan that meets anyone's needs.
 

Establish Services

Establish 403(b) Services
  1. The employer must complete a Plan Establishment Kit (PEK) using either the printable documents below (Option 1) or the integrated Sertifi electronic submission and signature process (Option 2).
  2. Ascensus will create plan documents based on the PEK information. 
  3. Ascensus will send the new plan documents electronically to the employer.
  4. The employer can electronically sign the documents using Sertifi.
The Plan Establishment Kit (PEK) contains the following forms:
 
Document Service Agreement (DSA)
The employer must sign a DSA, which specifies the roles and responsibilities between the employer and Ascensus.

Plan Design Questionnaire (PDQ)
The PDQ gathers information needed to prepare Ascensus pre-approved plan documents. The information will be converted into an adoption agreement, a basic plan document, a summary plan description (if applicable), and all applicable plan amendments.
 
Complete the PEK in one of two ways: Option 1 - print, complete, and email the forms to Ascensus, or Option 2 - submit the forms electronically through Sertifi.
 
Option 1: Email Submission

Select the link below to download the Plan Establishment Kit (PEK). Complete, print, and email forms to Ascensus at employerdirect@ascensus.com.
 

Option 2: E-sign Submission via Sertifi

Before you begin, please have the following ready:
 

Plan name, Employer Identification Number (EIN), and plan provisions (e.g., eligibility, employee and employer contributions, vesting, and loan provisions).
 
Provide the Employer/Authorized Signer's email address and select the radio button below. Complete and submit documents through Sertifi. You must complete the documents in one session and electronically sign.
 
NOTE: The Employer/Authorized Signer must be present to sign while the forms are being completed because the forms cannot be electronically forwarded for signature.

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    • ERISA 403(b) Plan Establishment Kit
      This form is designed to help employers establish or restate their 403(b) qualified retirement plan by providingnecessary information and completing required documentation.