AdvicePlus/HR/Defer Comp ONEAMERICA LIFE INSURANCE I RETIREMENT I EMPLOYEE BENEFITS
TASK TYPE: RIA FORM
AdvicePlus Client Request Form , °;t
, ate
Required Customer Contract Language
f. The investment advice software ("Software") to be provided to the authorized plan participants and
plan beneficiaries ("Users") under this agreement is provided by Third Party Educational Services, Inc.
d.b.a. MasteryPOINT Financial Technologies ("MasteryPOINT"), with the advice component provided
to MasteryPOINT by Schlindwein Associates, LLC ("Schlindwein"). Schlindwein is registered with the
Securities Exchange Commission as an Investment Advisor under the Investment Advisors Act of 194o.
Schlindwein provides investment analysis, investment performance data, and mathematical modeling
techniques on which the investment advice provided by the Software is based.
2. Schlindwein warrants that all analysis and mathematical modeling techniques provided for use in the
Software have been developed by itself or by its licensors using reasonable financial assumptions and
according to standard industry practices.
3. All parties acknowledge that NO OTHER WARRANTY, EXPRESS OR IMPLIED, IS PROVIDED
by MasteryPOINT or Schlindwein to the Plan Sponsor or any Users, including but not limited to any
warranties to the effect that:
a. Any guidance or advice provided will result in investment allocations or
investment selections that will meet the specific needs of the Users or
b. The Users will not incur investment losses or will lose less than they
would have absent use of the Software or
c. The Software will enable the Users to realize gains greater than they
would have absent use of the Software.
4. All authorized Users of the Software will be required to accept the terms and conditions for use of the
Software prior to being able to access the Software. Those terms and conditions state, among other
provisions, that:
a. Except as otherwise required by law, MasteryPOINT and Schlindwein will not be liable for any
losses or damages (direct, indirect, or punitive) that may result from the Users' investment
decisions or their use of MasteryPOINT Guidance Plus or any data related to such use. Federal
securities laws impose liabilities in certain circumstances on persons who act in good faith; thus,
nothing in this agreement shall in any way constitute a waiver of or limitation on any rights which
users may have under federal securities laws.
b. Users understand and acknowledge that any recommendations provided to them through
MasteryPOINT Guidance Plus are created by Schlindwein and not by their employer, retirement
plan sponsor,the service provider for the Plan, or any other entity.
5. Schlindwein expressly agrees that it shall be a fiduciary within the meaning of Section 3(21) of ERISA
with respect to any plan and individual user of the Software contemplated under the agreement
between the OneAmerica companies and MasteryPOINT and Schlindwein only with respect to the
investment advice provided by the Software. All parties expressly agree that MasteryPOINT is not a
fiduciary of any customer's plan within the meaning of ERISA and shall not be responsible for any
breach of fiduciary duty with respect to the Software.
(For use with AduicePlus Plan Only)
02012 OneAmenca Finanaal Partners,Inc.All nghts resented
Products and financial services provided by the companies of
ONEAMERICA FINANCIAL PARTNERS, INC.
One American Square.P.O.Box 368 I Indianapolis,IN 462o6-0368 I (317)285-1877 I www.oneamenca.com
Request Form 1 o6CUC
,
Oi\r
AME RICA LIFE INSURANCE I RETIREMENT I EMPLOYEE BENEFITS
TASK TYPE: RIA FORM
6. Schlindwein will indemnify and hold harmless the OneAmerica companies and the plan sponsor
customers of the OneAmerica companies from liabilities, losses, claims, damages, and expenses
(including reasonable attorney's fees) resulting specifically from a breach of its fiduciary duty with
respect to the investment advice provided through the Software.
7. Other than Schlindwein's potential liability as a fiduciary as stated above, the parties agree that in
no event shall MasteryPOINT or Schlindwein be liable to the Plan Sponsor for any direct, indirect,
special, exemplary, punitive, or consequential damages arising out of or in connection with the
provision of the Software.
Plan Sponsor. G,'�� O ! t c/fle /d �ieIc
�V di/./ a
Title:
Plan Name:
Plan Number.
Date: D_____ 0
Note: MasteryPoint and Schlindwein Associates, LLC are not affiliates of the companies of OneAmerica
and are not OneAmerica companies.
(For use with AdvieePlus Plan Only)
02012 OneAmence Finance!Partners,Inc.AU nghts reserved
Products and financial services provided by the companies of
ONEAMERICA FINANCIAL PARTNERS, INC.
One American Square.P.O.Box 368 I Indianapolis.IN 462o6-0368 I (317)28,5-1877 I www.oneamerica.com
Request Form 106eou
RESOLUTION NO. BPW 11-21-12-07
RESOLUTION OF THE CITY OF CARMEL BOARD OF PUBLIC WORKS AND
SAFETY RATIFYING MAYORAL SIGNATURE ON CONTRACT
WHEREAS, the executive officer of a municipality has the right and authority under
Indiana law to enter into contracts on behalf of the municipal corporation; and
WHEREAS, due to the exigencies of time, City of Carmel Mayor James Brainard
executed certain contracts with OneAmerica Financial Partners, Inc. ("Contract"), attached and
incorporated herein as Exhibit "A"; and
WHEREAS, the City of Carmel Board of Public Works and Safety now desires to ratify
the above actions of Mayor Brainard and to adopt the same as an act of the Board.
NOW, THEREFORE, BE IT RESOLVED by the Board of Public Works and Safety of
the City of Carmel, Indiana, that:
1. The foregoing Recitals are incorporated herein by this reference.
2. The actions of Mayor James Brainard in executing the Contract are hereby ratified
and such actions are hereby approved and adopted by the Board as its own.
Approved and adopted this 8/ day of Afov'ember , 2012.
CITY OF CARMEL, INDIANA
By and through its Board of Public Works and Safety
BY:
ames Brainard,,rest ng Officer
Date: /j,7/ ' / 7
Lori S. Watso , ember
Date: 1
(57,7 /j—
lily BBurke, ember
Date: / ` — a J
ATTEST:
-4(4-417
Di na Cordray, IAM(t, Clerk-Treasurer
Date: H - D-t - / D--