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Keep Job, Take 401(k) Elsewhere

February 13, 2008

Hate the investment options in your 401(k) plan? Old enough to remember watching the Beatles on Ed Sullivan? Forbes reports on 401(k) "in-service" distributions, an obscure provision that allows 401(k) investors who are 59 1/2 and older to roll over some or all of their 401(k) assets into an individual retirement account without paying taxes or penalties:

Employers and 401(k) plan administrators don't advertise this fact, but most workers 59 1/2 and older, and even some younger ones, can roll over 401(k) funds while they're still working and contributing to the plan. This option isn't right for everyone. But in some cases it can provide more attractive investment choices, a better way to leave money to your kids or even a chance (new in 2008) to move 401(k) dollars directly into a Roth IRA.

The law allows workers to empty their 401(k) accounts once they hit 59 1/2. They can roll all the money into an IRA without paying tax now. Or they can take cash out, pay any ordinary income taxes due and spend what's left. The same goes for participants in government and not-for-profit savings plans similar to 401(k)s."

As the article mentions, employers can refuse to allow these early 401(k) exits, but "in-service" distributions are currently available at 70% of U.S. companies. As we well know by reviewing billions of 401(k)s for the MAXadvisor 401(k) Planner service, there are a lot of lousy company-sponsored retirement programs out there. "In-service" distributions are a great way to escape a plan that offers a mixed bag of low-quality or expensive 401(k) investment options.

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