hard · Certified Financial Planner Tax Planning

The Ortegas are concerned that Ricardo's large 401(k) balance will increase the taxes on Elena's proposed Roth conversion. Ricardo's 401(k) is valued at $500,000, and he has no IRAs.

How does Ricardo's account balance affect Elena's pro-rata calculation?

  1. It requires the planner to aggregate all 'qualified' assets, including the 401(k), into one calculation.
  2. It has no impact because the aggregation rule applies to each individual's IRAs separately.
  3. It decreases the taxable portion by increasing the total retirement 'pool' of the household.
  4. It increases the taxable portion because the Ortegas file a joint tax return.

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