Check my math, please - IRA vs. 529

My eyes are going crossed trying to make sure I’ve figured this out correctly. Part of problem may be that the result I’m getting isn’t intuitive in some respects. Please let me know if you see any errors in my logic.

The situation: #1 son is a high school junior, so last year is the base year that will be used for filling out his first FAFSA this coming fall. I’m currently completing our tax return for last year. I’m self-employed and my wife is a W-2 wage earner. It’s typical for me to make a contribution to my prior year IRA when completing that year’s tax return and I was expecting to do the same this year. But as I’m starting to focus on/learning about FAFSA, I got to wondering whether it might be smarter to put it in my son’s 529 account instead - even if it would also be used to pay some of his college costs if put in the IRA.

The below tries to calculate the net impact of contributing $1 to an IRA vs. his 529. I use a federal tax rate of 25% and a state tax rate of 4%. In Michigan, contributions to a 529 are tax deductible, and distributions are not subject to state tax. For simplicity, I assume a 0% rate of investment return in both the IRA and 529 portfolios.

Here’s my analysis:

IRA -
If I contribute the dollar to my 2017 IRA, I get an extra $0.25 in my federal tax refund and $0.04 in my state tax refund. (Ignore whether the refund is taxable in 2018 and any impact that may have on parental income.) The contribution has no effect on the EFC calculation for our base year (the dollar is added back to AGI as untaxed income and therefore does not reduce parental income; the dollar in the IRA is not considered a parental asset). Assume I take the dollar as a distribution at the beginning of his freshman year (fall 2019) to help pay for school. I pay $0.25 federal tax and $0.04 state tax on the distribution. The dollar distributed becomes part of parental income and results in a one-time reduction in financial aid of $0.47 two years later in his junior year. Bottom line, the costs associated with his use of the dollar are ($0.25) + ($0.04) + $0.25 + $0.04 + $0.47 = $0.47 over the course of his four years.

529 -
If I contribute the dollar to the 529, it will be a parental asset for our base year and reduce his aid by $.06 for his freshman year. I will be able to deduct the contribution from my 2018 Michigan taxes, saving $0.04. Assume he withdraws the dollar at the beginning of his freshman year to help pay for school. There is no tax due at the state or federal level on the withdrawal. Because the dollar is no longer in the account by the time we complete the FAFSA for his sophomore year, it is no longer an asset and has no effect on financial aid in subsequent years. Bottom line, the costs associated with his use of the dollar are $0.06 + ($0.04) = $0.02 over the course of his four years.

If my logic is correct, the net value of that dollar in an IRA is $0.53 vs. $0.98 in a 529. Maybe it’s the sticker shock of passing on a pretty hefty refund in this year’s taxes if I put it in the 529 instead, but something about this analysis doesn’t seem right to me. Even if a 529 really is the better use of that money, it seems unbelievable that it’s better by a factor of nearly 2.

Do I have this right?

Not entirely on topic, but I’ve got to ask why you would consider using your IRA to pay for college Don’t you need to be hanging onto that money for your potential retirement? (I’d also ask why just a regular IRA and no SEP IRA, but that would be a whole other discussion.)

Take an hour and run the Net Price Calculators for the places currently on your kid’s radar. The hard, cold truth is that most don’t give much need-based aid other than the standard federal loans. If that is the case for the places your kid is looking at, you aren’t going to take any financial aid hit for money no matter where it is held or how it is withdrawn because there just isn’t going to be all that much aid there to begin with. Being realistic about what you can pay out of pocket, and what you can pay from savings will be what matters.

Personally, I would slap the maximum into retirement funds this year. Then based on the NPC results, I’d tighten belts all around for the rest of 2018 and put those savings into the 529 (or some other savings vehicle earmarked for college). If you spend the rest of this year with the budget you think you can live with while the kid is in college, you will get a solid reality check on whether those colleges/universities are workable.

Remember too that it really is OK to split the difference - half to the IRA, half to the 529 - and cross your fingers that you don’t need to raid the IRA for the kid’s education.

Before doing any gymnastics that you think might impact FAFSA, check whether you would even get FA at any target institutions. NPCs are tricky for the self employed. School Using CSS/Profile will look at your numbers differently. FAFSA may be mostly irrelevant.

If you put it in the IRA, it will not be considered as an asset for FAFSA.

How about if you put it in a Roth IRA?
Read the rules on early withdrawals, and using the distribution for education expenses.
But I think you have to have had the account for 5 years before doing that.

If you put it in the 529, it will be considered as a parent asset for FAFSA, but you save 4% of state tax on the money.

Since you will need some money for college, that seems to be the better idea.

Like others said, your FAFSA EFC is primarily determined by your income.

Assets over the asset protection allowance (depends on parent age) are assessed towards FAFSA EFC at about 5%.

Is your FAFSA EFC going to be over $5,000?
(you can use the EFC Calculator on College Board website, federal methodology).

If so, then FAFSA EFC will be too high for Pell Grant ($5,920 max).

Most schools that give need based aid to families above Pell eligible income, will require CSS profile as well, and calculate their own family contribution, possibly counting home equity in their formula.

You might qualify for the $2,500 AOTC, an education credit. For this you have to have paid $4,000 of qualified education expenses (tuition, fees, books) with non federal tax advantaged funds.

So any scholarships and grants the student gets, 529 withdrawals (can be used for room and board), and such will have to be coordinated for the best tax treatment, because there is no double dipping of benefits.

@happymomof1

This poster is self employed. The net price calculators will likely NOT be accurate and should be used only as a very gross estimate.

In addition, the current NPCs are set for students starting college 2018…and will be reset for 2019 late summer 2018. Another reason this should be viewed as an estimate…and perhaps not a very good one at this point.

For self employed…at schools using the Profile especially…there are business deductions allowed by the IRS for tax purposes that are added back in as income for financial aid calculation purposes.

Agree with @happymomof1 if the money is going to be used for educational purposes, don’t put it in your IRA. My opinion. It’s not like your taxes would be reduced by thousands of dollars.

Making this assumption is a big mistake, because it completely negates one of the major benefits of using a 529 – tax free treatment of any earnings that are used for qualified education expenses. Over time, that could be a huge difference between using a 529 vs. an IRA for qualified expenses.

Seems to me that using an IRA for education is not a great idea they way you are doing it. The income in the beginning counts against financial aid in either case (IRA or 529). In the IRA case, however, the income counts against you a second time when you withdraw the money. If you withdraw the money after Jan 1 of his sophomore year, then it won’t be counted as parental income for financial aid. As another poster mentioned, a ROTH IRA could also get by that problem, but only if you have the account open for at least 5 years. If your son is a junior in high school, then you would also need to wait till about his sophomore (maybe junior year) unless you already have a ROTH IRA open.

@thumper1 - You are right about the NPCs. This is what comes of me being online late at night! The point I was aiming for was that the OP needs to get some handle on the likelihood of need-based aid, and to be prepared now for the possibility that there won’t be any.

OP needs to get some handle on the likelihood of need-based aid<<<<<<<<<<

Right, how does the self employed person ballpark aid? This all might well be a pointless exercise.

I agree to get a handle on need-based aid. However, if the money is earmarked for college, why not think about how to invest it in a financial-aid friendly way assuming you think you will get aid?

Only one parent is self employed. This is a 2 worker family. Is need based aid expected?

The OP can probably guess what his self employment gross income is and what will be allowed as deductions. Or just use the gross income to see if any need based aid is possible, and then be happy when it is higher than that.

Exactly.

Looking at the published Cost of Attendance, and any (even if very very rough) results from the NPC are necessry eye-openers. The OP wrote that this is the first kid. So the family needs to be clear-headed and consider the total number of college years that will need to be covered.

@hillite

All these financial gymnastics might actually NOT get you a nickel more need based aid. Need based aid is largely based on your income with assets assessed as well.

So…if your income is above a certain threshold, your kid might not get any need based aid…anyway. Most colleges do NOT guarantee to meet full need…and they don’t.

The schools that do meet full need take a closer look at your finances either via the CSS Profile or their own form. Your business ownership could very well factor into this. There are deductions allowed by business owners for IRS purposes that are added right back in as income for financial aid purposes. This is likely THE reason it will be difficult for you to use the NPC. The value of your business…and those deductions could very well be used by Profile schools.

I have heard a lot of people warning about using the retirement fund for children’s college education expenses. I am not sure if everyone have already maximize their IRA contribution each year. One way or the other, it is still your money. If one need to use the current saving to fund the education (in 529 or direct payment), one would have less money left for IRA contribution anyway. So the question is where to put the money that you will use for your kid’s education. Indeed, I have stopped funding the 529 accounts since I found out my D received a lot of gift aids from her need met school when she started college and the 529 balance would hurt the financial aids. It took us 4 year to deplete my D’s 529 even we had less than 1 year of CoA in it originally. For the one time state tax deductible saving I received by putting the money in the 529, I lost it in the first year’s financial aid calculation and even more in the subsequent years. For my friends with young kids that do not have Roth or regular IRA but other retirement savings, I told them to consider setting up Roth IRA and use it as an education fund instead of 529. It is a lot more flexible and it is protected asset for FAFSA. There is no easy answer which way is better as the financial situation, the income level, the retirement saving options, the state tax rate, and the school’s financial aid calculation are different. One would have to look at their own situation, and even that, the benefit is unpredictable as no one knows which school the kid ends up going.

Thanks to everyone for your attempts to help. Let me clarify a few items that have been mentioned.

Three weeks ago was my first visit to this forum, when I asked for recommended resources to learn about how FAFSA works. BelknapPoint graciously provided links to the FAFSA form/instructions and the formula used for calculating EFC, suggesting that if I were willing to get my hands dirty it would be well worth it. Thumper1 also helpfully recommended “Paying for College Without Going Broke.” Off I went, downloading the FAFSA docs and ordering the book from the library, and I proceeded to administer a three week, self-taught crash course in financing college, with an emphasis on FAFSA. Both suggestions were worth at least twice what I paid for them, and as a result I have a very good handle on what our EFC is likely to be for #1 son’s freshman year; the only potentially moving parts left before we file in the fall are A) any effect I can have on our tax return before I file it in the coming weeks, and B) our assets, which may or may not be the same in the fall as they are now.

In the next few weeks I need to decide what, if anything, to do with some money sitting in our bank account. It’s already been earned. But the question is: where’s the best place to put it? Part of that analysis is understanding the effect my decision may have on financial aid. My research led me to focus on two logical options, in part because we already have each established - IRA and 529. My intuition told me that either of them was likely to be a better option than leaving it in the bank.

Our approach to saving for future needs over the past 15+ years has been pretty simple: money is money. Don’t worry so much about which pocket you should put the dollar bill in, just make sure you put it in your pocket. As a result, we view all of our long-term savings as fungible - they’re available to be used for both college and retirement. Because it was easy, and because I didn’t want to pay someone money that could otherwise be saved to tell me how to save my money, the vast majority of our long term savings is in vehicles traditionally used for retirement savings - 401k, 457, IRA. We have also established 529s, maintained a balance in our savings account, etc. Are some vehicles more advantageous for financing college educations than others? Sure. Would I redirect how some of our past earnings were deployed among those vehicles if I could? Probably. But Mr. Peabody hasn’t offered me the use of the Wayback Machine, so that isn’t terribly relevant. Assume that, given the savings we have, we’re fully cognizant of the need to allocate them wisely between college expenses and our retirement needs.

At this point, #1 son has no idea where he wants to go to school. We’ve done 3 college visits in the past 2 months to give him a taste of various settings (large public, small private, etc.). While I would like to have access to a crystal ball to determine where he’s going to go to college, how much he’s going to make in his first job, and whether I’ll still be around to know my grandchildren, I don’t. So I’m working with incomplete information, as most of us usually are. And he’s not going to decide where he wants to go to school within the next few weeks. Suffice it to say that our EFC is lower than the most expensive college he might attend and higher than the least expensive. So at this point, it is worth considering the possibility that he will attend a school that costs enough that he will qualify for aid, as privateID pointed out.

Therefore, far from an exercise in financial gymnastics, I’m simply trying to estimate the financial affects of a very simple, binary decision - whether it’s better to move the money in savings to my IRA or his 529. Rather than rely on gut instincts, senses, opinions, etc., we can run the numbers and see what the answer really is. The model created is a simplification of the situation (as all models are), but the results - if correct - hold: whatever the impact on the dollar I run through the model, the same will be true of the other 5,499 of them that will be deployed with it in reality. So we are talking about thousands of dollars in potential tax effects. Thus my request that someone else look over my analysis and correct any errors in logic or math.

With respect to CSS, I accept that they will treat certain items differently. But since FAFSA is sure to be required by whichever school he attends and CSS is not, I can’t worry about that now. (For what it’s worth, if #1 son were to pick among the three schools he’s visited so far, he would choose to enroll at a small, expensive [ie, costs more than our EFC], private school that doesn’t use CSS.) And inasmuch as my self-employment may be a huge variable, I don’t expect it will be; I operate as a consultant with no employees, essentially no assets, and generate relatively little income from it.

While I acknowledge my model does not account for differential tax effects on earnings between the two savings vehicles, I disagree that this is a big mistake. My time horizon (two years from deposit to withdrawal) is simply too short for it to represent a material difference. And even if we were to account for it, it would only further favor the 529, which is nearly twice as attractive as the IRA (assuming my analysis is correct).

Thank you to mommdc and PrivateID for referencing the Roth IRA. I had excluded it from consideration because I don’t yet have one set up and 5 years doesn’t do me much good for #1 son’s imminent college education. However, you comments have gotten me thinking beyond him to #2 son and #3 son, both of whom are HS freshmen. I’ll research the impact of plunking my money in a Roth, assuming it will be used for the twins and might free up some other resources that could be directed to the older one instead.

Sorry for the long-winded response, but I wanted to acknowledge the time and effort others have put into trying to help. And I hope my tone doesn’t come across as flippant, but rather light-hearted. I recognize that puzzles like this pale in comparison to those faced by many others, so I try not to take myself too seriously as I devote my energy to solving them.

Given the above, then, my original question remains: Does anyone have reason to believe my analysis is incorrect? Passing up on a large refund this year seems unwise (maybe because we’re so conditioned to sock money away for retirement), but the analysis suggests I’ll pay it back and then some a couple years down the road.

@hillite I don’t know which one you should choose but I wanted to say two things:

  1. Love the blast from the past Mr. Peabody and the Wayback Machine
  2. Unless your private college meets full need, you can't assume that you will only need to pay your EFC and that you won't be gapped. And sometimes they meet your need in undesirable ways such as expecting you to drain assets or loans. You probably know this already but on the small chance you don't.

So just to check (TLDR) have you and your wife always maxed your retirement contributions? It is hard to see any either or choice if you haven’t.

Glad you liked the book!

Here is what I think you need to do. Look at your income, and expenses. Then figure out how much you really CAN and WILL pay annually for college. TBH, that number is far more important than any other number…and one your student should understand before applications are sent.

If that number is more than your EFC…woohoo…you can pay easily. If it’s less…we’ll…then maybe it’s not affordable.

If you have a top net cost you can sustain, it is important that your student understand that budget. Cast a broad net. Apply to colleges where he could garner significant merit aid which will not be income dependent in future years. Apply to some schools where you might get sufficient need based aid to make the school affordable.

BUT be clear that schools that come in well over budget will need to be dropped from consideration. That’s a hard message to convey to our kids…but if you need to convey that message, please do so before the applications are sent.

It sounds like you have a great kid…and that there are lots of good choices out there.

Oh…lastly…look at your flagship university and other instate publics…after all you do pay taxes to support these schools. Some have great honors colleges. Some have really well recognized programs in certain fields.

I guess what I’m saying is…keep your budget in mind…and keep an open mind.

Help your kiddo identify the characteristics he wants in a college.

And repeat after me…there is NO such thing as a dream school. There should be a bunch of colleges your kiddo would be happy to attend and are affordable…in your application pile.

Good luck…it’s a process… but you are on your way.

Look into Roth IRAs further, I am no expert, but I thought that the contributions can be withdrawn at any time without penalty. The 5 year rule might only apply to any earnings.

Also, since you mentioned the FAFSA formula, did you look what the asset protection allowance for you is (goes by age).

Do you have over that amount in the bank and 529 as unprotected assets?

$5,500 would add $300 to your FAFSA EFC.

FAFSA EFC is primarily used for federal and maybe state aid eligibility.

Some schools will give institutional aid based on FAFSA EFC. But you will probably still be gapped.

Mommdc is correct you can take your CONTRIBUTIONS out of a Roth at any time tax and penalty free. It is only the earnings that are subjected to rules. https://www.rothira.com/roth-ira-frequently-asked-questions