At 401(k) Plan Audit CPA, we specialize in helping businesses stay compliant with Department of Labor (DOL) and IRS requirements. Our team provides independent 401(k) plan audits, accurate Form 5500 preparation, and ongoing consulting services to support your employee benefit plan.
401(k) Plan Audit Services by Expert CPAs
San Diego, Los Angeles and Orange County
Why 401(k) Plan Audits Matter
Retirement plan audits aren’t just a compliance requirement—they’re a safeguard for both employers and employees. Plans with 100 or more eligible participants must undergo an annual independent audit. Choosing the right CPA firm ensures accuracy, compliance, and protection from costly penalties.
Our Services
401(k) Audits
Complete assurance that your employee benefit plan meets DOL and IRS standards. We identify potential risks, strengthen internal controls, and protect both plan sponsors and participants.
Form 5500 Preparation
Filing Form 5500 is a critical compliance step for plan sponsors. We ensure your filing is accurate, complete, and submitted on time—helping you avoid unnecessary fines and penalties.
401(k) Plan Consulting
From fiduciary responsibilities to operational compliance, our consulting services give plan sponsors the guidance they need to keep plans running smoothly and confidently.
The Benefits of Working With Us
Specialized 401(k) Plan Expertise
Unlike general accounting firms, we focus on benefit plans.
Risk Reduction
We identify compliance gaps before they become costly issues.
Time & Cost Savings
Our streamlined process minimizes disruption for HR and finance teams.
Trusted Advisors
We don’t just audit—we guide and consult for long-term success.
Nationwide Service
Supporting businesses of all sizes and industries.
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Industries We Serve
We work with a diverse range of high-net-worth individuals and businesses across multiple industries, including:
Healthcare Organizations
Healthcare providers often face complex payroll structures, multiple benefit plans, and strict compliance requirements.
Technology Companies
Tech firms with fast-growing workforces often struggle with eligibility tracking and timely filings.
Manufacturing & Industrial Firms
Manufacturing companies often manage high employee turnover and complex contribution structures.
Professional Services Firms
Law firms, accounting firms, marketing agencies, and other service providers need reliable compliance support to avoid client-facing disruptions.
Frequently Asked Questions (401k Plan Audit FAQ)
Who needs a 401(k) plan audit?
Any plan with 100 or more eligible participants must generally undergo an annual independent audit.
What is Form 5500 and why is it important?
Form 5500 is a required filing that details your plan’s financial condition, operations, and investments. It’s key to maintaining compliance with DOL and IRS rules.
What are the penalties for late or incorrect Form 5500 filing?
Penalties can exceed $250 per day and add up quickly. Professional preparation helps you stay on track.
How do I choose the right employee benefit plan auditor?
Look for a CPA firm that specializes in employee benefit plan audits, has industry experience, and maintains strong communication throughout the process.
Can you help with smaller plans not yet requiring audits?
Yes—we provide 401(k) consulting to help smaller plans stay compliant and prepared as they grow.
What Our Clients Say
Areas We Serve
We specialize in providing expert 401(k) audit services to plan sponsors and businesses across Southern California, including:
📍East Coast
📍 Midwest
📍 South
📍 West Coast
With deep regional expertise and a commitment to compliance excellence, we help organizations navigate the complexities of Department of Labor (DOL) and ERISA audit requirements. Our tailored 401(k) audit solutions ensure accuracy, efficiency, and peace of mind for businesses operating in these high-value markets.
Trusted Employee Benefit Plan Auditors Nationwide
We serve clients across industries including healthcare, technology, professional services, and manufacturing. No matter your company size, our mission is to provide accurate, efficient, and reliable support for your 401(k) plan.
