At 401(k) Plan Audit CPA, we provide comprehensive 401(k) guides to help businesses stay compliant with Department of Labor (DOL), IRS, and ERISA requirements. These step-by-step resources are designed for plan sponsors, HR professionals, and finance teams looking for clarity and actionable advice.
Guides
401(k) Guides & Resources
Expert Guides for Plan Sponsors
Our guides simplify complex retirement plan compliance issues. Whether you need help preparing for an audit, filing Form 5500, or managing fiduciary duties, our resources provide practical insights you can put into action right away.
Featured 401(k) Guides
We tailor our consulting solutions to meet the needs of each plan sponsor. Services include:
401(k) Audit Preparation Guide
A step-by-step handbook for plan sponsors preparing for a DOL-required audit. Includes a checklist of required documents, common pitfalls, and best practices to ensure a smooth process.
Form 5500 Filing Guide
Everything you need to know about preparing and filing Form 5500, including deadlines, extension requests, and strategies to avoid late penalties.
Fiduciary Responsibilities Guide
A plain-language guide to fiduciary duties under ERISA. Learn how to meet your obligations, document decisions, and reduce liability.
Common 401(k) Mistakes Guide
An overview of the most frequent errors found in retirement plans—from late contributions to eligibility errors—and how to prevent them.
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.
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.
Schedule Your 401(k) Audit Consultation Today
Don’t leave compliance to chance. At 401(k) Plan Audit CPA, we specialize in 401(k) audits, Form 5500 preparation, and employee benefit plan consulting. Whether you’re preparing for your first audit or managing a large retirement plan, our CPAs provide the expertise and peace of mind you need.
