401(k) Audit Process

Upon being retained as your 401(k) Plan auditor, we provide you with two request lists: (1) an initial request list and (2) detailed sample selections.  Examples of both lists are in the links below.  We take pride in our ability to provide comprehensive lists that will not grow unless audit failures are encountered.  You will also receive instructions on how to utilize our encrypted file transfer system to securely upload sensitive data.

Once you have gathered the requests, we will visit to review the information.  We are typically at your office for one day with the remainder of the engagement taking place in our office.  You will receive a draft of the audit report approximately two weeks after we visit.  You need to review and approve the draft report.  After your approval, we will issue your report and conclude the audit.

Generally speaking, you control of the speed at which the audit is completed.  Many clients take about 6-8 weeks to go from receipt of the detailed sample list to the conclusion of the audit, but the process can be completed in as little as 3 weeks - provided, we receive timely cooperation.


Tax Due Dates