SERVICES
Defined Contribution Plan Audits
From 401(k) to 11-K, when it comes to defined contribution plan audits, we’ve seen and audited it all.
Our Commitment Backed by Trusted Industry Associations
Defined Contribution Plan Audit Services
We provide comprehensive defined contribution plan audits, including 401(k), 403(b), 401(a), and 11-K plans, ensuring full compliance with IRS and DOL requirements.
401(k) Plan Audits
We perform 401(k) audits for plans of all sizes, with deep expertise in IRS, DOL, and ERISA requirements.
403(b) Plan Audits
Our 403(b) audits help non-profits maintain accurate reporting and regulatory compliance.
11-K Audits
We provide 11-K audits for companies offering publicly traded stock in their benefit plans.
401(a) Plan Audits
Our 401(a) audits evaluate employer contributions and address applicable regulatory requirements.
Why Caron Bletzer
Specialists in Defined Contribution Plan Audits
According to the Department of Labor, many ERISA audits lack quality when performed by inexperienced firms. We specialize in defined contribution plan audits, completing over 1,200 audits annually with strong peer and regulatory reviews.
Our team combines deep regulatory expertise with a customized, efficient audit approach.
Meet the Partners Behind Your Employee Benefit Plan Audits
Over 30 years specializing in employee benefit plan audits, including ERISA and 401(k) plans.
John Bletzer, CPA
Managing Partner
Jeff Polchlopek, CPA
Managing Partner
Ann Driscoll, CPA
Partner
Max Anderson, CPA
Partner
Kelsey Anderson, CPA
Partner
Alyssa Belley, CPA
Partner
Patrick Griffin, CPA
Partner
Samantha Hutton, CPA
Partner
Kimberly Jarry, CPA
Partner
Heather Anderson, CPA
Partner
Check Your Audit Readiness in Minutes
Use our employee benefit plan audit readiness tool to identify gaps and prepare for your 401(k), ERISA, or benefit plan audit.
5.0
Client Success Story
Simplifying a Multi-Location 401(k) Audit
“Managing a 401(k) audit across multiple facilities, union employees, and payroll systems was a challenge. Caron Bletzer streamlined the process, coordinated with our providers, and helped us complete the audit on time.”
— David Reynolds, Controller, National Manufacturing Group
Working With Us on Defined Contribution Plan Audits
When you partner with us, you get more than a compliant audit. You get a streamlined, reliable process built around your team.
Speak to an Audit Specialist
Specialized Audit Expertise
Focused exclusively on employee benefit plan audits with deep ERISA expertise.
Streamlined Audit Process
Centralized communication and data access for faster, more efficient audits.
Less Burden on Your Team
We work directly with your providers to reduce internal workload.
Trusted
Nationwide
A leading firm delivering employee benefit plan audits to organizations across the country.
A Structured Audit Process From Start to Finish
We follow a clear, proven process to keep your employee benefit plan audit organized, efficient, and on track.
Speak to an Audit SpecialistStep 1
Initial Planning
We align on scope, timelines, and key requirements.
Step 2
Information Gathering
We coordinate with your team and service providers.
Step 3
Audit Execution
We perform the audit with a structured, efficient approach.
Step 4
Final Report
Clear reporting and communication of results.
30+ Years Specializing in Defined Contribution Plan Audits
401(k) Audits - 403(b) Audits - 401(a) Audits - 11-K Audits
Speak to an Audit SpecialistServing Plan Sponsors Nationwide
Caron Bletzer provides defined contribution plan audits, including 401(k) audits, to organizations across the United States. Our structured and efficient process helps plan sponsors meet regulatory requirements with confidence.
Head office:
Kingston, New Hampshire
1 Library Ln, Kingston, NH 03848
Contact:
FAQs
What are defined contribution plan audits?
Defined contribution plan audits are independent reviews of a retirement plan’s financial statements and operations in accordance with applicable IRS, DOL, and ERISA requirements.
What does a defined contribution plan audit include?
Defined contribution plan audits typically include testing participant contributions, employer contributions, distributions, and overall compliance with plan documents and regulations.
How do defined benefit pension plan contribution limits differ from defined contribution plans?
Defined benefit pension plan contribution limits are based on actuarial calculations and funding requirements, while defined contribution plans have fixed annual contribution limits set by the IRS.
When is a 401(k) audit required?
A 401(k) audit is generally required when a plan files as a large plan with 100 or more participants with account balances at the start of the plan year. However, certain plans may qualify for exceptions, and some plan sponsors choose to undergo a voluntary audit to strengthen financial reporting and governance.
What types of plans do you audit?
We audit a wide range of employee benefit plans, including 401(k), 403(b), 401(a), ESOP, defined benefit, health and welfare, and 11-K plans.
Do you provide 403(b) plan audits for non-profits?
Yes, we perform 403(b) audits for nonprofit organizations, helping plan sponsors meet their audit obligations under IRS and DOL requirements.
Blogs
How Retirement Plan Advisors Can Evaluate an ERISA Audit Firm Before Making a Referral
When a plan sponsor asks who can handle their ERISA audit, it can be tempting to provide the name of a CPA or accounting firm you already know. But an audit referral is more than simply passing along a contact. While the advisor is not responsible for performing or managing
When Is a 401(k) Audit Required? Common Misconceptions Plan Sponsors Should Know
Managing a retirement plan comes with significant responsibilities, and understanding when a 401(k) audit is required is one of the most important responsibilities. For many plan sponsors, 401(k) audit requirements can feel confusing, especially as regulations evolve and compliance expectations continue to grow. One of the biggest misconceptions is that
Understanding the Filing Timeline and Form 5500 Due Date for Plan Sponsors
Managing a retirement plan is a year-round responsibility that culminates in one critical regulatory filing. The form 5500 due date is the deadline for reporting a plan’s financial condition, investments, and operations to the Department of Labor (DOL) and the IRS. For many plan sponsors, this date marks the finish
