SERVICES
Employee Stock Ownership Plan (ESOP) Audits
ESOP audits can be complex and time-consuming. Our team helps make the process easier with accurate audits and deep ERISA experience.
Our Commitment Backed by Trusted Industry Associations
ESOP Audit Services
Employee Stock Ownership Plans require specialized audit expertise and a clear understanding of ERISA compliance, valuation reporting, and plan operations. We provide ESOP audit services designed to help plan sponsors manage these requirements efficiently and accurately.
Employee Stock Ownership Plan Audits
We provide specialized ESOP audit services for organizations with Employee Stock Ownership Plans.
- Experience auditing plans subject to ERISA and DOL requirements
- Working directly with trustees, valuation firms, and third-party administrators to obtain audit information
- Review of participant account activity and allocations
- Experience auditing ESOP financial reporting and disclosure requirements
Why Caron Bletzer
Audits You Can Count on
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 complimentary peer and regulatory reviews.
Our team combines deep ERISA expertise with a streamlined audit approach designed to improve efficiency, reduce delays, and minimize the burden on your internal team.
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 ESOP audit or ERISA audit requirements.
5.0
Client Success Story
Audits With Ease
“Caron Bletzer made our ESOP audit process far more manageable than we expected. Their team was responsive, organized, and clearly understood the complexities involved with ESOP reporting and compliance. They kept the process moving efficiently while helping our team stay informed every step of the way.”
— David-John Wingnean, CFO, Manufacturing
How We Work
When you partner with us, you get more than a compliant audit. You get a responsive team and a reliable process built around efficiency, communication, and deep employee benefit plan expertise.
Speak to an Audit Specialist
Specialized Audit Expertise
Focused exclusively on employee benefit plan audits and ERISA compliance.
Streamlined Audit Process
With our collaborative practice management application, communications, file sharing, and audit requests are centralized for a smoother, more organized audit.
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 Benefit Plan Audits
Let’s make your next ESOP audit more efficient, organized, and streamlined.
Speak to an Audit SpecialistServing Plan Sponsors Nationwide
Caron Bletzer provides efficient ESOP audits that help organizations stay compliant, reduce disruption, and move through the audit process with confidence.
Head office:
Kingston, New Hampshire
1 Library Ln, Kingston, NH 03848
Contact:
FAQs
What is an ESOP audit?
An ESOP audit is an independent review of an Employee Stock Ownership Plan’s financial statements and operations to confirm compliance with ERISA and Department of Labor requirements.
When is an ESOP audit required?
In general, ESOPs with 100 or more participants with account balances may require an annual audit as part of their Form 5500 filing obligations.
What makes ESOP audits more complex?
ESOP audits often involve valuation reporting, participant allocation testing, employer stock transactions, and communicating with trustees, valuation specialists, and third-party administrators.
Do you work with audit leveraged ESOPs?
Yes. We perform audits for both leveraged and non-leveraged ESOPs and understand the unique reporting and operational considerations involved in these structures.
Why does specialized ERISA audit experience matter?
The Department of Labor has reported higher deficiency rates among firms without significant ERISA audit experience. Working with a specialized employee benefit plan audit firm helps reduce compliance risk and improve audit quality.
How should we prepare for an ESOP audit?
Preparation should begin well before your Form 5500 filing deadline. Organizing valuation reports, participant data, trustee information, and plan documentation early can help streamline the audit process.
What other audit services do you offer?
In addition to ESOP audits, we provide Defined Contribution Plan Audits, Defined Benefit Plan Audits, Non-Retirement Benefit Plan Audits, 11-K filings, and audits for a wide range of employee benefit plans.
Blogs
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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
