Browse 934 providers in this category.
Provider ranking
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UHY LLP
Employee Benefit Plan Auditor
St Louis, MO
Credentials: Plan Audit Quality Center (EBPAQC) • AICPA Member
Stats: 19 plans audited • $2.5B under management
Company: Est. 1957
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Belfint Lyons & Shuman P.A.
Employee Benefit Plan Auditor
Wilmington, DE
Credentials: Plan Audit Quality Center (EBPAQC) • AICPA Member
Stats: 18 plans audited • $549M under management
Company: Est. 1923
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Tait Weller & Baker LLP
Employee Benefit Plan Auditor
Philadelphia, PA
Credentials: Plan Audit Quality Center (EBPAQC) • AICPA Member
Stats: 18 plans audited • $919M under management
Company: Est. 1921
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Aprio LLP
Employee Benefit Plan Auditor
Matthews, NC
Credentials: Plan Audit Quality Center (EBPAQC) • AICPA Member
Stats: 17 plans audited • $869M under management
Company: Est. 1952 • 540 employees
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FustCharles LLP
Employee Benefit Plan Auditor
Syracuse, NY
Credentials: Plan Audit Quality Center (EBPAQC) • AICPA Member
Stats: 17 plans audited • $2.6B under management
Company: Est. 1986
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Holthouse Carlin & Van Trigt, LLP
Employee Benefit Plan Auditor
WestLake Village, CA
Credentials: Plan Audit Quality Center (EBPAQC) • AICPA Member
Stats: 17 plans audited • $2.1B under management
Company: Est. 1991 • 800 employees
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Insero & Co. CPAs, LLP
Employee Benefit Plan Auditor
Rochester, NY
Credentials: Plan Audit Quality Center (EBPAQC) • AICPA Member
Stats: 17 plans audited • $4.2B under management
Company: Est. 1991
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Sikich CPA LLC
Employee Benefit Plan Auditor
Naperville, IL
Credentials: Plan Audit Quality Center (EBPAQC) • AICPA Member
Stats: 17 plans audited • $1.2B under management
Company: Est. 1982 • 1,950 employees
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RubinBrown LLP
Employee Benefit Plan Auditor
Overland Park, KS
Credentials: Plan Audit Quality Center (EBPAQC) • AICPA Member
Stats: 16 plans audited • $536M under management
Company: Est. 1952
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Hood & Strong LLP
Employee Benefit Plan Auditor
San Jose, CA
Credentials: Plan Audit Quality Center (EBPAQC) • AICPA Member
Stats: 15 plans audited • $732M under management
Company: Est. 1917
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PBMares, LLP
Employee Benefit Plan Auditor
Richmond, VA
Credentials: Plan Audit Quality Center (EBPAQC) • AICPA Member
Stats: 15 plans audited • $4.6B under management
Company: Est. 1963 • 750 employees
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Baker Newman & Noyes
Employee Benefit Plan Auditor
Portland, ME
Credentials: Plan Audit Quality Center (EBPAQC) • AICPA Member
Stats: 14 plans audited • $5.3B under management
Company: Est. 1995
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LBMC, PC
Employee Benefit Plan Auditor
Brentwood, TN
Credentials: Plan Audit Quality Center (EBPAQC) • AICPA Member
Stats: 14 plans audited • $1.3B under management
Company: Est. 1984 • 900 employees
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McSoley McCoy & Co.
Employee Benefit Plan Auditor
South Burlington, VT
Credentials: Plan Audit Quality Center (EBPAQC) • AICPA Member
Stats: 13 plans audited • $4.2B under management
Company: Est. 2012
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Mauldin & Jenkins, LLC
Employee Benefit Plan Auditor
Atlanta, GA
Credentials: Plan Audit Quality Center (EBPAQC) • AICPA Member
Stats: 12 plans audited • $311M under management
Company: Est. 1918
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Warren Averett, LLC
Employee Benefit Plan Auditor
Birmingham, AL
Credentials: Plan Audit Quality Center (EBPAQC) • AICPA Member
Stats: 12 plans audited • $2.5B under management
Company: Est. 1957
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Dean Dorton Allen Ford PLLC
Employee Benefit Plan Auditor
Lexington, KY
Credentials: Plan Audit Quality Center (EBPAQC) • AICPA Member
Stats: 11 plans audited • $348M under management
Company: Est. 1979 • 590 employees
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Draffin & Tucker
Employee Benefit Plan Auditor
Albany, GA
Credentials: Plan Audit Quality Center (EBPAQC) • AICPA Member
Stats: 11 plans audited • $1.2B under management
Company: Est. 1948
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Hoffman Stewart & Schmidt PC
Employee Benefit Plan Auditor
Portland, OR
Credentials: Plan Audit Quality Center (EBPAQC) • AICPA Member
Stats: 11 plans audited • $200M under management
Company: Est. 1979
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Maher Duessel
Employee Benefit Plan Auditor
Pittsburgh, PA
Credentials: AICPA Member • Plan Audit Quality Center (EBPAQC)
Stats: 11 plans audited • $265M under management
Company: Est. 2012
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PLANTE & MORAN, PLLC
Employee Benefit Plan Auditor
Credentials: Plan Audit Quality Center (EBPAQC) • AICPA Member
Stats: 11 plans audited • $2.4B under management
Company: Est. 1924
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PricewaterhouseCoopers LLP
Employee Benefit Plan Auditor
Boston, MA
Credentials: Plan Audit Quality Center (EBPAQC) • AICPA Member
Stats: 11 plans audited • $26.4B under management
Company: Est. 1998
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Vasquez & Company, LLP
Employee Benefit Plan Auditor
Los Angeles, CA
Credentials: Plan Audit Quality Center (EBPAQC) • AICPA Member
Stats: 11 plans audited • $1.3B under management
Company: Est. 1957 • 250 employees
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EFPR Group, LLP
Employee Benefit Plan Auditor
Rochester, NY
Credentials: Plan Audit Quality Center (EBPAQC) • AICPA Member
Stats: 10 plans audited • $113M under management
Company: Est. 1960
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GBQ Partners LLC
Employee Benefit Plan Auditor
Columbus, OH
Credentials: Plan Audit Quality Center (EBPAQC) • AICPA Member
Stats: 10 plans audited • $1.3B under management
Company: Est. 1953
Finding the Right 403(b) Auditor for Your Retirement Plan
If you sponsor a 403(b) retirement plan, ensuring compliance and accuracy is critical. A qualified 403b auditor plays a key role in protecting the plan's participants and meeting regulatory requirements set by the Department of Labor (DOL) and the Internal Revenue Service (IRS).
Retirement plans for tax-exempt organizations, such as schools, hospitals, and non-profits, must adhere to complex rules regarding their plan documents, operations, and financial reporting. When your plan reaches a certain size (typically 100 or more participants), an annual independent audit performed by an experienced 403b auditor is often mandatory. This audit verifies the financial statements and ensures that the plan operates in accordance with the plan document and IRS/DOL regulations.
What Does a 403(b) Audit Cover?
Working with an auditor who specializes in employee benefit plans, particularly 403(b) plans, is essential. The auditing procedures focus on several critical areas:
- Plan Document Compliance: The auditor verifies that the written plan document satisfies all 403(b) requirements and was timely adopted. Inconsistencies between the plan document and employee handbook should be identified and resolved.
- Review of Plan Operations: This includes checking internal controls, ensuring proper administration, and verifying that the plan's operations align with the written document and tax code.
- Financial Statement Accuracy: Auditors apply procedures to ensure that the beginning balance of net assets available for benefits is materially correct, which impacts the current year's statement of changes in net assets available for benefits.
- Regulatory Guidance: A qualified 403b auditor provides guidance on IRS and DOL compliance requirements and assists with Form 5500 filing.
Best Practices for 403(b) Plan Sponsors
While the auditor confirms compliance, plan sponsors have fiduciary oversight responsibilities. Key governance areas include:
- Maintaining a robust governance structure.
- Regularly reviewing investment lineup and fund options.
- Ensuring fee transparency and reasonableness.
- Properly managing record-keeping.
Choosing a firm with deep experience in auditing 403(b) plans is a best practice. Firms that audit various employee benefit plans, including defined contribution, 401(k), and 403(b) plans, often possess the specialized knowledge required to perform a thorough and accurate audit. Look for firms that offer actionable recommendations for improvement and clear communication throughout the process.
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