Employee Benefit Plan Audits:
401(k) and 403(b) Plans
Trust your employee benefit plan audit to a member of the AICPA Employee Benefit Plan Audit Quality Center. Our
experienced team ensures your 401(k) or 403(b) plan meets all ERISA requirements and DOL regulations.
Types of Plans We Audit
1
401(k) Plans
Our experienced auditors make the process smooth, efficient, and minimally disruptive, allowing you to focus on your business while we handle the complexities of your audit.
2
403(b) Plans
Dedicated support for tax-exempt entities.
Our experienced auditors deliver a seamless audit process that minimizes disruption while ensuring thorough compliance with all requirements.
Do You Need an Employee Benefit Plan Audit?
Your plan requires an audit if it has:
- 100 or more participants with account balances at the beginning of the year.
Not sure if you need an audit? Contact us for a free
consultation.
Our Employee Benefit Plan Audit Process
Initial Assessment
We review your plan details and participant count to determine audit requirements.
Planning Phase
Our team develops a customized audit approach based on your plan’s specific features.
Document Collection
We provide a comprehensive checklist of required documents and assist with gathering information.
Audit Execution
Our experienced auditors conduct a thorough review of your plan’s financial statements and
operations.
Quality Review
Multiple levels of review ensure accuracy and completeness.
Report Delivery
We provide your audit report in time for Form 5500 filing deadlines.
Why Work With EWA?
Efficient remote audit capabilities
Timely completion for Form 5500 filing deadlines
Clear communication throughout the process
Competitive, transparent pricing
Expert Audit Resources for Your Financial Statement Preparation
At Ernst Wintter & Associates LLP, we offer more than accounting and audit services—we offer resources for businesses and organizations seeking trusted financial guidance. Explore articles, checklists, and FAQs designed to help you understand complex audit requirements and prepare for your next financial review.
Empower Your Organization With Clear Financials
At Ernst Wintter & Associates LLP, we’re committed to providing financial statement preparation services that go beyond the basics. We deliver clarity, accuracy, and insights that empower you to make smarter financial decisions.
Certifications & Memberships
