Plan Sponsor Resources
Annual Compliance & Reporting
After each plan year, your retirement plan is required to demonstrate that it satisfies government compliance standards and a Form 5500 is required to be filed with the U.S. Department of Labor. We take care of all heavy lifting, but we do need a few items from you to complete our work:
Employee Census Data
The Employee Census Data is the payroll accumulation info for all employees on payroll during the plan year. Most payroll vendors can provide this information.
Download the Employee Census Data Template using the following button:
Ownership & Compliance Questionnaire
We need to know about your company’s ownership structure and any family members of owners that are on payroll. We also need you to certify that there were no compliance failures during the plan year. See our full compliance quetionnaire help page for more details.
Download the Ownership & Compliance Questionnaire using the following button:
Once your spreadsheets are complete, upload them back to use using our Secure File Upload site.
After your completed files are submitted, we will begin testing your plan, calculating any contribution funding that’s due, and preparing your Form 5500 filing. We will send your contribution funding notice to you via email and your Form 5500 will be sent to you for e-Signature via email (DocuSign).
Your Form 5500 must be filed by July 31, unless an extension to October 15 is needed.
Once your Form 5500 is filed, we will email you a link to download your annual compliance report package, which will include your Form 5500, compliance test reports, Summary Annual Report (SAR), and Plan Valuation Report.
Need assistance? We're happy to help.
Email us at firstname.lastname@example.org or call us at 1-800-858-6989.
P.O. Box 22968
Nashville, TN 37202
7003 Chadwick Drive
Brentwood, TN 37027
Toll Free: 1.800.858.6989
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