Employee Benefit Plan Audits

Behind every 401(k) balance is an employee counting on a real retirement plan. The audit that protects that promise isn't a formality. It's a federal requirement under ERISA, and the quality of the firm conducting it determines whether your plan is actually protected or just technically compliant.

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Springline Advisory, LLC and its affiliates are not licensed CPA firms and do not provide attest services. Attest services are provided by independent licensed CPA firms operating in an alternative practice structure with Springline Advisory, LLC or one of its affiliates.

Your Participants Are Counting On This

For plan sponsors, the annual employee benefit plan audit is not just another compliance exercise. It is part of the broader fiduciary responsibility that comes with overseeing retirement and welfare plans on behalf of employees. The reporting has to be right. The timing has to work. And the audit team has to understand the areas unique to employee benefit plans, not just general audit procedures.

Springline's employee benefit plan audit teams are members of the AICPA Employee Benefit Plan Audit Quality Center — a national community of CPA firms demonstrating a commitment to the highest standards of EBP audit quality. Our teams bring focused EBP expertise, current technical knowledge of ERISA and IRS requirements, and an audit process designed to protect your plan, protect your participants, and protect you as a fiduciary.

In the end, our goal is not only to meet filing requirements but to help you move through the process with fewer surprises, clearer communication, and greater confidence in the work behind the report.

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A Qualified Plan Auditor Matters More Than Ever

Employee benefit plan audits are shaped by a stricter regulatory environment, rising participant expectations, and closer review of auditor quality. For plan sponsors, that means the audit has to do more than check the filing box. It has to stand up to the standards behind it.

The SECURE 2.0 Act introduced phased changes to automatic enrollment requirements, required minimum distributions, catch-up contribution rules, and more — with provisions continuing to take effect through 2025 and beyond. Plans that haven't updated documents, administrative procedures, and participant communications to reflect these changes face compliance exposure that a thorough audit should surface.

In Their Own Words

Results are one thing. Relationships are another. At Springline, we work hard to earn both. Here’s what our clients say.

The team at Springline is outstanding, which is why I have worked with them over the last five years. They are extremely knowledgeable and always reply quickly to any questions. In addition, they always provide a very quick turnaround on the reports we need to keep moving forward. The team has truly been five-star teammates!

Jim Kelly | Community National Bank

We know when working with the Springline team that we don’t have to worry. They know all the questions to ask and create a seamless process for everyone. I love working with such an experienced, competent and creative team. Their team members are focused, they’re experts, and they’re willing to think outside the box.

Kristen McSparren | Heritage Consulting Group

Without the credits we earned thanks to the team at Springline, this project would not have happened — hands down, bar none. Because of these tax credits, there are a lot of beautiful buildings across the state that are being saved.

Andrew Brain | Brain Group/ Park 39 Campus

The Springline team has been fantastic. They are responsive, knowledgeable, and help us through taxes making it simple for us. They have been very valuable and are very easy to work with!

Kevin Cavanaugh | JAGR Management LLC

The Springline team knows our operations and our business very well. The service they provide is very closely aligned with our expectations and values. It’s a really good partnership that has been built over decades.

Pete Jaeger | Endress+Hauser USA Holding, Inc.

The team at Springline is always available to take calls and discuss complicated tax and accounting questions. I have been pleased with the overall competence and professionalism of the team I work with.

David Erisman | ERISYS LLC

The Springline team is always amazing in terms of responses, turnaround time, and professionalism while being friendly and personable — something I’ve found to be rare in an accounting firm. Tax season is a breeze with Springline in my corner!

Sandra Martini | Martini Way, LLC

Our Springline team is just that, a TEAM!! We are extremely happy with the communication throughout every project we have with Springline, the thoroughness and completeness of the team’s work is unmatched, resulting in an amazing final product to us the customer!

Tyler Miller | Legacy View Investments

Our Springline team has been very responsive to our expanding needs. They can do simple just fine, but then they kicked into higher gear to take care of our changing more complex financial needs and tax concerns. They brought in a special expert to take care of our new financial demands and create a plan on how to handle them from a tax perspective.

Nancy Branyas |

The Springline team is exemplary. Communication is prompt and thorough. They are extremely knowledgeable and efficient. I’m confident that they can provide a good solution for anything I present. I know they are busy and at the same time they make me feel like I’m their only client.

Scot Sparks | 1900 Baltimore LLC

We chose to work with Springline based on our work together on our personal taxes for which they have always gone the extra mile to make sure we’re taken care of. The team is made of true professionals, while still being approachable. They really get to know you. This isn’t always the case with accounting firms in my experience. It has been a pleasure to work with them.

Katherine Lawson | Inspired by Alchemy

The Springline team has been fabulous to work with. They are extremely knowledgeable, proactive, and unbelievably attentive to all questions and concerns.

Brian Bischoff | Linkmeyer Development II, LLC

What I like best about working with Springline is their family-friendly approach. They instantly make you feel important as a client and not like a number.

Lindsey Miller | Legacy Contracting Group, LLC

It’s been a game-changer. Having three sets of eyes on financial matters keeps us aligned with our growth goals and gives me the peace of mind we’re controlling the business, versus the business controlling us.

Crux KC Marketing Firm | Founder & CEO

They’ve been an excellent business partner for over 12 years, helping us navigate difficult times and enabling us to minimize taxes. They helped us acquire a company and partnered with us as revenues increased significantly in a short time. They also assisted as we exited certain product lines for more profitable ventures. We have been impressed by the strategic deployment of their tax knowledge as well as successful navigation of an exhaustive IRS audit.

Healthcare Company | CFO

Your firm is amazing! Partnering with you is definitely one of the top business decisions of my career. To be able to now pay off outstanding IRS lien and to be current is a wonderful feeling. Thank you for all you do. I appreciate you more than you will ever know

Senior Care Services Company | Business Owner

They’re consistently there for a quick question or an intense review of our monthly and yearly close out. We can always count on them for fast, friendly, and reliable people to help move us forward to be the best in our industry.

Electrical Associates | Finance Manager

What We Deliver

Employee benefit plan audit execution
Independent audits designed to meet ERISA and DOL requirements while addressing the unique financial, operational, and participant-related considerations that apply to benefit plans.
Plan-specific risk and compliance focus
A risk-based audit approach that concentrates on the areas most likely to create compliance issues, reporting errors, or fiduciary concerns, including participant activity, plan operations, internal controls, and investment-related matters.
Coordination with plan stakeholders
A process that works in coordination with TPAs, benefit advisors, internal finance teams, and other service providers to keep the engagement moving accurately and efficiently.
Practical insight beyond the filing requirement
Audit work that helps plan sponsors identify opportunities to strengthen controls, improve administration, and respond more effectively to DOL and IRS expectations.

Our Employee Benefit Plan Audit Capabilities

Employee benefit plan auditing is a specialized discipline. Springline's experts approach it that way. Our practice is built to help plan sponsors meet annual requirements, address plan-specific risks, and work through the operational issues that often surface during the audit process.

CLIENT SUCCESS STORIES

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