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Employee Benefit Plan Audits


The quality service you require – and deserve.


TaxBud combines comprehensive audit, tax, and advisory offerings to provide services tailored to the unique needs of our employee benefit plan clients. From performing plan audits in accordance with Employee Retirement Income Security Act (ERISA), to advising on regulatory and reporting requirements, to providing consulting services across the entire ERISA spectrum, we understand the fiduciary responsibilities and risks that associate with employee benefit plans. We don’t just deliver employee benefit plan compliance services, our solutions-oriented team becomes each client’s trusted ERISA advisor.

Our employee benefits professionals work with clients of all sizes across all industries – from small businesses requiring first-year audits to Fortune 500 companies – conducting assessments and providing guidance as they navigate through the challenges of today’s ever-changing regulatory climate. TaxBud has firms with more than 30 years of experience serving employee benefit plan sponsors. Our services include:


Investment Management

Client-driven advisory vested in your success.

As fiduciaries, we are always mindful of our clients’ best interests. Our advisors – many of whom are CFA® charter-holders, Certified Financial Planners and Certified Public Accountants – recommend appropriate investments according to risk tolerance, investment goals, and liquidity and income needs, while striving to minimize potential tax consequences through effective coordination of retirement, tax, and wealth strategies.

Today’s global financial markets are vast, sophisticated, and dynamic. At TaxBud, our accountants are meticulous and deliberate in our portfolio construction. Our advisors evaluate each and every investment, leveraging independent research to inform their recommendations. And, by managing the volatility of our portfolios through diversification across multiple asset classes, we are better able to help navigate our clients through all market environments and over the long run.

  • Employee Benefit Plan Audits

  • SEC Form 11-K Plan Filing

  • ERISA Consulting


    Plan Audits

    The top choice when considering a quality plan auditor.

    Our dedicated team currently provides audit services to thousands of employee benefits plans. At TaxBud, we are committed to serving our clients at the highest level.

    Our employee benefits professionals participate in frequent, focused training sessions, enabling them to stay ahead of the ever-changing regulatory and compliance environment and to deliver on our promise to continually meet and exceed the highest standards of our profession.

  • SEC 11-K filings

  • 401(k) plans

  • 403(b) plans

  • Profit-sharing plans

  • Employee Stock Ownership Plans (ESOPs)

  • Defined benefit pension plans

  • Union-represented plans

  • Health and welfare benefit plans

  • Master trust arrangements

  • Full-scope audits

  • Limited-scope audits

  • Complex and alternative investments

  • Plan mergers, acquisitions, and spin-offs

  • Full or partial plan terminations

  • Initial audits and stub period audits

  • DOL and IRS investigation assistance

  • ERISA compliance matters

  • Form 5500 and Form 990 or 990T Filings


    SEC Form 11-K Plan Filing

    A trusted advisor to public companies.

    At TaxBud, we have a long history assisting public company clients with the regulatory reporting requirements pertaining to employee benefit plans, including the annual Form 11-K filings with the U.S. Securities and Exchange Commission (SEC).

    Our team assists clients required to file Form 11-K, including Fortune 500 companies, many with billions of dollars in complex investment portfolios and more than ten thousand plan participants. We focus solely on the plan’s audit and SEC filing requirements, which ensures the plan’s Form 11-K filings are complete in time for the SEC’s 180-day early filing deadline.

    Our professionals perform full-scope audits for plans that file Form 11-K, including those with complex and alternative investments arrangements, working closely with plan management to ensure that the plan’s filing meets all of the necessary SEC disclosure requirements. We understand the unique requirement to meet both GAAS and PCAOB standards, and ensure plan audits are performed in compliance with these standards.

    Additionally, our highly specialized team is well positioned to assist in the preparation of financial statements and disclosures in the event we are not performing the audit of the plan.


    ERISA Consulting

    Meaningful insights and technical expertise.

    At TaxBud, we go beyond the traditional employee benefit plan audit and tax services. With the right mix of audit, tax, actuary, record-keeping, and compensation and benefits professionals, we’re also proud to offer dedicated consulting services across the entire ERISA spectrum. Along with designing initial ERISA plans, financial statement preparation, and a wide range of actuarial work, we also help our clients identify and rectify any potential errors commonly found in their existing ERISA plans. Our professionals are well-versed in current and legislative requirements, allowing us to help companies achieve – and retain – compliance in all aspects of their plan.

    Backed by the resources of TaxBud’s extensive network, our ERISA Consulting services provide meaningful insights and technical expertise. We have dedicated ERISA professionals available to provide services with each of our local offices, ensuring that every client we work with receives high-quality service, designed to help them achieve their unique goals.