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💼 DOL Form 5500 ERISA Retirement Plan Filing Tracker — $11T retirement disclosure feed for RIA wholesalers, 401(k) auditors, and plaintiff law firms

Pull every ERISA-covered retirement plan from the U.S. Department of Labor's Form 5500 + Schedule H bulk dataset — plan name, sponsor, EIN, state, total assets, participant counts, recordkeeper, trustee, auditor, filed date, and electronic filing ID. The DOL EBSA datasets cover ~800,000 retirement and welfare benefit plans annually, encompassing the entire ~$11 trillion U.S. employer-sponsored retirement market. Filter by state, asset tier, and plan type (401(k) or defined-benefit). Sourced directly from the DOL EBSA bulk publication.

One actor. One token. The DOL retirement-plan disclosure dataset that powers Larkspur ($5K-$25K/seat/yr), Judy Diamond Associates, and BrightScope — delivered as structured JSON for cents per record.

⚡ What You Get

Every record returned by this actor is structured JSON with the fields below populated wherever the Form 5500 / Schedule H source filing provides them:

• plan_name, sponsor_name, sponsor_dba_name
• EIN, plan_number, electronic_filing_id (ACK_ID — the EFAST2 acknowledgment)
• state, sponsor_city, sponsor_zip, sponsor_address_1, sponsor_phone, business_code (NAICS)
• plan_year_begin, plan_year_end, plan_effective_date, filed_date, filing_status
• total_assets (Schedule H end-of-year), total_assets_boy, net_income
• total_participants, total_participants_boy, participants_with_balance, contributing_employers
• plan_type (computed: 401(k), defined-benefit-single-employer, defined-benefit-multiemployer, welfare, or pension-other)
• type_pension_code (raw DOL feature-code string), type_welfare_code
• recordkeeper, trustee, trustee_ein, auditor, auditor_ein, accountant_opinion_type
• amended, final_filing, initial_filing (filing-status flags)
• sch_h_attached, sch_i_attached, sch_sb_attached (DB single-employer), sch_mb_attached (DB multiemployer)
• form_year, filing_url (EFAST2 plan-detail permalink)
• sources (the exact DOL bulk-file URLs every value came from — full audit trail)

The output schema is stable across runs — safe to load straight into Snowflake, BigQuery, Postgres, or your CRM without re-mapping each refresh.

🎯 Use Cases

• RIA / wealth-mgmt wholesalers — Set state_filter=CA, min_assets=10000000, plan_type=401(k) to get every California 401(k) plan with $10M+ AUM. The sponsor name, EIN, recordkeeper, and current auditor become a direct call-list for retirement-plan RFP outreach. Comparable: Larkspur 401(k) Data at $5K-$25K/seat/yr.
• 401(k) plan auditor lead-gen — Filter to plans whose accountant_opinion_type indicates a coming RFP cycle and whose current auditor field shows a fragile relationship (one-off CPA, small regional firm). Auditor-rotation outreach is a known acquisition channel for top-50 employee-benefit-plan audit firms.
• Plaintiff class-action firms (excessive-fees cases) — The intersection of high total_assets + high participants_with_balance + non-name-brand recordkeeper is the screen for ERISA §404(a) excessive-fees prospects. Schlichter Bogard & Denton-style fee-litigation intake counsel pay $25K-$100K/yr for monitoring feeds; this actor delivers the same screen for cents per record.
• Wealth-management HNW conversion — Plan sponsors of $1B+ DB plans (plan_type=defined-benefit, min_assets=1000000000) cluster at the sponsor-company executive level. Cross-join the sponsor address + plan administrator name with SEC Form 4 / proxy data to identify named-fiduciary HNW prospects.
• Pension risk-transfer M&A — plan_type=defined-benefit + frozen-plan indicators (low total_participants growth + Schedule SB attached) is the canonical pension-risk-transfer pipeline. PRT advisors (Mercer, Aon, Cambridge Group) pay institutional rates for this filter.
• DOL EBSA enforcement researchers — Track sponsor-by-sponsor filing history (amended, final_filing, filing_status) over multiple years to surface late-filers, abandoned plans, and DFVC program candidates.

💰 Pricing Example

This actor uses pay-per-event pricing. You pay only for the plan records you actually receive — no subscription, no seat license, no procurement cycle.

A serious RIA wholesaler's prospecting refresh — every California 401(k) plan with $10M+ assets, monthly — typically pulls 800-1,500 records. That's $96-$180/mo, replacing a $5,000-$25,000/seat-year Larkspur seat outright.

For 10K+ records/month volumes, contact NexGenData for volume discounts.

🔗 Related Actors (NexGenData Wealth-Management Intelligence Cluster)

This actor is the first in NexGenData's wealth-management cluster — pair with the existing SEC / regulatory feeds for end-to-end coverage of the institutional investor pipeline:

Browse the full 200+ actor catalog at https://apify.com/nexgendata?fpr=2ayu9b.

🚀 How To Use

Sample input

{
"mode":"search",
"state_filter":"CA",
"min_assets":10000000,
"max_assets":1000000000,
"plan_type":"401(k)",
"year":2024,
"max_plans":100
}

Sample output (one record)

{
"plan_name":"ACME CORPORATION 401(K) RETIREMENT PLAN",
"sponsor_name":"ACME CORPORATION",
"sponsor_dba_name":null,
"EIN":"941234567",
"plan_number":"001",
"state":"CA",
"sponsor_city":"SAN FRANCISCO",
"sponsor_zip":"94105",
"sponsor_address_1":"555 MARKET ST",
"sponsor_phone":"4155551212",
"business_code":"541511",
"plan_year_begin":"2024-01-01",
"plan_year_end":"2024-12-31",
"plan_effective_date":"1998-04-01",
"total_assets":47823500.0,
"total_assets_boy":42100200.0,
"net_income":5723300.0,
"total_participants":412,
"total_participants_boy":398,
"participants_with_balance":412,
"contributing_employers":1,
"plan_type":"401(k)",
"type_pension_code":"2E 2J 2K 2T",
"type_welfare_code":"",
"recordkeeper":"FIDELITY INVESTMENTS INSTITUTIONAL OPERATIONS CO",
"trustee":"FIDELITY MANAGEMENT TRUST COMPANY",
"trustee_ein":"041867445",
"auditor":"GRANT THORNTON LLP",
"auditor_ein":"366055558",
"accountant_opinion_type":"1",
"filed_date":"2025-07-22",
"filing_status":"FILING_RECEIVED",
"electronic_filing_id":"20250722142145NAL0009123456001",
"amended":false,
"final_filing":false,
"initial_filing":false,
"form_year":2024,
"sch_h_attached":true,
"sch_i_attached":false,
"sch_sb_attached":false,
"sch_mb_attached":false,
"filing_url":"https://www.efast.dol.gov/5500Search/plan-detail?ackId=20250722142145NAL0009123456001",
"sources":{
"form_5500_bulk":"https://www.askebsa.dol.gov/FOIA%20Files/2024/Latest/F_5500_2024_Latest.zip",
"schedule_h_bulk":"https://www.askebsa.dol.gov/FOIA%20Files/2024/Latest/F_SCH_H_2024_Latest.zip",
"efast_search_ui":"https://www.efast.dol.gov/5500Search/"
}
}

Python (apify-client)

from apify_client import ApifyClient
client = ApifyClient("YOUR_APIFY_TOKEN")
run = client.actor("nexgendata/dol-form-5500-erisa-plan-tracker").call(run_input={
"mode":"search",
"state_filter":"CA",
"min_assets":10000000,
"plan_type":"401(k)",
"year":2024,
"max_plans":100,
})
for item in client.dataset(run["defaultDatasetId"]).iterate_items():
print(item["plan_name"], item["sponsor_name"], item["total_assets"], item["recordkeeper"])

cURL

curl-X POST "https://api.apify.com/v2/acts/nexgendata~dol-form-5500-erisa-plan-tracker/run-sync-get-dataset-items?token=YOUR_APIFY_TOKEN"\
-H"Content-Type: application/json"\
-d'{
 "mode": "search",
 "state_filter": "CA",
 "min_assets": 10000000,
 "plan_type": "401(k)",
 "year": 2024,
 "max_plans": 100
 }'

Schedule monthly on Apify's built-in scheduler for an always-fresh RIA prospecting feed — the DOL EBSA datasets are refreshed around the first of each month, so a 5th-of-month schedule catches every new filing.

⚖️ Legal & Data Source Notes

• ERISA §104 mandates public disclosure of every covered retirement plan's annual Form 5500. The DOL EBSA explicitly publishes these datasets "for researchers, advocates, plan sponsors, service providers, and the general public" — see DOL Form 5500 Datasets page.
• No anti-bot, no auth. The DOL bulk-CSV files are static ZIP archives on the public DOL EBSA CDN. This actor only reads from the official publication path.
• Schema source. The recordkeeper field maps to Schedule H field FDCRY_TRUSTEE_CUST_NAME (fiduciary trustee/custodian — the most common recordkeeper proxy in the Schedule H bulk data). For plans where the recordkeeper is filed as a separate Schedule C service provider rather than the trustee, this field may be the trustee name; cross-reference the full Schedule C service-provider data via the bulk Schedule C files if you need 100% recordkeeper coverage.
• Schedule I plans excluded when min_assets > 0. Small plans (typically under $250K in assets) file Schedule I rather than Schedule H, and the bulk Schedule I file doesn't include total-asset detail. Set min_assets=0 to include those plans, or treat them separately via a follow-up run.

❓ FAQ

Q: How current is the data?

A: The DOL updates the bulk Form 5500 datasets around the first of each month. Plans typically file in the second half of the year after their plan-year end (e.g. 2024 plan-year filings dominate the dataset July 2025 – April 2026). The 2025 dataset is sparse until July 2026.

Q: Why don't I see total_assets for some plans?

A: Small plans file Schedule I, not Schedule H. The bulk Schedule I file omits the asset detail that Schedule H carries. Set min_assets=0 to include Schedule I plans, but the total_assets field will be null for them.

Q: What's the ACK_ID / electronic_filing_id?

A: It's the EFAST2 acknowledgment ID — a unique identifier for each electronic filing. Use it to look up the original PDF / XML filing on the EFAST search UI.

Q: Can I get foreign-sponsored plans?

A: This actor's state_filter filters on US states only. To include foreign-sponsored plans, leave state_filter blank — the output then includes plans with state = null or a non-US value.

Q: Are amendments included?

A: Yes. The amended flag is set when the filing is an amendment (Form 5500/A). Treat amendments as overriding the original for the same EIN + plan_number.

Q: Does this cover health & welfare plans?

A: Yes — set plan_type=any to include welfare plans (medical, dental, life-insurance, HRAs, etc.). The type_welfare_code field then carries the DOL welfare-feature codes (4A through 4T).

Q: How is plan_type determined?

A: We classify as 401(k) when DOL pension-feature code 2J is present in the raw TYPE_PENSION_BNFT_CODE string. defined-benefit-single-employer when Schedule SB is attached; defined-benefit-multiemployer when Schedule MB is attached. The raw codes are also exposed in type_pension_code and type_welfare_code for power users.

🏷️ About NexGenData

NexGenData publishes 200+ buyer-intent Apify actors covering SEC filings, federal regulatory data (DOL, FDA, FCC, EPA, FTC, CFPB, FEC, IRS 990, FAA), private-market intelligence (Form D, IPO, 13F, 13D/G), stock screeners across 30+ exchanges (NYSE, NASDAQ, LSE, TSX, ASX, HKEX, KOSPI, SGX, B3, BSE), B2B lead generation, and competitive intelligence. All actors are pay-per-result with no seat licences and no minimum commitments.

Browse the full catalog and start a free run at https://apify.com/nexgendata?fpr=2ayu9b.