5500 Database v4.0
The industry’s top resource for generating qualified leads to Plan Sponsors
Fiduciary Analytics Compliance Toolkit
Analyze 5500 Filings To Identify Fiduciary Concerns of Plan Sponsors
Prospect Goldmine (PGM) has long been the industry standard for
qualified plan prospecting databases, and is now an even more powerful tool
to help you identify prospects and get hired!
Now featuring the Fiduciary Analytics Compliance Toolkit (F.A.C.T.), a
dynamic tool that analyzes 5500 filings to uncover potential fiduciary
concerns of Plan Sponsors. Uncover potential fiduciary risks in the areas of:
• Administration • ERISA
• Communication • Investment
• DOL / IRS • Plan Type
• Education • Service & Satisfaction Ratings
Demonstrate your value by providing specific actionable intelligence during
your meetings with plan sponsors.
Get detailed and current information on more than 1.4 million qualified
Search for sponsor prospects using 100+ search criteria, and download a
calling/mailing list in your area.
2008 Copyright Export detailed F.A.C.T. Reports to illustrate your value to the plan
The 401kExchange Prospect Goldmine Database is the
industry-standard prospecting and sales database licensed
by nearly 30,000 retirement professionals including leading
advisors and plan providers.
Conduct targeted searches for Plan Sponsors in your area. Use actual Survey Data from
the 401kExchange Call Center to find Sponsors interested in changing 401(k)
Administrators or Fund Managers.
Present the F.A.C.T.’s uncovered by the Fiduciary Analytics Compliance Toolkit.
Analyze 5500 Filings To Identify Fiduciary Concerns of Plan Sponsors.
Choose your geographical area including:
Remember: Less is more. The
• State less criteria you enter the
• County broader your search results will
• Telephone Area Code
• Zip Code – Including Radius Search
Refine your search by selecting:
• Sponsor Name
• Employer ID #
• Entity Type – Single or Multiple-Employer
• NAIC Code – North American Industry Classification Code
– Focus on Specific Industries
Focus in on specific Plan Sizes:
• Total Assets • Participant Contributions
• Active Participants • Average Contributions
• Average Account Balance • % Highly Compensated
• Total Contributions • # Highly Compensated
Find those plans that
fit your wheelhouse…
Find Plans of Specific Service Providers:
• Service Provider Name • Insurance Carrier
• Service Provided • Accounting Firm Name
• Fund Manager Name • Actuarial Firm Name
• Recordkeeper Name
• Actuarial Administration
• Brokerage (Real Estate)
• Brokerage (Stocks Bonds)
• Computing / Tabulating
• Contract Administrator
• Custodial (Securities)
• Insurance Agents & Brokers
• Investment Advisory
• Investment Valuations
• Investment Management
• Legal Services To Participants
• Pension Insurance Advisor
• Printing & Duplicating
• Valuation Services
Search over 90 Specific Strategies Related to Plan Filings and
Surveys. Uncover potential Fiduciary Concerns in the areas of:
• Administration • ERISA Compliance
• Communication • Investment Compliance
• DOL / IRS Compliance • Plan Type
• Education • Service & Satisfaction Ratings
Present the F.A.C.T.’s uncovered by the Fiduciary Analytics Compliance
Administration Department of Labor / I.R.S (Cont.) Investment Compliance (Cont.)
• 5500 Filing Errors • Premiums Due But Unpaid To Carrier • Questionable Investments
• Adverse CPA Opinion • Premiums Paid To Carrier • Questionable Loans or Investments
• Age Weighted or New Comparability Formula • Self-Employed Participant Issues • S-Corp ESOP Risks
• Cash Balance Accounting Compliance • Single Participant Plan • Special Tax-Exempt Concerns
• CPA Disclaimer of Opinion • Terminating Plan
• Employer Assets in Plan • Total Commissions Paid Plan Type
• Employer Match or After-Tax Contributions • Total Fees Paid
• Fidelity Bond Compliance • 401(k) or CODA Element
• Filing Extension under the DFVC Program Education • 403(b) Plan Regulations
• Final Plan Report • Money Purchase Conversion Issues
• Fraud Reported • Asset Concentration • Multiemployer Plan
• Improper Filing • Potential Advise Issues • Multi-Employer Plan
• Initial Plan Filing • Terminated Participant Issues • Section 403(b) Compliance Issues
• No CPA on Filing • Special Tax-Exempt Concerns
• No CPA Opinion
• Non-Discrimination Issues
Provider Service & Satisfaction
• Offset Plan Compliance
• Active Participants
• Change in Management or Fiduciary Committee
• Current Asset Value • 401(k) Administrator Tenure
• Prohibited Transaction(s)
• Frozen Plan Status • Fund Manager Tenure
• Questionable Investments
• PBGC Plan Compliance • Sponsor Rating of 401(k) Adminstrator
• Self-Prepared Filing
• Retired Participants & Beneficiaries • Sponsor Rating of 401(k) Fund Manager
• Untimely Contributions
• Target Benefit Compliance Issues • Provider Service Deficiencies
• Terminated Vested Participants
Communication • Defined Benefit Funding Requirement
• Declining Participation
• Low Participation
• 404(c) Compliance Risk
Department of Labor / I.R.S • Company Stock
• Employer Assets in Plan
• Defined Benefit Separate Account Benefits • ESOP Risks
• Fees and Commissions Paid By Plan • Leveraged ESOP Risks
• Gross Salary or Allowances • No 404(c) Election
• Leased Employees. Discrimination Requirements • Partial Participant Directed Investments
• Non-Qualified Plan • Participant Directed Brokerage Accounts
• Non-US Plan Requirements • Participant Directed Investments
• Offset Plan Compliance • Questionable Assets
User friendly display lets you navigate and preview plans easily to find
the information you want.
Easily create standard Avery
mailing labels for custom
View customized data organized into convenient tabs…
• Plan Summary • 5500 Filing
• Plan History • Fiduciary Analytics Compliance Toolkit Report
123 MAIN STREET
YOUR TOWN, NY
SAMPLE COMPANY 401(k) PLAN
View current and historical 5500 filings including all supporting
Export quickly and easily indo Adobe PDF documents
Be Prepared. Review your Prospect’s F.A.C.T. Report before your meeting.
Don’t just tell them you can help, show them….
Fiduciary Analytics Compliance Toolkit - F.A.C.T. Report
123 MAIN STREET
YOUR TOWN, NY
Choose from any one of our custom export options when you have
identified the data you need. Create custom marketing campaigns, mail
merge documents, address labels or update your contact management
system by creating a custom export.
Access PGM / F.A.C.T. v4.0 Today…
The 401kExchange Prospect Goldmine Database is simply the fastest way to
connect with 401(k) plan sponsors.
Prospect Goldmine / F.A.C.T. v4.0 offers more searchable criteria than other 401(k)
prospecting databases, so advisors can target qualified plan sponsors more effectively
and increase their win rate. Powerful, user-friendly search tools let you target sponsors
using more than 100 specific criteria including geographic area, asset size, number of
participants, plan features and F.A.C.T. Strategies.
Including Custom Survey Information Too!!
Fund Manager, Plan Administrator, and plan features data not found in 5500 filings.
Information updated monthly through our direct surveys of thousands of plan sponsors.
Access to qualified leads. Plan sponsor survey responses indicate overall satisfaction
with their current service providers.
New data on 100,000 Keogh plans with more than $100,000 in assets, for those
targeting high net worth individuals or single participant plans.
Choice of summary or detailed reports, plus custom reports.
Free phone access to 401kExchange customer support.
To Access Prospect Goldmine / F.A.C.T v4.0:
Call Jay Bloom at (877) 777-401k x-3392 or email email@example.com
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