Announcements

December 13, 2024

Resources to help you file Form 5500

Form 5500 is the annual return used to report information concerning retirement plans that are subject to the Employee Retirement Income Security Act of 1974 (ERISA). The following provides information on Form 5500 schedules, which generally apply to plans with 100 or more participants with account balances.

Schedule C (Service provider information, for all RecordkeeperDirect® plans)

The Department of Labor (DOL) requires “large” plans (in general, plans with 100 or more participants with account balances) to complete Schedule C to Form 5500 (Service Provider Information) to disclose reportable “direct” and “indirect” compensation received by the plan’s service providers. Schedule C is required if any service provider who rendered services during the plan year received $5,000 or more in direct or indirect compensation.

The following guides are available to assist you in completing Schedule C to Form 5500:


These guides are also available on the Online Forms section of the plan sponsor website.


Schedule A (Insurance information, for RecordkeeperDirect-Multifund plans only)

Schedule A is required if any plan services are provided by an insurance company. We provide the information needed for Schedule A annually, 60 days after the end of the plan year, in the “Form 5500 Annual Return Report — Schedule A” and “Form 5500 Annual Return Report — Schedule A supplement” in the Reports & Analysis section of our website. These reports are available on the website for 90 days, or can be requested on demand.

Assets reflected on the Schedule A reports are indicative of plan year data over the period that the plan has been on this recordkeeping system only. Additional Schedule A data may be required from a previous recordkeeper if the plan has not been on this recordkeeping system for the entire plan year.

Schedule D (Participating plan information, for RecordkeeperDirect-Multifund plans only)

Schedule D is required if a plan has assets in a pooled separate account. To complete this form, see the Schedule A report referenced above and the “Form 5500 Annual Return Report — Schedule D Supplement” in the Reports & Analysis section of our website. The Schedule D supplement is generated whenever the Schedule A report is run, and is also available for 90 days.

How to access the reports to help you complete Schedule A and Schedule D

  1. On the third-party administrator (TPA) website, click Actions next to the plan you want to view and select Reporting from the drop-down menu. On the plan sponsor website, click the Reports & Analysis tab.
  2. Click the Standard Reports tab and ensure Show Filter is selected on the right side of the screen.
  3. Select Last 90 Days from the Select a Time Period drop-down menu and click SUBMIT.


If the report you need does not appear, contact us to request a one-time report.

For more information, please contact us at (800) 421-6019.

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