Pension & 401(k) Intelligence

Find the plans that are paying too much.

Make pension and 401(k) prospecting a repeatable path to new business. Discover U.S. employers that fit your practice and explore new segments by plan size or geography. Use AI-powered plan research, fee insights, and red flags to prioritize accounts and start informed conversations with plan decision-makers, with less manual research.

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Pension and 401(k) research

New signatory. Find plans where the person signing the filing has changed.
Carrier & broker durations. See how long the incumbent has held the plan.
31 Schedule C service codes. Search the service codes reported for providers in pension and 401(k) filings.
24 compensation codes. Direct payments, investment-management fees, commissions, insurance, recordkeeping, consulting, 12b-1 fees, float revenue, finder and placement fees, soft-dollar commissions, and other investment expenses.

Choose plans to approach

38 pension red flags. Stack High Broker Fees, High Fees, Excessive Service Provider Fees, High Expense Ratio, Fidelity Bond Too Low, and No Current Broker in a single search.
Narrow the list. Plan assets, participant count, geography, current broker or service provider, and renewal criteria.
Audit intelligence. Plan assets, audit opinion, auditor, fiscal year end, and supplemental schedules from the latest filed audit.
Example search. Plans with $5M to $100M in assets and High Broker Fees OR High Expense Ratio OR Excessive Service Provider Fees.

Plan audit findings in LeO

SummaryContacts5500DOTOSHAWorker's Comp990 Nonprofits My Notes

SummaryPensionBenefitsFundProfessional Services CompaniesParticipants & AssetsTalking PointsRed FlagsAudit Section

Independent Audit

Audit intelligence

Financial health, fiduciary exposure, provider relationships, and sales opportunities from the latest plan audit.

1
Audits reviewed: $134.9M
Plan assets: 2
Risk flags

Summary

Plan name: ABC COMPANY 401(K) RETIREMENT PLAN
Employer: ABC Company
Plan type: Pension
Plan subtype: 401(k)
Fiscal year end: 2024-06-30
Auditor city / state: Campbell, California
Audit report date: 2025-04-04
Audit opinion: Unqualified
Supplemental schedules: Yes

Use this data in your prospecting

1

Find the change agent

Search new signatories on the 5500.
2

Follow the fees

Schedule C service and compensation codes, provider by provider.
3

Stack the red flags

Six fee filters in one search to surface overpaying plans.
4

Size the book

Narrow by plan assets, participants, and geography.

Build a consistent new-business pipeline across your markets. Use fresh insights to revisit target accounts, prioritize your next opportunity, and tailor outreach as business needs change.

Commercial
- Find local businesses or build a focused niche.
- Time outreach around upcoming renewals.
- Turn account insights into relevant conversations.
Benefits
- Find employers that fit your benefits expertise.
- Spot reasons to start a plan-review conversation.
- Reach decision-makers with a tailored approach.
Pension & 401(k)
- Focus on plans that match your advisory practice.
- Identify opportunities for a fresh review.
- Start informed conversations with plan sponsors.
Transportation
- Find trucking companies that fit your appetite.
- Use changing business signals to prioritize outreach.
- Bring relevant context to your next conversation.
990 Nonprofits
- Discover organizations in the communities you serve.
- Understand their needs before reaching out.
- Connect with leaders around a relevant insurance conversation.

Research the account across lines of business.

Keep your next opportunity moving. Use LeO's Outreach AI Agent for tailored outreach, export data into your sales process, or build repeatable workflows with MCP. Spend less time moving information and more time developing your book of business.

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