# DOL Form 5500 ERISA Plan Tracker (`automation-lab/dol-form-5500-erisa-plan-tracker`) Actor Search DOL Form 5500 ERISA filings by sponsor, EIN, state, participants, and Schedule H assets. Export ERISA plan data as JSON, CSV, or Excel. - **URL**: https://apify.com/automation-lab/dol-form-5500-erisa-plan-tracker.md - **Developed by:** [Stas Persiianenko](https://apify.com/automation-lab) (community) - **Categories:** Lead generation, Other - **Stats:** 2 total users, 1 monthly users, 100.0% runs succeeded, 0 bookmarks - **User rating**: No ratings yet ## Pricing Pay per event This Actor is paid per event. You are not charged for the Apify platform usage, but only a fixed price for specific events. Since this Actor supports Apify Store discounts, the price gets lower the higher subscription plan you have. Learn more: https://docs.apify.com/platform/actors/running/actors-in-store#pay-per-event ## What's an Apify Actor? Actors are a software tools running on the Apify platform, for all kinds of web data extraction and automation use cases. In Batch mode, an Actor accepts a well-defined JSON input, performs an action which can take anything from a few seconds to a few hours, and optionally produces a well-defined JSON output, datasets with results, or files in key-value store. In Standby mode, an Actor provides a web server which can be used as a website, API, or an MCP server. Actors are written with capital "A". ## How to integrate an Actor? If asked about integration, you help developers integrate Actors into their projects. You adapt to their stack and deliver integrations that are safe, well-documented, and production-ready. The best way to integrate Actors is as follows. In JavaScript/TypeScript projects, use official [JavaScript/TypeScript client](https://docs.apify.com/api/client/js.md): ```bash npm install apify-client ``` In Python projects, use official [Python client library](https://docs.apify.com/api/client/python.md): ```bash pip install apify-client ``` In shell scripts, use [Apify CLI](https://docs.apify.com/cli/docs.md): ````bash # MacOS / Linux curl -fsSL https://apify.com/install-cli.sh | bash # Windows irm https://apify.com/install-cli.ps1 | iex ```bash In AI frameworks, you might use the [Apify MCP server](https://docs.apify.com/platform/integrations/mcp.md). If your project is in a different language, use the [REST API](https://docs.apify.com/api/v2.md). For usage examples, see the [API](#api) section below. For more details, see Apify documentation as [Markdown index](https://docs.apify.com/llms.txt) and [Markdown full-text](https://docs.apify.com/llms-full.txt). # README ## DOL Form 5500 ERISA Plan Tracker Search, filter, and export US Department of Labor Form 5500 ERISA filings from public EBSA FOIA bulk files. Use this actor to turn large annual DOL ZIP/CSV disclosures into clean plan records for prospecting, compliance research, audits, litigation support, and retirement-market intelligence. ### What does DOL Form 5500 ERISA Plan Tracker do? This actor downloads official DOL EBSA Form 5500 public disclosure files. It parses the annual filing CSV. It optionally joins Schedule H financial rows. It filters filings by year, sponsor, EIN, state, participants, assets, and filing status. It saves normalized plan records to an Apify dataset. Each record includes sponsor identifiers, plan identifiers, participant counts, benefit codes, administrator details, Schedule H financial fields when available, and source metadata. ### Who is it for? ๐Ÿ‘” 401(k) advisors can find retirement-plan sponsors by size, state, assets, and filing year. ๐Ÿ“Š RIA and wealth-data teams can refresh Form 5500 datasets without handling raw DOL ZIP files. ๐Ÿงพ ERISA auditors can identify plans with relevant participant or asset thresholds. โš–๏ธ ERISA litigators can build research lists from public filings. ๐Ÿข Benefits consultants can discover plan sponsors and administrators in specific states. ๐Ÿง‘โ€๐Ÿ’ป Data engineers can feed normalized records into CRMs, warehouses, dashboards, and enrichment workflows. ### Why use this actor? The raw DOL files are public, but they are large ZIP archives with many columns and inconsistent empty values. This actor provides a repeatable Apify workflow around those files. You do not need to manually download ZIPs. You do not need to write CSV parsing logic. You do not need a browser session. You do not need an account with DOL. You get a clean dataset that is ready for export, API access, scheduling, or integration. ### Data sources The actor uses public EBSA FOIA disclosure ZIP files from `askebsa.dol.gov`. The main source is `F_5500_{year}_Latest.zip`. When financial enrichment or asset filters are enabled, the actor also downloads `F_SCH_H_{year}_Latest.zip`. The actor records the source year, file name, and source URL on every item. ### Input options `filingYears` selects one or more filing years. `maxItems` limits how many matching plan records are saved. `sponsorName` matches sponsor name or plan name text. `sponsorEin` matches a sponsor EIN exactly, ignoring dashes. `states` filters by sponsor/admin US state abbreviations. `planEntityCodes` filters by DOL plan entity code. `initialFilingsOnly` keeps filings marked as initial. `amendedFilingsOnly` keeps filings marked as amended. `minParticipants` and `maxParticipants` filter by active participant count. `minAssets` and `maxAssets` filter by Schedule H end-of-year assets. `includeScheduleH` controls whether Schedule H financial fields are joined. ### Example input ```json { "filingYears": [2023], "states": ["NY"], "minParticipants": 500, "minAssets": 10000000, "maxItems": 100, "includeScheduleH": true } ```` ### Output fields | Field | Description | | --- | --- | | `ackId` | DOL filing acknowledgement ID | | `filingYear` | Filing year requested | | `planName` | Name of the ERISA plan | | `planNumber` | Sponsor plan number | | `sponsorName` | Sponsor or DFE name | | `sponsorEin` | Sponsor EIN | | `sponsorState` | Sponsor state | | `administratorName` | Plan administrator name | | `activeParticipants` | Active participant count | | `pensionBenefitCodes` | Pension benefit code list | | `welfareBenefitCodes` | Welfare benefit code list | | `scheduleH` | Optional nested financial fields | | `sourceFile` | DOL CSV member parsed | | `sourceUrl` | DOL ZIP URL | ### Schedule H financial fields When Schedule H is joined, the nested `scheduleH` object can include total assets, liabilities, net assets, employer contributions, participant contributions, total contributions, total income, total expenses, net income, and fidelity bond amount. Not every Form 5500 filing has a Schedule H row. The field `scheduleHAttached` tells you whether financial data was joined for that record. Asset filters only match filings with Schedule H financial rows. ### How much does it cost to extract DOL Form 5500 filings? The actor uses pay-per-event pricing. There is a small start charge per run. There is a per-record charge for each saved dataset item. Current pricing is a $0.005 start event and formula-derived tiered per-record pricing. The Bronze item price is $0.000028522 per saved plan record, with lower rates for higher Apify tiers. Use `maxItems` for predictable run cost. ### How to run it 1. Open the actor on Apify. 2. Choose one or more filing years. 3. Add sponsor, EIN, state, participant, or asset filters. 4. Set `maxItems` to your desired export size. 5. Run the actor. 6. Export the dataset as JSON, CSV, Excel, XML, or RSS. ### Prospecting workflow Start with one recent filing year. Filter by state. Add `minParticipants` to focus on plans above your advisory threshold. Add `minAssets` when you need Schedule H financial qualification. Export sponsor names, EINs, plan names, participant counts, assets, and administrator fields. Upload the result to your CRM or enrichment system. ### Compliance research workflow Use `sponsorEin` for a known organization. Run across the desired years. Review plan names, filing status, participant counts, and Schedule H fields. Use `ackId`, `sourceFile`, and `sourceUrl` for traceability back to the DOL disclosure source. ### API usage with Node.js ```js import { ApifyClient } from 'apify-client'; const client = new ApifyClient({ token: process.env.APIFY_TOKEN }); const run = await client.actor('automation-lab/dol-form-5500-erisa-plan-tracker').call({ filingYears: [2023], states: ['NY'], maxItems: 100, includeScheduleH: true, }); const { items } = await client.dataset(run.defaultDatasetId).listItems(); console.log(items[0]); ``` ### API usage with Python ```python from apify_client import ApifyClient client = ApifyClient('YOUR_APIFY_TOKEN') run = client.actor('automation-lab/dol-form-5500-erisa-plan-tracker').call(run_input={ 'filingYears': [2023], 'states': ['NY'], 'maxItems': 20, 'includeScheduleH': True, }) items = client.dataset(run['defaultDatasetId']).list_items().items print(items[0]) ``` ### API usage with cURL ```bash curl -X POST 'https://api.apify.com/v2/acts/automation-lab~dol-form-5500-erisa-plan-tracker/runs?token=YOUR_APIFY_TOKEN' \ -H 'Content-Type: application/json' \ -d '{"filingYears":[2023],"states":["NY"],"maxItems":20,"includeScheduleH":true}' ``` ### MCP integration Use Apify MCP to call this actor from Claude Desktop, Claude Code, or other MCP-compatible tools. MCP endpoint: `https://mcp.apify.com/?tools=automation-lab/dol-form-5500-erisa-plan-tracker` Add it to Claude Code with the Apify MCP server: ```bash claude mcp add apify-form-5500 --url "https://mcp.apify.com/?tools=automation-lab/dol-form-5500-erisa-plan-tracker" \ --header "Authorization: Bearer YOUR_APIFY_TOKEN" ``` Claude Desktop MCP server configuration: ```json { "mcpServers": { "apify-form-5500": { "url": "https://mcp.apify.com/?tools=automation-lab/dol-form-5500-erisa-plan-tracker", "headers": { "Authorization": "Bearer YOUR_APIFY_TOKEN" } } } } ``` Example prompt: "Run the DOL Form 5500 ERISA Plan Tracker for 2023 New York plans with at least 500 active participants and summarize the biggest sponsors." ### Tips for better results Use one year first when exploring a market. Use `includeScheduleH: false` if you only need sponsor and participant fields. Use asset filters only when Schedule H enrichment is important. Use EIN filtering for precise sponsor lookups. Use state and participant filters for lead generation. Increase `maxItems` only after your filters produce the right kind of plans. ### Performance notes The actor is HTTP-only. It does not use a browser. It does not use a proxy by default. It downloads official ZIP files from DOL. Large year ranges may take longer because each year is parsed independently. Schedule H joining requires an extra ZIP download per year. ### Integrations Send plan records to Salesforce, HubSpot, or another CRM. Load the dataset into Snowflake, BigQuery, or Postgres. Schedule monthly or quarterly runs to refresh your plan universe. Connect results to enrichment APIs for contact discovery. Trigger alerts when new or amended filings match your target criteria. ### Limitations The actor depends on DOL public FOIA files being available. The actor does not infer missing financials when Schedule H is absent. The actor does not provide legal, tax, or investment advice. Some plan-type codes require domain interpretation by ERISA professionals. ### Legality This actor uses public US Department of Labor disclosure files. Users are responsible for complying with applicable laws, contracts, privacy rules, and professional obligations when using exported data. Do not use the data for unlawful discrimination, harassment, or spam. ### Related Apify actors Explore more public-data and finance scrapers from Automation Lab: - https://apify.com/automation-lab/sec-form-nport-mutual-fund-holdings-scraper - https://apify.com/automation-lab/propublica-nonprofit-explorer-scraper - https://apify.com/automation-lab/company-funding-tracker - https://apify.com/automation-lab/samgov-government-contracts-scraper ### Troubleshooting #### Why are no records returned? Your filters may be too strict. Try one recent filing year, remove asset filters, and lower participant thresholds. #### Why is `scheduleHAttached` false? Not every Form 5500 filing has a Schedule H row. Welfare plans and smaller filings may not include Schedule H financials. #### Why does a run take longer with asset filters? Asset filters require downloading and parsing Schedule H data before matching Form 5500 rows. ### FAQ #### Can I search by EIN? Yes. Use `sponsorEin`; dashes are ignored. #### Can I search multiple years? Yes. Provide several values in `filingYears`. #### Can I export CSV? Yes. Apify datasets can be exported as CSV, JSON, Excel, XML, HTML, and RSS. #### Does this actor require login? No. It uses public DOL disclosure files. #### Does it scrape live web pages? No. It processes official FOIA ZIP/CSV files over HTTP. # Actor input Schema ## `filingYears` (type: `array`): Form 5500 filing years to scan. Newest-first years work best for prospecting and compliance monitoring. ## `maxItems` (type: `integer`): Stop after this many matching plan filings have been saved. ## `sponsorName` (type: `string`): Optional case-insensitive text match against sponsor name and plan name, e.g. ACME or 401K. ## `sponsorEin` (type: `string`): Optional exact EIN match. Dashes are ignored. ## `states` (type: `array`): Optional US state abbreviations for sponsor/admin location filtering. ## `planEntityCodes` (type: `array`): Optional DOL TYPE\_PLAN\_ENTITY\_CD values. Leave blank to include all plan entity types. ## `initialFilingsOnly` (type: `boolean`): Return only filings marked as initial/new filings. ## `amendedFilingsOnly` (type: `boolean`): Return only filings marked as amended filings. ## `minParticipants` (type: `integer`): Only include plans with at least this many active participants. ## `maxParticipants` (type: `integer`): Only include plans with at most this many active participants. ## `minAssets` (type: `integer`): Only include plans with at least this many end-of-year assets in Schedule H. ## `maxAssets` (type: `integer`): Only include plans with at most this many end-of-year assets in Schedule H. ## `includeScheduleH` (type: `boolean`): Downloads and joins Schedule H financial data. Automatically enabled when asset filters are used. ## Actor input object example ```json { "filingYears": [ 2023 ], "maxItems": 20, "states": [ "NY" ], "initialFilingsOnly": false, "amendedFilingsOnly": false, "includeScheduleH": true } ``` # Actor output Schema ## `overview` (type: `string`): No description # API You can run this Actor programmatically using our API. Below are code examples in JavaScript, Python, and CLI, as well as the OpenAPI specification and MCP server setup. ## JavaScript example ```javascript import { ApifyClient } from 'apify-client'; // Initialize the ApifyClient with your Apify API token // Replace the '' with your token const client = new ApifyClient({ token: '', }); // Prepare Actor input const input = { "filingYears": [ 2023 ], "maxItems": 20, "states": [ "NY" ] }; // Run the Actor and wait for it to finish const run = await client.actor("automation-lab/dol-form-5500-erisa-plan-tracker").call(input); // Fetch and print Actor results from the run's dataset (if any) console.log('Results from dataset'); console.log(`๐Ÿ’พ Check your data here: https://console.apify.com/storage/datasets/${run.defaultDatasetId}`); const { items } = await client.dataset(run.defaultDatasetId).listItems(); items.forEach((item) => { console.dir(item); }); // ๐Ÿ“š Want to learn more ๐Ÿ“–? Go to โ†’ https://docs.apify.com/api/client/js/docs ``` ## Python example ```python from apify_client import ApifyClient # Initialize the ApifyClient with your Apify API token # Replace '' with your token. client = ApifyClient("") # Prepare the Actor input run_input = { "filingYears": [2023], "maxItems": 20, "states": ["NY"], } # Run the Actor and wait for it to finish run = client.actor("automation-lab/dol-form-5500-erisa-plan-tracker").call(run_input=run_input) # Fetch and print Actor results from the run's dataset (if there are any) print("๐Ÿ’พ Check your data here: https://console.apify.com/storage/datasets/" + run["defaultDatasetId"]) for item in client.dataset(run["defaultDatasetId"]).iterate_items(): print(item) # ๐Ÿ“š Want to learn more ๐Ÿ“–? Go to โ†’ https://docs.apify.com/api/client/python/docs/quick-start ``` ## CLI example ```bash echo '{ "filingYears": [ 2023 ], "maxItems": 20, "states": [ "NY" ] }' | apify call automation-lab/dol-form-5500-erisa-plan-tracker --silent --output-dataset ``` ## MCP server setup ```json { "mcpServers": { "apify": { "command": "npx", "args": [ "mcp-remote", "https://mcp.apify.com/?tools=automation-lab/dol-form-5500-erisa-plan-tracker", "--header", "Authorization: Bearer " ] } } } ``` ## OpenAPI specification ```json { "openapi": "3.0.1", "info": { "title": "DOL Form 5500 ERISA Plan Tracker", "description": "Search DOL Form 5500 ERISA filings by sponsor, EIN, state, participants, and Schedule H assets. Export ERISA plan data as JSON, CSV, or Excel.", "version": "0.1", "x-build-id": "jRfViy2wIAJPQe9n3" }, "servers": [ { "url": "https://api.apify.com/v2" } ], "paths": { "/acts/automation-lab~dol-form-5500-erisa-plan-tracker/run-sync-get-dataset-items": { "post": { "operationId": "run-sync-get-dataset-items-automation-lab-dol-form-5500-erisa-plan-tracker", "x-openai-isConsequential": false, "summary": "Executes an Actor, waits for its completion, and returns Actor's dataset items in response.", "tags": [ "Run Actor" ], "requestBody": { "required": true, "content": { "application/json": { "schema": { "$ref": "#/components/schemas/inputSchema" } } } }, "parameters": [ { "name": "token", "in": "query", "required": true, "schema": { "type": "string" }, "description": "Enter your Apify token here" } ], "responses": { "200": { "description": "OK" } } } }, "/acts/automation-lab~dol-form-5500-erisa-plan-tracker/runs": { "post": { "operationId": "runs-sync-automation-lab-dol-form-5500-erisa-plan-tracker", "x-openai-isConsequential": false, "summary": "Executes an Actor and returns information about the initiated run in response.", "tags": [ "Run Actor" ], "requestBody": { "required": true, "content": { "application/json": { "schema": { "$ref": "#/components/schemas/inputSchema" } } } }, "parameters": [ { "name": "token", "in": "query", "required": true, "schema": { "type": "string" }, "description": "Enter your Apify token here" } ], "responses": { "200": { "description": "OK", "content": { "application/json": { "schema": { "$ref": "#/components/schemas/runsResponseSchema" } } } } } } }, "/acts/automation-lab~dol-form-5500-erisa-plan-tracker/run-sync": { "post": { "operationId": "run-sync-automation-lab-dol-form-5500-erisa-plan-tracker", "x-openai-isConsequential": false, "summary": "Executes an Actor, waits for completion, and returns the OUTPUT from Key-value store in response.", "tags": [ "Run Actor" ], "requestBody": { "required": true, "content": { "application/json": { "schema": { "$ref": "#/components/schemas/inputSchema" } } } }, "parameters": [ { "name": "token", "in": "query", "required": true, "schema": { "type": "string" }, "description": "Enter your Apify token here" } ], "responses": { "200": { "description": "OK" } } } } }, "components": { "schemas": { "inputSchema": { "type": "object", "properties": { "filingYears": { "title": "Filing years", "type": "array", "description": "Form 5500 filing years to scan. Newest-first years work best for prospecting and compliance monitoring.", "items": { "type": "integer", "minimum": 2009, "maximum": 2026 }, "default": [ 2023 ] }, "maxItems": { "title": "Maximum plan records", "minimum": 1, "maximum": 10000, "type": "integer", "description": "Stop after this many matching plan filings have been saved.", "default": 20 }, "sponsorName": { "title": "Sponsor or plan name contains", "type": "string", "description": "Optional case-insensitive text match against sponsor name and plan name, e.g. ACME or 401K." }, "sponsorEin": { "title": "Sponsor EIN", "type": "string", "description": "Optional exact EIN match. Dashes are ignored." }, "states": { "title": "Sponsor states", "type": "array", "description": "Optional US state abbreviations for sponsor/admin location filtering.", "items": { "type": "string" } }, "planEntityCodes": { "title": "Plan entity codes", "type": "array", "description": "Optional DOL TYPE_PLAN_ENTITY_CD values. Leave blank to include all plan entity types.", "items": { "type": "string" } }, "initialFilingsOnly": { "title": "Initial filings only", "type": "boolean", "description": "Return only filings marked as initial/new filings.", "default": false }, "amendedFilingsOnly": { "title": "Amended filings only", "type": "boolean", "description": "Return only filings marked as amended filings.", "default": false }, "minParticipants": { "title": "Minimum active participants", "minimum": 0, "type": "integer", "description": "Only include plans with at least this many active participants." }, "maxParticipants": { "title": "Maximum active participants", "minimum": 0, "type": "integer", "description": "Only include plans with at most this many active participants." }, "minAssets": { "title": "Minimum Schedule H assets", "minimum": 0, "type": "integer", "description": "Only include plans with at least this many end-of-year assets in Schedule H." }, "maxAssets": { "title": "Maximum Schedule H assets", "minimum": 0, "type": "integer", "description": "Only include plans with at most this many end-of-year assets in Schedule H." }, "includeScheduleH": { "title": "Include Schedule H financial fields", "type": "boolean", "description": "Downloads and joins Schedule H financial data. Automatically enabled when asset filters are used.", "default": true } } }, "runsResponseSchema": { "type": "object", "properties": { "data": { "type": "object", "properties": { "id": { "type": "string" }, "actId": { "type": "string" }, "userId": { "type": "string" }, "startedAt": { "type": "string", "format": "date-time", "example": "2025-01-08T00:00:00.000Z" }, "finishedAt": { "type": "string", "format": "date-time", "example": "2025-01-08T00:00:00.000Z" }, "status": { "type": "string", "example": "READY" }, "meta": { "type": "object", "properties": { "origin": { "type": "string", "example": "API" }, "userAgent": { "type": "string" } } }, "stats": { "type": "object", "properties": { "inputBodyLen": { "type": "integer", "example": 2000 }, "rebootCount": { "type": "integer", "example": 0 }, "restartCount": { "type": "integer", "example": 0 }, "resurrectCount": { "type": "integer", "example": 0 }, "computeUnits": { "type": "integer", "example": 0 } } }, "options": { "type": "object", "properties": { "build": { "type": "string", "example": "latest" }, "timeoutSecs": { "type": "integer", "example": 300 }, "memoryMbytes": { "type": "integer", "example": 1024 }, "diskMbytes": { "type": "integer", "example": 2048 } } }, "buildId": { "type": "string" }, "defaultKeyValueStoreId": { "type": "string" }, "defaultDatasetId": { "type": "string" }, "defaultRequestQueueId": { "type": "string" }, "buildNumber": { "type": "string", "example": "1.0.0" }, "containerUrl": { "type": "string" }, "usage": { "type": "object", "properties": { "ACTOR_COMPUTE_UNITS": { "type": "integer", "example": 0 }, "DATASET_READS": { "type": "integer", "example": 0 }, "DATASET_WRITES": { "type": "integer", "example": 0 }, "KEY_VALUE_STORE_READS": { "type": "integer", "example": 0 }, "KEY_VALUE_STORE_WRITES": { "type": "integer", "example": 1 }, "KEY_VALUE_STORE_LISTS": { "type": "integer", "example": 0 }, "REQUEST_QUEUE_READS": { "type": "integer", "example": 0 }, "REQUEST_QUEUE_WRITES": { "type": "integer", "example": 0 }, "DATA_TRANSFER_INTERNAL_GBYTES": { "type": "integer", "example": 0 }, "DATA_TRANSFER_EXTERNAL_GBYTES": { "type": "integer", "example": 0 }, "PROXY_RESIDENTIAL_TRANSFER_GBYTES": { "type": "integer", "example": 0 }, "PROXY_SERPS": { "type": "integer", "example": 0 } } }, "usageTotalUsd": { "type": "number", "example": 0.00005 }, "usageUsd": { "type": "object", "properties": { "ACTOR_COMPUTE_UNITS": { "type": "integer", "example": 0 }, "DATASET_READS": { "type": "integer", "example": 0 }, "DATASET_WRITES": { "type": "integer", "example": 0 }, "KEY_VALUE_STORE_READS": { "type": "integer", "example": 0 }, "KEY_VALUE_STORE_WRITES": { "type": "number", "example": 0.00005 }, "KEY_VALUE_STORE_LISTS": { "type": "integer", "example": 0 }, "REQUEST_QUEUE_READS": { "type": "integer", "example": 0 }, "REQUEST_QUEUE_WRITES": { "type": "integer", "example": 0 }, "DATA_TRANSFER_INTERNAL_GBYTES": { "type": "integer", "example": 0 }, "DATA_TRANSFER_EXTERNAL_GBYTES": { "type": "integer", "example": 0 }, "PROXY_RESIDENTIAL_TRANSFER_GBYTES": { "type": "integer", "example": 0 }, "PROXY_SERPS": { "type": "integer", "example": 0 } } } } } } } } } } ```