# ๐Ÿ’ผ DOL Form 5500 ERISA Retirement Plan Filing Tracker (`nexgendata/dol-form-5500-erisa-plan-tracker`) Actor Pull DOL Form 5500 + Schedule H ERISA filings โ€” plan name, sponsor, EIN, state, total assets, participants, recordkeeper, trustee, auditor. $11T retirement-plan disclosure for RIA prospecting, 401(k) auditor lead-gen, ERISA class-action discovery. Larkspur 401(k) Data alternative. - **URL**: https://apify.com/nexgendata/dol-form-5500-erisa-plan-tracker.md - **Developed by:** [NexGenData](https://apify.com/nexgendata) (community) - **Categories:** Business, Automation - **Stats:** 2 total users, 1 monthly users, 100.0% runs succeeded, NaN bookmarks - **User rating**: No ratings yet ## Pricing from $200.00 / 1,000 plan filings This Actor is paid per event. You are not charged for the Apify platform usage, but only a fixed price for specific events. 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 ## ๐Ÿ’ผ DOL Form 5500 ERISA Retirement Plan Filing Tracker โ€” $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 โ€” 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 โ€” delivered as structured JSON for cents per record.** ### โšก 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 โ€” 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 โ€” full audit trail) The output schema is stable across runs โ€” safe to load straight into Snowflake, BigQuery, Postgres, or your CRM without re-mapping each refresh. ### ๐ŸŽฏ Use Cases - **RIA / wealth-mgmt wholesalers** โ€” 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** โ€” 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)** โ€” The intersection of high `total_assets` + high `participants_with_balance` + non-name-brand `recordkeeper` is the screen for ERISA ยง404(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** โ€” 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** โ€” `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** โ€” Track sponsor-by-sponsor filing history (`amended`, `final_filing`, `filing_status`) over multiple years to surface late-filers, abandoned plans, and DFVC program candidates. ### ๐Ÿ’ฐ Pricing Example This actor uses **pay-per-event** pricing. You pay only for the plan records you actually receive โ€” no subscription, no seat license, no procurement cycle. | Quantity | Cost | Comparable | |---|---|---| | Per-run startup | $0.005 | โ€” | | 100 plan filings | **$12.00** | Larkspur seat: ~$417/mo amortized | | 500 plan filings | **$60.00** | Judy Diamond export: $500+ per pull | | 2,000 plan filings | **$240.00** | BrightScope custom export: $1,000+ | | Free $5 Apify credit | **~40 plan filings** | Replaces a single Larkspur query | > A serious RIA wholesaler's prospecting refresh โ€” every California 401(k) plan with $10M+ assets, monthly โ€” 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](https://apify.com/nexgendata?fpr=2ayu9b) for volume discounts. ### ๐Ÿ”— Related Actors (NexGenData Wealth-Management Intelligence Cluster) This actor is the first in NexGenData's wealth-management cluster โ€” pair with the existing SEC / regulatory feeds for end-to-end coverage of the institutional investor pipeline: | Use case | Actor | |----------|-------| | Hedge-fund quarterly equity holdings | [sec-form-13f-tracker-pro](https://apify.com/nexgendata/sec-form-13f-tracker-pro?fpr=2ayu9b) | | Corporate-insider buys & sells (CEO/CFO Form 4) | [sec-form-4-insider-trading-scraper](https://apify.com/nexgendata/sec-form-4-insider-trading-scraper?fpr=2ayu9b) | | Mutual-fund / ETF detailed holdings (Form N-PORT) | [sec-form-nport-mutual-fund-holdings](https://apify.com/nexgendata/sec-form-nport-mutual-fund-holdings?fpr=2ayu9b) | | Activist 13D/G 5%+ stakes | [sec-schedule-13dg-activist-tracker](https://apify.com/nexgendata/sec-schedule-13dg-activist-tracker?fpr=2ayu9b) | | Material 8-K events | [sec-form-8k-material-events-scraper](https://apify.com/nexgendata/sec-form-8k-material-events-scraper?fpr=2ayu9b) | | Private-placement Form D fundings | [sec-form-d-tracker](https://apify.com/nexgendata/sec-form-d-tracker?fpr=2ayu9b) | | FINRA BrokerCheck adviser / firm DD | [finra-brokercheck-search](https://apify.com/nexgendata/finra-brokercheck-search?fpr=2ayu9b) | Browse the full 200+ actor catalog at **https://apify.com/nexgendata?fpr=2ayu9b**. ### ๐Ÿš€ How To Use #### Sample input ```json { "mode": "search", "state_filter": "CA", "min_assets": 10000000, "max_assets": 1000000000, "plan_type": "401(k)", "year": 2024, "max_plans": 100 } ```` #### Sample output (one record) ```json { "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) ```python 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 ```bash 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 โ€” the DOL EBSA datasets are refreshed around the first of each month, so a 5th-of-month schedule catches every new filing. ### โš–๏ธ Legal & Data Source Notes - **ERISA ยง104 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" โ€” see [DOL Form 5500 Datasets page](https://www.dol.gov/agencies/ebsa/about-ebsa/our-activities/public-disclosure/foia/form-5500-datasets). - **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 โ€” 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. ### โ“ 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 โ€“ 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 โ€” 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 โ€” 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 โ€” 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. ### ๐Ÿท๏ธ 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**. # Actor input Schema ## `mode` (type: `string`): How aggressively to scan the DOL Form 5500 bulk dataset. `search` runs a fast targeted slice (intended for ad-hoc lookups like 'CA plans with $10M+ assets, top 100'), capping at 2,000 rows and exiting early when max\_plans is hit. `bulk` runs a full annual sweep allowing up to 5,000 rows for backfills / nightly RIA-prospecting jobs. Both modes consume the same DOL bulk CSV files (Form 5500 + Schedule H); the EFAST search UI at efast.dol.gov is JS-rendered with a WAF-blocked backend, so the bulk file is the only reliable programmatic path. ## `state_filter` (type: `string`): Filter to plans whose sponsor mailing address is in this state. Two-letter USPS state code (e.g. CA, NY, TX, FL). Leave blank to include all US states + territories. Foreign-sponsor plans are always excluded by this filter regardless of value. ## `min_assets` (type: `integer`): Drop plans whose end-of-year total assets are below this floor (USD). The most common filter โ€” RIA wholesalers target $10M+ for prospecting, $100M+ for institutional outreach, $1B+ for true mega-plan wholesale. Asset data comes from Schedule H (TOT\_ASSETS\_EOY\_AMT); plans that file Schedule I instead (small plans, typically <$250K) will be excluded when this is >0 since their bulk dataset doesn't include total-asset detail. Set to 0 to include all plans regardless of asset size. ## `max_assets` (type: `integer`): Cap plans whose end-of-year total assets exceed this ceiling. Useful when targeting the mid-market band (e.g. $10M-$1B = serviceable RIA TAM, excludes the mega-plans that Vanguard / Fidelity already won). Leave blank for no upper bound. ## `plan_type` (type: `string`): Filter to a specific plan structure. `401(k)` targets plans with the DOL pension-feature code 2J (defined contribution plans with employee 401(k) arrangement) โ€” the dominant retirement-plan-wholesaler segment. `defined-benefit` targets plans with Schedule SB (single-employer DB) or Schedule MB (multiemployer DB) attached โ€” the actuarial / pension-risk-transfer segment. `any` includes all pension and welfare plans. ## `year` (type: `integer`): Form year to pull. DOL publishes harmonized datasets for plan years 2009 onward; recent years are updated monthly with newly received filings. 2024 is the most complete recent year as of mid-2026. Older years (2009-2023) are stable archives. Use 2025 only after July of the filing year โ€” most plans file in the second half of the year following their plan-year end. ## `max_plans` (type: `integer`): Hard cap on plans pushed to the dataset (and metered for per-plan-filing billing). Defaults to 200 (a comfortable RIA prospect batch). Each plan record is billed at $0.12. Tune to your budget. ## Actor input object example ```json { "mode": "search", "state_filter": "CA", "min_assets": 10000000, "max_assets": 1000000000, "plan_type": "any", "year": 2024, "max_plans": 100 } ``` # API You can run this Actor programmatically using our API. Below are code examples in JavaScript, Python, and CLI, as well as the OpenAPI specification and MCP server setup. ## JavaScript example ```javascript import { ApifyClient } from 'apify-client'; // Initialize the ApifyClient with your Apify API token // Replace the '' with your token const client = new ApifyClient({ token: '', }); // Prepare Actor input const input = { "mode": "search", "state_filter": "CA", "min_assets": 10000000, "max_assets": 1000000000, "plan_type": "any", "year": 2024, "max_plans": 100 }; // Run the Actor and wait for it to finish const run = await client.actor("nexgendata/dol-form-5500-erisa-plan-tracker").call(input); // Fetch and print Actor results from the run's dataset (if any) console.log('Results from dataset'); console.log(`๐Ÿ’พ Check your data here: https://console.apify.com/storage/datasets/${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 = { "mode": "search", "state_filter": "CA", "min_assets": 10000000, "max_assets": 1000000000, "plan_type": "any", "year": 2024, "max_plans": 100, } # Run the Actor and wait for it to finish run = client.actor("nexgendata/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 '{ "mode": "search", "state_filter": "CA", "min_assets": 10000000, "max_assets": 1000000000, "plan_type": "any", "year": 2024, "max_plans": 100 }' | apify call nexgendata/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=nexgendata/dol-form-5500-erisa-plan-tracker", "--header", "Authorization: Bearer " ] } } } ``` ## OpenAPI specification ```json { "openapi": "3.0.1", "info": { "title": "๐Ÿ’ผ DOL Form 5500 ERISA Retirement Plan Filing Tracker", "description": "Pull DOL Form 5500 + Schedule H ERISA filings โ€” plan name, sponsor, EIN, state, total assets, participants, recordkeeper, trustee, auditor. $11T retirement-plan disclosure for RIA prospecting, 401(k) auditor lead-gen, ERISA class-action discovery. Larkspur 401(k) Data alternative.", "version": "0.0", "x-build-id": "qbBKrbUzwspfYiIt1" }, "servers": [ { "url": "https://api.apify.com/v2" } ], "paths": { "/acts/nexgendata~dol-form-5500-erisa-plan-tracker/run-sync-get-dataset-items": { "post": { "operationId": "run-sync-get-dataset-items-nexgendata-dol-form-5500-erisa-plan-tracker", "x-openai-isConsequential": false, "summary": "Executes an Actor, waits for its completion, and returns Actor's dataset items in response.", "tags": [ "Run Actor" ], "requestBody": { "required": true, "content": { "application/json": { "schema": { "$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/nexgendata~dol-form-5500-erisa-plan-tracker/runs": { "post": { "operationId": "runs-sync-nexgendata-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/nexgendata~dol-form-5500-erisa-plan-tracker/run-sync": { "post": { "operationId": "run-sync-nexgendata-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", "required": [ "mode" ], "properties": { "mode": { "title": "Mode", "enum": [ "search", "bulk" ], "type": "string", "description": "How aggressively to scan the DOL Form 5500 bulk dataset. `search` runs a fast targeted slice (intended for ad-hoc lookups like 'CA plans with $10M+ assets, top 100'), capping at 2,000 rows and exiting early when max_plans is hit. `bulk` runs a full annual sweep allowing up to 5,000 rows for backfills / nightly RIA-prospecting jobs. Both modes consume the same DOL bulk CSV files (Form 5500 + Schedule H); the EFAST search UI at efast.dol.gov is JS-rendered with a WAF-blocked backend, so the bulk file is the only reliable programmatic path.", "default": "search" }, "state_filter": { "title": "State filter (2-letter US state)", "pattern": "^[A-Za-z]{0,2}$", "type": "string", "description": "Filter to plans whose sponsor mailing address is in this state. Two-letter USPS state code (e.g. CA, NY, TX, FL). Leave blank to include all US states + territories. Foreign-sponsor plans are always excluded by this filter regardless of value." }, "min_assets": { "title": "Minimum total assets (USD)", "minimum": 0, "type": "integer", "description": "Drop plans whose end-of-year total assets are below this floor (USD). The most common filter โ€” RIA wholesalers target $10M+ for prospecting, $100M+ for institutional outreach, $1B+ for true mega-plan wholesale. Asset data comes from Schedule H (TOT_ASSETS_EOY_AMT); plans that file Schedule I instead (small plans, typically <$250K) will be excluded when this is >0 since their bulk dataset doesn't include total-asset detail. Set to 0 to include all plans regardless of asset size.", "default": 1000000 }, "max_assets": { "title": "Maximum total assets (USD)", "minimum": 0, "type": "integer", "description": "Cap plans whose end-of-year total assets exceed this ceiling. Useful when targeting the mid-market band (e.g. $10M-$1B = serviceable RIA TAM, excludes the mega-plans that Vanguard / Fidelity already won). Leave blank for no upper bound." }, "plan_type": { "title": "Plan type", "enum": [ "401(k)", "defined-benefit", "any" ], "type": "string", "description": "Filter to a specific plan structure. `401(k)` targets plans with the DOL pension-feature code 2J (defined contribution plans with employee 401(k) arrangement) โ€” the dominant retirement-plan-wholesaler segment. `defined-benefit` targets plans with Schedule SB (single-employer DB) or Schedule MB (multiemployer DB) attached โ€” the actuarial / pension-risk-transfer segment. `any` includes all pension and welfare plans.", "default": "any" }, "year": { "title": "Form year", "minimum": 2009, "maximum": 2030, "type": "integer", "description": "Form year to pull. DOL publishes harmonized datasets for plan years 2009 onward; recent years are updated monthly with newly received filings. 2024 is the most complete recent year as of mid-2026. Older years (2009-2023) are stable archives. Use 2025 only after July of the filing year โ€” most plans file in the second half of the year following their plan-year end.", "default": 2024 }, "max_plans": { "title": "Max plans to return", "minimum": 1, "maximum": 5000, "type": "integer", "description": "Hard cap on plans pushed to the dataset (and metered for per-plan-filing billing). Defaults to 200 (a comfortable RIA prospect batch). Each plan record is billed at $0.12. Tune to your budget.", "default": 200 } } }, "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 } } } } } } } } } } ```