Universal Recordkeeper Input Files
This article lists recordkeepers and their reports that have successfully processed through AuditMiner's Universal Recordkeeper.
This article is a non-exhaustive list. If you have any suggestions or updates for any mentioned or unmentioned recordkeepers, please contact our support team and we'll gladly update this article!
Universal Recordkeeper Inputs to Outputs
To get a full set of recordkeeper workpapers, we require 4-5 input reports in an Excel format (.xls, .xlsx, .csv). If you don't have all of these, that's ok--we will still generate the workpapers we are able to with the data we've received.
Note: Make sure that all required columns are included for each input report. If a required column is missing, create a "place holder" column to get the file validated.
The 5 input reports and the outputs they produce are listed below. For more information on the requirements of these input files, see our Universal Recordkeeper Download Instructions.
| Input Report | Outputs Generated |
| Account Activity | Contribution Allocation, Rollovers, Participant Activity Detail, Plan Analytics, Trial Balance |
| Contributions | Contribution Timeliness |
| Distributions | Distribution Package |
| Loans | Loan Package |
| Investments (may be included with Account Activity or as stand-alone input report) |
Investment Disclosure, Investment Income Allocation, PAD (By Investment Tab) |
Recordkeepers and Compatible Reports
These reports have been successfully processed through AuditMiner. However, you are not limited to only the reports mentioned below. If you find a report for any recordkeeper that meets our instructions criteria, you may use it!
* Denotes a preferred report to any others listed
** Denotes a report that may require manual modification before being compatible with AuditMiner. Even without this notation, please always confirm your reports have been cleaned up per the File Checklist at the end of our instructions.
Recordkeeper |
Account Activity |
Contributions |
Distributions |
Loans |
Investments |
AdvisorTrust, Inc. |
TPA SRCE EXPORT |
Contribution by Payroll by Participant |
Loan Detail |
N/A - Account Activity contains investments | |
Betterment |
Participant Master Report |
Participant Contribution Report |
Distribution Report |
|
Participant Level Investment Activity Package - Security Activity Report |
Charles Schwab |
Bene Statement Allocation |
Receipts Fund Purch |
Distributions |
|
N/A - Account Activity contains investments |
John Hancock Enterprise |
Plan Admin Report OR Cash Basis OR Participant Activity |
Contributions and Loan Repayments - detail only* OR Supplemental - Receipts (Part of Trust Report) |
Supplemental - Disbursements (Part of Trust Report) |
Loan Obligation Report** OR Loan Detail Report |
N/A - Account Activity contains investments |
Lincoln Financial |
Annual Activity Report |
Contribution Report |
Distribution Report |
Loan Report |
N/A - Account Activity contains investments |
Matrix / Milliman / |
Part Val Summary - Individuals |
Contribution Report |
Distributions Report |
Loan Ledger |
|
Human Interest |
Account Activity |
Contribution Detail |
Distribution Detail |
|
N/A - Account Activity contains investments |
PCS Retirement |
Summary of Participant Accounts (Cash Basis) |
Contribution by Source by Payroll by Participant |
Distribution Report |
|
N/A - Account Activity contains investments |
Transamerica |
Participant Detail Balances |
Contributions |
Withdrawals |
Loans by Participant OR Loan Register |
Participant Balance by Investment |
TruStage (Benefits for You) |
Plan Account Detail - Run with Activity by Source |
Participant Contributions Report |
Completed Withdrawals Report |
|
Plan Account Detail - Run with Activity by Investment |