Axiomatic Plan Intelligence

Fund-level 401(k) plan intelligence, extracted from Form 5500 Schedule H and Schedule C filings

Turning raw Form 5500 filings into actionable 401(k) plan intelligence for asset managers, RIAs, RIA platforms, and TAMPs — revealing plan holdings, fees, and provider relationships across the largest U.S. retirement plans.

~60,000 plans~450 asset managers~6,500 fundsMonthly refreshSchedule H + Schedule C

What is Axiomatic Plan Intelligence?

A searchable database and data feed built on the same Form 5500 foundation as Axiomatic Data, organized around the three things that drive the 401(k) market: the plans, the asset managers, and the funds. Where the core dataset reads Form 5500 as a signal of corporate financial health, Plan Intelligence reads it as a map of the defined-contribution market — which funds sit inside which plans, which managers hold the shelf space, what plans pay and to whom, and how it all changes year over year.

Built on Schedule H & Schedule C

We process the two Form 5500 schedules that matter most: Schedule H, including the Schedule of Assets Held for Investment (line 4i), and Schedule C, covering service-provider compensation.

Frequency & History

Refreshed monthly, with approximately three years of point-in-time filing history — enough to track how a plan's lineup, providers, and fees move over time.

Coverage

Of the ~700,000 plans that file a Form 5500, we focus on the ~60,000 largest — those with 100+ participants required to file a Schedule of Assets Held — surfacing ~450 asset managers and ~6,500 funds.

Key Features

Fund-Level Holdings

We parse the Schedule H line 4i Schedule of Assets Held — much of it filed as unstructured attachments — into clean, fund-level plan holdings. A data set most providers stop short of extracting.

Service Provider & Fee Intelligence

Schedule C structured into recordkeeper, advisor, TPA, and broker relationships, with direct and indirect compensation — so you see who serves each plan and what they're paid.

Linked Across Vehicles

Mutual fund and CIT versions of the same strategy are linked together, so a manager's true footprint isn't split across vehicles.

Proprietary Scoring

Every plan, manager, and fund is scored and ranked — peer-benchmarked within vehicle type — to filter and prioritize at a glance.

Point in Time

Data is point-in-time and harmonized across EINs, years, and schedules, so historical comparisons and year-over-year change tracking stay consistent.

API, Bulk File & Web App

Delivered however you work — interactive web app, REST API, and bulk data feeds. Contains no Personally Identifiable Information (PII).

Use Cases

Four ways teams put Axiomatic Plan Intelligence to work — each grounded entirely in Form 5500 data.

Asset Manager Competitive Intelligence

For DCIO distribution, competitive intelligence & marketing teams

See where your own funds sit in DC plans — and who you won that business from, or where you're quietly losing ground. Axiomatic combines the full filing, Schedule C service providers, and the Schedule H holdings most providers leave as unstructured PDFs, so you see the competitive picture where decisions are made.

  • Rankings score every manager and fund on scale, footprint, performance, cost, momentum, and diversity
  • Year-over-year tracking of which plans added or dropped your funds and competitors'
  • Down to the individual fund: where it sits on plan menus, what it holds, and who added or dropped it

Alternatives Distribution Targeting

For alternative asset managers entering the DC / 401(k) market

The DC market is opening to private markets — but blasting the whole universe wastes cycles. The plans ready to add alternatives reveal themselves in Form 5500 data: their size, the average account balance that flags wealthier participants, their lineup gaps, and how concentrated they already are.

  • An Opportunity Score ranks plans by readiness — size, single-manager concentration, and category gaps
  • Spot the private-markets gap in a plan's lineup by asset category
  • Target wealthier plans using average account balance as a household-wealth proxy

RIA Platform & TAMP Integration

For RIA platforms and TAMPs equipping every advisor with 401(k) plan intelligence

The same Form 5500 intelligence behind RIA client prospecting, delivered at platform scale. Axiomatic turns those filings into plan-level 401(k) data — the investment options a plan offers participants, what it holds in aggregate, and its fees and providers — so every advisor you support gains an edge in prospecting and client service.

  • License once and integrate the full dataset — every RIA you support benefits
  • Know the plan behind a client: lineup, aggregate holdings, fees, and providers
  • Take it as a bulk feed for integration, or query it on demand via API

RIA Client Prospecting

For smaller and mid-size RIAs prospecting for new clients

Every 401(k) plan files a Form 5500, which makes those filings a goldmine for prospecting — but the tools built on them are expensive and clunky. Axiomatic makes the entire universe of 401(k) plans searchable and affordable, so you can find the right plan sponsors, size up the households behind them, and walk into every conversation prepared.

  • Build targeted prospect lists by state, industry, participant count, and plan AUM
  • Prioritize by average account balance as a household-wealth signal
  • Read the plan before you call, then export lists straight to your CRM

What's inside

From Schedule H

Schedule of Assets Held

  • Fund-level plan holdings, extracted from the line 4i schedule
  • Vehicle type per holding — mutual funds, CITs, separate accounts
  • Total plan assets, asset mix, and year-over-year lineup changes
  • Asset-manager and fund footprint across the universe
From Schedule C

Providers & Fees

  • Recordkeeper, investment advisor, TPA, and broker/dealer relationships
  • Direct and indirect compensation — dollars, basis points, per participant
  • Bundled vs. unbundled arrangements and fee movement over time
Scores, signals & search

Intelligence Layer

  • Composite, plan, and opportunity scoring
  • Change and opportunity signals drawn from the filings
  • Search: Plans, Asset Managers, Funds, Advisers, Rankings, Top Plans, Market Moves, Opportunities
What data does it cover?

The Form 5500 main filing plus Schedule H (including the Schedule of Assets Held) and Schedule C, for ~60,000 of the largest U.S. retirement plans.

How is it delivered?

An interactive web application, a REST API, and bulk data feeds — in CSV or JSON.

How often is it updated?

Refreshed monthly, with roughly three years of point-in-time history.

Want to see Axiomatic Plan Intelligence?

Book a walkthrough of the search interface, or request sample data drawn from Schedule H and Schedule C.