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| Provider | Service type | Compensation |
|---|---|---|
Filed as: NORTHWESTERN MUTUAL INVESTMENT SER Service code 55 · EIN 52-2114207 | Other Commissions | $14,012 |
Service code 37 · EIN 04-2647786 | Loan Processing | $4,300 |
Participation rate is below 70% (account-balance holders / active employees) - enrollment or auto-enroll opportunity.
More than 10% of assets are held in cash - possible menu-design or default-fund problem.
Fidelity bond coverage is below the ERISA section 412 10%-of-assets minimum (capped at $500,000).
Auditor declined to express an opinion - usually a 103(a)(3)(C) limited-scope election.
| Metric | This plan | Peer set | Industry | Size |
|---|---|---|---|---|
| Avg account balance | $55,998 | $54,320+3.1% | $67,652-17.2% | $52,331+7.0% |
| Participation rate | 53.8% | 73.6%-19.7pp | 75.7%-21.8pp | 68.1%-14.3pp |
| Annual return | -1.43% | 6.81%-8.2pp | 6625.40%-6626.8pp | 4.54%-6.0pp |
| Employer contribution / active EE | $1,307 | $1,544-15.4% | $2,266-42.3% | $1,882-30.6% |
| Participant deferral / active EE | $2,421 | $2,950-17.9% | $3,560-32.0% | $3,022-19.9% |
| Admin fee / account holder | $51 | $527-90.4% | $4,821-99.0% | $592-91.4% |