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| Provider | Service type | Compensation |
|---|---|---|
Service code 25 · EIN 04-2647786 | Directed Trustee | $7,125 |
Filed as: NORTHWESTERN MUTUAL INVESTMENT Service code 55 · EIN 52-2114207 | Other Commissions | $6,762 |
Participation rate is below 70% (account-balance holders / active employees) - enrollment or auto-enroll opportunity.
Fidelity bond coverage is below the ERISA section 412 10%-of-assets minimum (capped at $500,000).
Form 5500 reported a failure to timely transmit participant contributions (Schedule H line 4a).
Plan reported corrective distributions (failed ADP/ACP testing).
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 | $32,038 | $65,027-50.7% | $90,970-64.8% | $79,852-59.9% |
| Participation rate | 67.9% | 61.6%+6.2pp | 69.0%-1.2pp | 69.6%-1.8pp |
| Annual return | 13.04% | 30.45%-17.4pp | 134.58%-121.5pp | 31.72%-18.7pp |
| Employer contribution / active EE | $1,020 | $1,247-18.2% | $2,122-51.9% | $2,471-58.7% |
| Participant deferral / active EE | $4,298 | $2,512+71.1% | $3,373+27.4% | $3,740+14.9% |
| Admin fee / account holder | $65 | $4,535-98.6% | $5,960-98.9% | $5,306-98.8% |