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| Provider | Service type | Compensation |
|---|---|---|
Filed as: NORTHWESTERN MUTUAL WEALTH MANAGEME Service code 99 · EIN 39-2018056 | Other Fees | $28,755 |
SMITH ADCOCK AND COMPANY5 years Service code 99 · EIN 58-0979080 | Other Fees | $8,150 |
Filed as: VOYA RETIREMENT ADVISORS, LLC Service code 26 · EIN 02-0488491 | Advisory (Participants) | $6,432 |
VOYA RETIREMENT INSURANCE & ANNUITY10+ years Service code 64 · EIN 71-0294708 | Recordkeeping Fees | $3,300 |
Participation rate is below 70% (account-balance holders / active employees) - enrollment or auto-enroll opportunity.
Employer contribution per participant is in the bottom quintile of the peer cohort.
Form 5500 reported a failure to timely transmit participant contributions (Schedule H line 4a).
Plan reported corrective distributions (failed ADP/ACP testing).
Auditor signed off without reservation - the cleanest possible opinion.
| Metric | This plan | Peer set | Industry | Size |
|---|---|---|---|---|
| Avg account balance | $114,438 | $82,979+37.9% | $102,412+11.7% | $77,736+47.2% |
| Participation rate | 26.7% | 71.5%-44.8pp | 74.5%-47.8pp | 70.6%-43.9pp |
| Annual return | 13.80% | 19.11%-5.3pp | 24.94%-11.1pp | 31.26%-17.5pp |
| Employer contribution / active EE | $391 | $3,554-89.0% | $3,870-89.9% | $2,728-85.7% |
| Participant deferral / active EE | $2,506 | $4,109-39.0% | $5,060-50.5% | $4,651-46.1% |
| Admin fee / account holder | $96 | $639-85.0% | $8,388-98.9% | $433-77.9% |