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| Provider | Service type | Compensation |
|---|---|---|
Filed as: NORTHWESTERN MUTUAL WEALTH MGT CO Service code 27 · EIN 39-2018056 | Advisory (Plan) | $40,061 |
Filed as: TRANSAMERICA LIFE INSURANCE COMPANY Service code 15 · EIN 39-0989781 | Recordkeeping | $2,133 |
12 funds of $250K or more; 30 lines in all, holding $8.7M of the plan's $8.7M. From the 2024 filing. Recordkeeper: Transamerica (Aegon).
| Fund | Dollars | % of funds% |
|---|---|---|
| TA Vanguard Lifestrategy Moderate Vanguard · Separate account | $1.8M | 20.5% |
| Transamerica RetireOnTrk 2030 Transamerica (Aegon) · Separate account Recordkeeper's own fund | $1.0M | 11.8% |
| Transamerica RetireOnTrk 2040 Transamerica (Aegon) · Separate account Recordkeeper's own fund | $622K | 7.2% |
| Fund Victory Pioneer Fundamental Growth Victory Capital · Separate account | $552K | 6.4% |
| Pioneer Retirement Option Victory Capital · Separate account | $473K | 5.5% |
| Transamerica RetireOnTrk 2035 Transamerica (Aegon) · Separate account Recordkeeper's own fund | $444K | 5.1% |
| Transamerica RetireOnTrk 2060 Transamerica (Aegon) · Separate account Recordkeeper's own fund | $434K | 5.0% |
| Transamerica RetireOnTrk 2045 Transamerica (Aegon) · Separate account Recordkeeper's own fund | $394K | 4.5% |
| Transamerica RetireOnTrk 2050 Transamerica (Aegon) · Separate account Recordkeeper's own fund | $297K | 3.4% |
| Janus Henderson Enterprise Fund Janus Henderson · Separate account | $297K | 3.4% |
Covers 61,314 large plans that list their funds in their annual filing. Updated Nov 2, 2026. Shares describe these plans, not the whole market.
Participation rate is below 70% (account-balance holders / active employees) - enrollment or auto-enroll opportunity.
Administrative expenses exceed $300 per participant per year - possible fee-review opportunity. (Recordkeeping / audit / legal; excludes investment management.)
Form 5500 reported a failure to timely transmit participant contributions (Schedule H line 4a).
The auditor signed off without reservation. This is the cleanest opinion.