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| Provider | Service type | Compensation |
|---|---|---|
Filed as: NORTHWESTERN MUTUAL WM Service code 26 · EIN 39-2018056 | Advisory (Participants) | $27,232 |
Filed as: AMERICAN UNITED LIFE INSURANCE CO. Service code 15 · EIN 35-0145825 | Recordkeeping | $21,231 |
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.
Annual investment return is in the bottom quintile of the peer cohort.
Form 5500 reported a failure to timely transmit participant contributions (Schedule H line 4a).
Auditor signed off without reservation - the cleanest possible opinion.
| Metric | This plan | Peer set | Industry | Size |
|---|---|---|---|---|
| Avg account balance | $39,251 | $30,107+30.4% | $61,501-36.2% | $64,824-39.4% |
| Participation rate | 21.9% | 36.4%-14.5pp | 52.6%-30.7pp | 71.5%-49.6pp |
| Annual return | -19.56% | -13.99%-5.6pp | 339.04%-358.6pp | 32.84%-52.4pp |
| Employer contribution / active EE | $0 | $537-100.0% | $1,160-100.0% | $2,507-100.0% |
| Participant deferral / active EE | $837 | $1,126-25.6% | $2,125-60.6% | $4,311-80.6% |
| Admin fee / account holder | $162 | $148+9.0% | $2,132-92.4% | $188-14.0% |