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| Provider | Service type | Compensation |
|---|---|---|
Service code 15 · EIN 35-0145825 | Recordkeeping | $16,166 |
Filed as: NORTHWESTERN MUTUAL WM Service code 26 · EIN 39-2018056 | Advisory (Participants) | $8,599 |
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).
Auditor signed off without reservation - the cleanest possible opinion.
| Metric | This plan | Peer set | Industry | Size |
|---|---|---|---|---|
| Avg account balance | $71,497 | $64,176+11.4% | $112,249-36.3% | $66,938+6.8% |
| Participation rate | 46.3% | 68.4%-22.2pp | 75.1%-28.8pp | 69.8%-23.5pp |
| Annual return | -12.08% | -13.80%+1.7pp | 27.48%-39.6pp | 1.58%-13.7pp |
| Employer contribution / active EE | $1,564 | $3,007-48.0% | $3,636-57.0% | $2,545-38.6% |
| Participant deferral / active EE | $3,356 | $3,694-9.1% | $4,729-29.0% | $4,238-20.8% |
| Admin fee / account holder | $127 | $626-79.7% | $6,412-98.0% | $594-78.6% |