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Original filing (PDF)20250918143227NAL0001963683001
NORTHWESTERN UNIVERSITY
Form 5500
FILING_RECEIVED
NORTHWESTERN UNIVERSITY RETIREMENT PLAN
403(b) retirement plan
Signals · 2
No recordkeeper disclosed8 service providers
Active participants
10,023
Accounts w/ balance
20,333
Plan assets (EOY)
$4.4B
Net assets (EOY)
$4.4B
How this plan invests
This plan
1 pooled trust
Schedule D
43 securities
funds · stocks · CUSIPs
Holdings are itemized directly on this plan's Schedule of Assets, below.
Plan health score (directional)
98
/ 100
Grade A
Top-tier plan health
Directional indicator computed from public Form 5500 data — compliance, concentration, cost, vendor stack and participation. Not a fiduciary tool.
Compliance & disclosures
100
Concentration risk
100
Total plan cost
100
Vendor stack
80
Participation health
100
Knocking points off
- No recordkeeper disclosed on Schedule C.
Helping the score
- Below-peer total fees (1 bps vs 5 bps peer median).
Decision-maker contacts
CFO / Head of HR / Benefits Manager — verified email + LinkedIn for NORTHWESTERN UNIVERSITY.
Plan sponsor
Name
NORTHWESTERN UNIVERSITY
EIN
36-2167817
Address
1800 SHERMAN AVE · EVANSTON, IL · 60201
Phone
(847) 491-7513
Industry
Educational Servicessee all
Plan administrator
Same as plan sponsor.
Plan characteristics
Plan number
001
Plan year
2024
Plan year begin
2024-01-01
Tax period
2024-12-31
Filed
2025-09-18
Pension benefit codes
2F · ERISA section 404(c)
2G · Total participant-directed accounts
2L · 403(b)(1) annuity
2M · 403(b)(7) custodial accounts
2R · Participant-directed brokerage (SDBA)
2T · Default investment account (QDIA)
Audit & trust (Schedule H)
Auditor
PLANTE & MORAN, PLLC
Trustee / custodian
—
Trustee phone
—
Service providers (Schedule C)
8 rowsOther
8| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| FIDELITY INVSTMNTS INST OPER CO,INC | 04-2647786 | — | NONE KNOWN | $173K | — |
| CAPFINANCIAL PARTNERS, LLC | 26-0058143 | — | NONE KNOWN | $118K | — |
| SAVANT CAPITAL MANAGEMENT | 45-3812777 | — | NONE KNOWN | $104K | — |
| PLANTE & MORAN, PLLC | 33-1498605 | — | NONE KNOWN | $43K | — |
| TIAA | 13-1624203 | — | NONE KNOWN | $28K | — |
| THE LAM GROUP, INC | 13-3898451 | — | NONE KNOWN | $17K | — |
| RAPPAPORT REICHES CAP MGMT LLC | 20-3327943 | — | NONE KNOWN | $7K | — |
| WANG KOBAYASHI AUSTIN | 27-1888471 | — | NONE KNOWN | $6K | — |
Investments
42 direct securities · 1 pooled fund· $4.4B(100% of reported assets)
Rows tagged as a trust or pooled fund hold many underlying securities. Click one to drill into its own Schedule of Assets — where the individual funds, shares, and CUSIPs live.
Uncategorized
$4.4B
42 holdings
Pooled Separate Account
$74.7M
1 holding
| PI | Investment | Type | Shares / units | Cost | Current value | % of plan |
|---|---|---|---|---|---|---|
| TIAA Traditional Annuity* Traditional annuities | — | — | — | $696.7M | 15.7% | |
| CREF Stock R3* Variable annuity contract | — | — | — | $541.9M | 12.2% | |
| Vanguard Inst Idx Inst Plus Mutual fund | — | — | — | $511.8M | 11.5% | |
| Vanguard PRIMECAP Adm Mutual fund | — | — | — | $277.3M | 6.2% | |
| BlackRock Lifepath Idx 2040 K Mutual fund | — | — | — | $211.8M | 4.8% | |
| BlackRock Lifepath Idx 2045 K Mutual fund | — | — | — | $199.4M | 4.5% | |
| BlackRock Lifepath Idx Ret K Mutual fund | — | — | — | $169.6M | 3.8% | |
| BlackRock Lifepath Idx 2035 K Mutual fund | — | — | — | $167.3M | 3.8% | |
| BlackRock Lifepath Idx 2050 K Mutual fund | — | — | — | $146.9M | 3.3% | |
| BlackRock Lifepath Idx 2030 K Mutual fund | — | — | — | $130.8M | 2.9% | |
| BROKERAGELINK* Self-directed account | — | — | — | $112.5M | 2.5% | |
| Vanguard Extend Mk Idx Inst Pl Mutual fund | — | — | — | $108.3M | 2.4% | |
| CREF Growth R3* Variable annuity contract | — | — | — | $103.0M | 2.3% | |
| John Hancock Disciplnd Val R6 Mutual fund | — | — | — | $82.3M | 1.9% | |
| TIAA REAL ESTATE ACCOUNT TEACHERS INSURANCE & ANNUITY ASSOCIATION OF AMERICA · EIN 13-1624203 / PN 004 | Pooled Separate Account | — | — | $74.7M | 1.7% | |
| CREF Social Choice R3* Variable annuity contract | — | — | — | $72.0M | 1.6% | |
| Vanguard Total Int St Ix IsPls Mutual fund | — | — | — | $65.9M | 1.5% | |
| BlackRock Lifepath Idx 2055 K Mutual fund | — | — | — | $64.1M | 1.4% | |
| Vanguard Federal Money Mkt Inv Mutual fund | — | — | — | $63.5M | 1.4% | |
| Vanguard Ttl Bd Mkt Idx Inst Mutual fund | — | — | — | $59.3M | 1.3% | |
| CREF Global Equities R3* Variable annuity contract | — | — | — | $52.5M | 1.2% | |
| CREF Equity Index R3* Variable annuity contract | — | — | — | $52.4M | 1.2% | |
| MFS Mid Cap Value Class R6 Mutual fund | — | — | — | $50.4M | 1.1% | |
| Dodge & Cox Income Fund - Cl X Mutual fund | — | — | — | $49.1M | 1.1% | |
| Vanguard Short-Trm Bd Idx Inst Mutual fund | — | — | — | $43.5M | 1.0% | |
| American EuroPac Growth R6 Mutual fund | — | — | — | $38.5M | 0.9% | |
| JPMorgan Large Cap Growth R6 Mutual fund | — | — | — | $34.4M | 0.8% | |
| CREF Money Market R3* Variable annuity contract | — | — | — | $32.2M | 0.7% | |
| Vanguard Ttl Intl Stk IP Mutual fund | — | — | — | $27.6M | 0.6% | |
| BlackRock Lifepath Idx 2060 K Mutual fund | — | — | — | $22.5M | 0.5% | |
| Vanguard Small-Cap Val Idx Inst Mutual fund | — | — | — | $20.0M | 0.5% | |
| CREF Core Bond R3* Variable annuity contract | — | — | — | $18.8M | 0.4% | |
| American Funds New World R6 Mutual fund | — | — | — | $18.6M | 0.4% | |
| MassMutual Sel Mid Cap Gr Eq II I Mutual fund | — | — | — | $17.7M | 0.4% | |
| Fidelity Diversified Intl K6* Mutual fund | — | — | — | $16.6M | 0.4% | |
| Vanguard FTSE Social Idx Fund Institutional Mutual fund | — | — | — | $16.1M | 0.4% | |
| METLIFE Fixed Guaranteed income contract (GIC) | — | — | — | $12.9M | 0.3% | |
| MassMutual Mid Cap Growth I Mutual fund | — | — | — | $12.9M | 0.3% | |
| Loomis Sayles Sm Cap Growth N Mutual fund | — | — | — | $11.8M | 0.3% | |
| Various participants* Participant notes receivable with interest rates ranging from 3.25 percent to 9.50 percent - | — | — | — | $10.7M | 0.2% | |
| CREF Inflation-Linked Bond R3* Variable annuity contract | — | — | — | $8.9M | 0.2% | |
| TIAA-CREF Self Directed Acct* Self-directed account | — | — | — | $7.2M | 0.2% | |
| Principal Real Estate Securities R6 Mutual fund | — | — | — | $6.2M | 0.1% |