Broadridge
recordkeeper15 known aliases resolved via the canonical alias map
Market position · 2024
Plans served8Rank #2025 of mapped providers
Assets under administration$36.8B0.0%Market share · rank #408
Fees received$183,584Median $10,075/planSum across Schedule C direct + indirect
Net wins YoY-12 won · 3 lostPlan-level switch detection
Plans served · 5-year trajectory
Market-share plans percent annotated. Bar height is raw plan count.
Customer-base shape
What does a typical Broadridge plan look like?
Service mix · median fees per plan
Count of plans where Broadridge ships each service code, and the median compensation they report under it.
| Service | Plans | Median fees | Distribution |
|---|---|---|---|
Trustee (bank, trust company, or similar financial institution)Code 21 | 2 | $16,080 | |
Participant communication; Direct payment from the planCode 38 | 2 | $25,882 | |
Recordkeeping and information management (computing, tabulating, data processing, etc.)Code 15 | 1 | $12,602 | |
Custodial (securities)Code 19 | 1 | $5,100 | |
Securities brokerage commissions and fees; Investment managementCode 28 | 1 | $76,067 | |
Recordkeeping feesCode 64 | 1 | $5,892 |
Competitor overlap
Percent of Broadridge's plans that also list each competitor on Schedule C. High numbers = co-living partners; low numbers = direct displacement targets.
Plans won in 2024
Appeared this year; did not appear last year under Broadridge.
| Sponsor | From | Assets |
|---|---|---|
VERIZON COMMUNICATIONS INC.NJ · 232259884-004 | KPMG | $3.4B |
L. G. ROLOFF CONSTRUCTION CO., INC.NE · 470563319-002 | Creative Planning | $18M |
Plans lost in 2024
Appeared last year under Broadridge; not this year.
| Sponsor | To | Assets |
|---|---|---|
AMERICAN UNITED LIFE INSURANCE COMPANYIN · 350145825-003 | OneAscent Financial Services | $493M |
SAGE HOSPITALITY RESOURCES, LLCCO · 841273343-001 | Principal | $71M |
NORTHWEST ANESTHESIOLOGY & PAIN SERVICES, P.A.TX · 760462852-002 | Fidelity Investments | $47M |
Top plans by assets
Searchable full list lands with the commercial layer.
| Plan | Assets | Participants | Fees | Tenure | Flags |
|---|---|---|---|---|---|
VERIZON COMMUNICATIONS INC.NJ · 232259884-102 | $29.4B | 119,145 | $46,399 | 7y | - |
ANHEUSER-BUSCH COMPANIES, LLCMO · 431162835-059 | $3.6B | 21,016 | $12,602 | 9y | 1 |
VERIZON COMMUNICATIONS INC.NJ · 232259884-004 | $3.4B | 15,222 | $5,364 | 1y | - |
BOARD OF TRUSTEES, IBEW LOCAL 405 DEFERRED SAVINGS PLANIA · 421494475-001 | $263M | 1,056 | $24,612 | 6y | - |
NORTHERN COLORADO ANESTHESIA PROFESSIONALS, PLLCCO · 841439630-001 | $67M | 131 | $5,892 | 5y | - |
ION BANKCT · 060465530-001 | $28M | 0 | $76,067 | 7y | - |
L. G. ROLOFF CONSTRUCTION CO., INC.NE · 470563319-002 | $18M | 144 | $5,100 | 3y | - |
SAINT AUGUSTINES UNIVERSITYNC · 541107332-003 | $14M | 545 | $7,548 | 1y | - |
Flag exposure
100.0%Market: 89.1%
This provider
Market baseline
Share of this provider's plans tripping any deterministic red flag this year. Lower than market baseline = better risk surface.
Aliases resolved (15)
Raw Schedule C names collapsed into Broadridge.
- ATLANTIC
- ATLANTIC ASSET MANAGEMENT
- ATLANTIC ASSET MANAGEMENT LLC
- ATLANTIC ASSET MANAGEMENT, LLC
- ATLANTIC ASSET MANAGEMENT,LLC
- ATLANTIC ASSET MGMT
- BROADRIDGE
- BROADRIDGE CO
- BROADRIDGE CUSTOMER COMMUNICATIONS
- BROADRIDGE FINANCIAL SOLUTIONS
- BROADRIDGE FINANCIAL SOLUTIONS INC
- BROADRIDGE FINANCIAL SOLUTIONS, INC
- BROADRIDGE ICS
- BROADRIDGE ICS INC
- MATRIX BROADRIDGE
Book composition by plan size
Bars stack to total plans served; segments use the same asset cutoffs as the /plans size filter. Up-and-to-the-right on the bigger segments = moving up-market.
Under $5M$5-50M$50-250M$250M-1B$1B+
Compliance posture vs market
Per-flag share for Broadridge's book against the same flag's overall prevalence across all filings. Negative delta = under-indexed (cleaner book); positive = elevated risk surface.
| Flag | Plans flagged | Provider % | Market % | Delta |
|---|---|---|---|---|
| Recently terminated | 0 | 0.00% | 7.76% | -7.76 pp |
| Fidelity bond gap | 0 | 0.00% | 26.94% | -26.94 pp |
| Late contributions | 0 | 0.00% | 1.71% | -1.71 pp |
| Failed to provide benefit | 0 | 0.00% | 0.14% | -0.14 pp |
| Corrective distributions | 1 | 12.50% | 1.76% | +10.74 pp |
| Loss discovered | 0 | 0.00% | 0.00% | -0.00 pp |
New-plan formation share
Share of plans filing for the first time each year that landed with Broadridge. Compare to the incumbent market share (0.0%) - higher = winning new business, lower = coasting on existing relationships.
0.0%-0.0 pp vs incumbent
Frequent partners by role
Who else shows up on Broadridge's plans most often. Switch tabs by counterparty role - high-overlap names are either referral channels (advisors, auditors) or competitive blocks (other recordkeepers).
| Partner | Shared plans | % of book |
|---|---|---|
| Abel Noser LLC | 2 | 25.0% |
| Aon | 2 | 25.0% |
| Bloomberg LP | 2 | 25.0% |
| Creative Planning | 2 | 25.0% |
| DONNELLEY FINANCIAL SOLUTIONS | 2 | 25.0% |
| Fiducient Advisors | 2 | 25.0% |
| TPP Retirement Plan Specialists LLC | 2 | 25.0% |
| Aristotle Capital Management | 1 | 12.5% |
| The Ayco Company L.P. | 1 | 12.5% |
| CEM Benchmarking Inc. | 1 | 12.5% |