Cambridge Investment Research
broker97 known aliases resolved via the canonical alias map
Market position · 2024
Plans served381+18 YoYRank #57 of mapped providers
Assets under administration$82.5B0.1%Market share · rank #178
Fees received$11MMedian $21,583/planSum across Schedule C direct + indirect
Net wins YoY+19101 won · 82 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 Cambridge Investment Research plan look like?
Service mix · median fees per plan
Count of plans where Cambridge Investment Research ships each service code, and the median compensation they report under it.
| Service | Plans | Median fees | Distribution |
|---|---|---|---|
Recordkeeping fees; Investment advisory (plan)Code 27 | 224 | $23,533 | |
Other services; Investment advisory (participants); Investment advisory (plan)Code 26 | 39 | $10,895 | |
Other commissionsCode 55 | 35 | $22,101 | |
Other feesCode 99 | 22 | $12,063 | |
Other services; Recordkeeping feesCode 49 | 16 | $7,948 | |
Trustee (bank, trust company, or similar financial institution); Recordkeeping fees; Other fees; Recordkeeping and information management (computing, tabulating, data processing, etc.); Other services; Direct payment from the planCode 15 | 10 | $13,984 | |
Shareholder servicing fees; Investment managementCode 28 | 8 | $55,129 | |
Securities brokerage; Other feesCode 33 | 7 | $33,870 |
Competitor overlap
Percent of Cambridge Investment Research'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 Cambridge Investment Research.
| Sponsor | From | Assets |
|---|---|---|
THE PERMANENTE MEDICAL GROUP, INC.CA · 942728480-013 | EWG Elevate Inc. | $9.9B |
SOUTHERN CALIFORNIA PERMANENTE MEDICAL GROUPCA · 951750445-008 | Alpha Cubed Investments LLC | $7.9B |
HUMANA INC.KY · 610647538-002 | Moll Wealth Management | $7.7B |
PENN STATE HEALTHPA · 473769205-001 | Empower | $2.9B |
RADIOLOGY PARTNERS, INC.TX · 461413340-003 | Lockton Investment Advisors | $1.0B |
LOCKE LORD LLPTX · 741164324-001 | Linscomb & Williams | $892M |
PENN STATE HEALTHPA · 473769205-002 | Hanlon Investment Management | $532M |
BUCHANAN INGERSOLL & ROONEY PCPA · 251381032-003 | NW Mutual Life Insurance Company | $484M |
BENCO DENTAL SUPPLY CO.PA · 232718942-002 | RSM US | $261M |
EMPLOYERS INSURANCE COMPANY OF NEVADANV · 880442429-002 | EY | $132M |
Plans lost in 2024
Appeared last year under Cambridge Investment Research; not this year.
| Sponsor | To | Assets |
|---|---|---|
APPLE INC.CA · 942404110-001 | Financial Engines Advisors LLC | $19.8B |
BARNES & THORNBURG LLPIN · 350900596-002 | Empower | $658M |
BRADLEY ARANT BOULT CUMMINGS LLPAL · 630243316-001 | Savant Capital Management | $590M |
PRINCIPAL LIFE INSURANCE COMPANYIA · 420127290-334 | RBC Capital Markets | $384M |
YORK COLLEGE OF PENNSYLVANIAPA · 231352698-001 | TIAA | $178M |
CLEARWAY ENERGY GROUP LLCCA · 371820831-001 | Sensiba LLP | $123M |
TOM JAMES COMPANYTN · 351285878-001 | Soltis Advisors | $114M |
MEDICAL ASSOCIATION OF GEORGIAGA · 580605267-002 | Mercer | $108M |
HALL, ESTILL, HARDWICK, GABLE, GOLDEN & NELSON, P.C.OK · 730931831-001 | Legacy Financial Group | $93M |
NATIONAL DEVELOPMENT ASSOCIATES OF NEW ENGLAND, INC.MA · 043142739-001 | Iron Fiduciary | $70M |
Top plans by assets
Searchable full list lands with the commercial layer.
| Plan | Assets | Participants | Fees | Tenure | Flags |
|---|---|---|---|---|---|
UNITED AIRLINES, INC.IL · 742099724-202 | $16.8B | 20,168 | $143,999 | 10y | 1 |
THE PERMANENTE MEDICAL GROUP, INC.CA · 942728480-013 | $9.9B | 30,066 | $10,650 | 2y | 1 |
THE CLEVELAND CLINIC FOUNDATIONOH · 340714585-002 | $9.2B | 86,817 | $6,009 | 7y | 1 |
SOUTHERN CALIFORNIA PERMANENTE MEDICAL GROUPCA · 951750445-008 | $7.9B | 12,335 | $13,823 | 8y | 1 |
HUMANA INC.KY · 610647538-002 | $7.7B | 61,001 | $5,479 | 1y | 1 |
EMORY UNIVERSITY DIVISION OF HUMAN RESOURCESGA · 580566256-001 | $5.5B | 40,652 | $38,703 | 4y | - |
PENN STATE HEALTHPA · 473769205-001 | $2.9B | 22,033 | $102 | 1y | 1 |
BOARD OF DIRECTORS OF PENTEGRA DEFINED CONTRIBUTION PLANNY · 136321489-333 | $2.3B | 45,161 | $11,140 | 2y | 2 |
PAYCHEX RETIREMENT LLCNY · 853275179-001 | $1.8B | 661,036 | $8,746 | 2y | 2 |
WASHINGTON PERMANENTE MEDICAL GROUP, P.C.WA · 911841629-001 | $1.5B | 2,378 | $29,937 | 4y | 1 |
Flag exposure
83.5%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 (97)
Raw Schedule C names collapsed into Cambridge Investment Research.
- BAIN CAPITAL EUROPE IV, LP
- BAIN CAPITAL IX
- BAIN CAPITAL MANAGEMENT, LLC
- BAIN CAPITAL PARTNERS, LLC
- BAIN CAPITAL REAL ESTATE FD I-A
- BAIN CAPITAL SENIOR LOAN
- BAIRD AGGREGATE BOND
- BAIRD AGGREGATE BOND FUND
- BAIRD ASSET MANAGEMENT
- BAIRD COTTER & BISHOP
- BAIRD COTTER AND BISHOP PC
- BAIRD FUND
- BAIRD INSURANCE SERVICE INC
- BAIRD INSURANCE SVCS INC.
- BAIRD INV. MGMT
- BAIRD MCG
- BAIRD PRIVATE WEALTH MANAGEMENT
- BAIRD ROBERT W & COMPANY
- BAIRD WEALTH STRATEGY GROUP
- BAIRD, KURTZ & DOBSON LLP
- BAIRD, ROBERT W & CO INC
- BAIRD, ROBERT W & CO.
- BAIRD, ROBERT W. & COMPANY INC.
- CAMBERIDGE INVESTMENT RESEARCH
- CAMBIDGE INVESTMENT RESARCH A
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 Cambridge Investment Research'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 | 12 | 3.15% | 7.76% | -4.61 pp |
| Fidelity bond gap | 24 | 6.30% | 26.94% | -20.64 pp |
| Late contributions | 95 | 24.93% | 1.71% | +23.22 pp |
| Failed to provide benefit | 4 | 1.05% | 0.14% | +0.91 pp |
| Corrective distributions | 106 | 27.82% | 1.76% | +26.06 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 Cambridge Investment Research. Compare to the incumbent market share (0.6%) - higher = winning new business, lower = coasting on existing relationships.
0.0%-0.6 pp vs incumbent
Frequent partners by role
Who else shows up on Cambridge Investment Research'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 |
|---|---|---|
| Morningstar Investment Management | 17 | 4.5% |
| Global Retirement Partners LLC | 13 | 3.4% |
| Strategic Advisers | 11 | 2.9% |
| Wilshire Associates | 11 | 2.9% |
| Creative Planning | 9 | 2.4% |
| Fischer Investment Strategies | 7 | 1.8% |
| Brinker Capital Holdings, Inc. | 6 | 1.6% |
| Financial Engines Advisors LLC | 6 | 1.6% |
| High Tower Advisors | 5 | 1.3% |
| Larson Financial Group LLC | 5 | 1.3% |
Geographic penetration index
(Provider plans in state / state plans) divided by the provider's overall share of the market. Index 1.00 = average; > 1 = over-indexed (winning more than their fair share); < 1 = under-indexed (white space).