Dain Rauscher
broker6 known aliases resolved via the canonical alias map
Market position · 2024
Plans served2Rank #4948 of mapped providers
Assets under administration$169M0.0%Market share · rank #5867
Fees received$145,027Median $72,514/planSum across Schedule C direct + indirect
Net wins YoY+01 won · 1 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 Dain Rauscher plan look like?
Service mix · median fees per plan
Count of plans where Dain Rauscher ships each service code, and the median compensation they report under it.
| Service | Plans | Median fees | Distribution |
|---|---|---|---|
Direct payment from the plan; Securities brokerage commissions and fees; Investment advisory (plan)Code 27 | 1 | $15,148 | |
Investment management fees paid directly by plan; Investment management; Direct payment from the planCode 28 | 1 | $129,879 |
Competitor overlap
Percent of Dain Rauscher'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 Dain Rauscher.
| Sponsor | From | Assets |
|---|---|---|
DEWITT LLPWI · 391804522-001 | BDO | $145M |
Plans lost in 2024
Appeared last year under Dain Rauscher; not this year.
| Sponsor | To | Assets |
|---|---|---|
ANESTHESIA ASSOCIATES OF KANSAS CITY, P.A.KS · 430975680-001 | Prime Capital Investment Advisors | $163M |
Top plans by assets
Searchable full list lands with the commercial layer.
| Plan | Assets | Participants | Fees | Tenure | Flags |
|---|---|---|---|---|---|
DEWITT LLPWI · 391804522-001 | $145M | 332 | $15,148 | 3y | - |
KPH HEALTHCARE SERVICES, INC.NY · 150358720-001 | $24M | 384 | $129,879 | 10y | - |
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 (6)
Raw Schedule C names collapsed into Dain Rauscher.
- DAIN RAUSCHER
- DAIN RAUSCHER INCORPORATED
- RBC DAIN RAUCHER
- RBC DAIN RAUSCHER
- RBC DAIN RAUSCHER INC
- RBC DAIN RUASCHER/COURTNEY
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 Dain Rauscher'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 | 0 | 0.00% | 1.76% | -1.76 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 Dain Rauscher. 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 Dain Rauscher'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 |
|---|---|---|
| Bernstein Private Wealth Management | 1 | 50.0% |
| Francis Investment Counsel | 1 | 50.0% |
| Milliman | 1 | 50.0% |