PURSHE KAPLAN STERLING INV
16 known aliases resolved via the canonical alias map
Market position · 2024
Plans served14-7 YoYRank #946 of mapped providers
Assets under administration$943M0.0%Market share · rank #4092
Fees received$414,236Median $25,704/planSum across Schedule C direct + indirect
Net wins YoY-64 won · 10 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 PURSHE KAPLAN STERLING INV plan look like?
Service mix · median fees per plan
Count of plans where PURSHE KAPLAN STERLING INV ships each service code, and the median compensation they report under it.
| Service | Plans | Median fees | Distribution |
|---|---|---|---|
Other commissions; Finders' fees / placement feesCode 55 | 6 | $18,388 | |
Investment advisory (plan)Code 27 | 3 | $16,615 | |
Other services; Other commissions; Other feesCode 49 | 3 | $31,843 | |
Shareholder servicing fees; Investment managementCode 28 | 1 | $15,103 | |
Finders' fees / placement feesCode 61 | 1 | $0 |
Competitor overlap
Percent of PURSHE KAPLAN STERLING INV'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 PURSHE KAPLAN STERLING INV.
| Sponsor | From | Assets |
|---|---|---|
PRINCIPAL LIFE INSURANCE COMPANYIA · 420127290-334 | SAGEPOINT FINANCIAL INC | $651M |
ENNIS CENTER FOR CHILDREN, INC.MI · 382222428-001 | GREAT-WEST LIFE & ANNUITY INSURANCE | $3M |
Plans lost in 2024
Appeared last year under PURSHE KAPLAN STERLING INV; not this year.
| Sponsor | To | Assets |
|---|---|---|
GLACIER POINT ENTERPRISE, INC.NJ · 872332996-003 | FIDELITY INVESTMENTS INSTITUTIONAL | $31M |
VAN BEURDEN INSURANCE SERVICES, INC.CA · 941681804-002 | (new plan) | $16M |
NORTH FLORIDA WOMEN'S CARE, P.A.FL · 592825211-002 | INTEGRATED WEALTH CONCEPTS LLC | $13M |
VALEO BEHAVIORAL HEALTH CAREKS · 480730326-002 | PROACCOUNT | $10M |
HOSHINO (USA), INC.PA · 231646753-001 | M HOLDINGS SECURITIES INC | $9M |
HOPES COMMUNITY ACTION PARTNERSHIP, INCORPORATEDNJ · 221801849-001 | (new plan) | $3M |
Top plans by assets
Searchable full list lands with the commercial layer.
| Plan | Assets | Participants | Fees | Tenure | Flags |
|---|---|---|---|---|---|
PRINCIPAL LIFE INSURANCE COMPANYIA · 420127290-334 | $651M | 163,954 | $31,843 | 1y | 2 |
THE RETIREMENT PLAN COMPANY, LLCTN · 383712991-101 | $62M | 1,679 | $5,439 | 1y | - |
AECHELON TECHNOLOGY, INC.CA · 770493667-001 | $43M | 232 | $86,230 | 3y | 1 |
WATAUGA ORTHOPAEDICS, PLCTN · 621586264-002 | $36M | 357 | $65,655 | 9y | - |
PALECEKCA · 942312802-003 | $26M | 344 | $5,000 | 2y | 1 |
BUILDING BLOCKS DEVELOPMENTAL PRE SCHOOL INC.NY · 112682219-002 | $22M | 194 | $50,493 | 6y | - |
BLACKBURN, CHILDERS & STEAGALL, PLCTN · 620647474-001 | $19M | 153 | $16,615 | 5y | - |
INTEGRITS CORPORATIONCA · 330847178-001 | $16M | 219 | $59,664 | 6y | 1 |
THOMPSON PUMP AND MANUFACTURING CO.FL · 591286389-001 | $15M | 159 | $30,205 | 2y | 1 |
GOLDSTEIN ENTERPRISES, INC.NY · 141608677-003 | $14M | 231 | $23,245 | 10y | - |
Flag exposure
85.7%Market: 89.2%
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 (16)
Raw Schedule C names collapsed into PURSHE KAPLAN STERLING INV.
- PURSHE KAPLAN & STERLING INVESTMENT
- PURSHE KAPLAN SERLING
- PURSHE KAPLAN STERLING
- PURSHE KAPLAN STERLING (PKS)
- PURSHE KAPLAN STERLING INV
- PURSHE KAPLAN STERLING INV INC
- PURSHE KAPLAN STERLING INV INC.
- PURSHE KAPLAN STERLING INVEST
- PURSHE KAPLAN STERLING INVESTM
- PURSHE KAPLAN STERLING INVESTMENT
- PURSHE KAPLAN STERLING INVESTMENTS
- PURSHE KAPLAN STERLING INVESTMENTS.
- PURSHE KAPLAN STERLING INVST
- PURSHE KAPLAN STERLING INVST, LP
- PURSHE KAPLAN STERLINGINVEST
- PURSHE KAPLAN STERMLING INV INC.
Book composition by plan size
Bars stack to total plans served; segments use the same asset cutoffs as the /retirement 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 PURSHE KAPLAN STERLING INV'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 | 7 | 50.00% | 1.71% | +48.29 pp |
| Failed to provide benefit | 0 | 0.00% | 0.14% | -0.14 pp |
| Corrective distributions | 3 | 21.43% | 1.76% | +19.67 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 PURSHE KAPLAN STERLING INV. Compare to the incumbent market share (0.0%) - higher = winning new business, lower = coasting on existing relationships.
0.0%-0.0 pp vs incumbent