RBC Capital Markets
broker44 known aliases resolved via the canonical alias map
Market position · 2024
Plans served242+3 YoYRank #90 of mapped providers
Assets under administration$74.1B0.1%Market share · rank #193
Fees received$12MMedian $30,200/planSum across Schedule C direct + indirect
Net wins YoY+644 won · 38 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 RBC Capital Markets plan look like?
Service mix · median fees per plan
Count of plans where RBC Capital Markets ships each service code, and the median compensation they report under it.
| Service | Plans | Median fees | Distribution |
|---|---|---|---|
Participant loan processing; Investment advisory (plan)Code 27 | 115 | $34,159 | |
Investment management; Investment advisory (plan); Investment management fees paid directly by plan; Investment advisory (participants)Code 26 | 26 | $23,039 | |
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 | 23 | $31,390 | |
Shareholder servicing fees; Investment managementCode 28 | 15 | $24,108 | |
Other services; Other fees; Other commissionsCode 49 | 15 | $14,645 | |
Other commissionsCode 55 | 15 | $20,287 | |
Investment advisory (plan); Insurance services; Consulting (general); Insurance brokerage commissions and feesCode 16 | 11 | $28,816 | |
Other feesCode 99 | 8 | $10,840 |
Competitor overlap
Percent of RBC Capital Markets'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 RBC Capital Markets.
| Sponsor | From | Assets |
|---|---|---|
BOARD OF TRUSTEES, CALIFORNIA IRONWORKERS FIELD PENSION TRUST FUNCA · 956042866-001 | R.V. Kuhns & Associates, Inc. | $3.3B |
PRINCIPAL LIFE INSURANCE COMPANYIA · 420127290-334 | Sage Point Financial | $651M |
ORGILL, INC.TN · 620314720-002 | Prudential | $275M |
CPM ACQUISITION CORP.IA · 061612491-001 | Principal | $97M |
ACCURIDE CORPORATIONIN · 611109077-004 | UBS Financial Services | $78M |
SHEET METAL WORKERS LOCAL NO. 124 PENSION PLANOK · 736145795-001 | Rockefeller Capital Management | $52M |
OIS MANAGEMENT SERVICES, LLC D/B/A PARADIGM ORAL HEALTHNE · 834600504-001 | Capital Group | $46M |
CRISTA MINISTRIESWA · 916012289-001 | RBC Wealth Management | $41M |
XERIS PHARMACEUTICALS, INC.IL · 203352427-002 | Empower | $36M |
JOINT BOARD OF TRUSTEES - SHEET METAL LOCAL 124OK · 736145795-002 | Dimick & Lewis PC | $35M |
Plans lost in 2024
Appeared last year under RBC Capital Markets; not this year.
| Sponsor | To | Assets |
|---|---|---|
NORTHWELL HEALTH, INC.NY · 113418133-006 | NISA Investment Advisors | $2.7B |
KALEIDA HEALTH CORPORATE BENEFITSNY · 161533232-001 | Audax | $776M |
OREGON ANESTHESIOLOGY GROUP, P.C.OR · 931013923-001 | The Lam Group Inc | $379M |
BAKERS' LOCAL NO 433 PENSION PLANSD · 420653453-001 | (new plan) | $146M |
OLTMANS COMPANIESCA · 473698702-001 | Ascensus | $76M |
IATSE LOCAL 8 ANNUITY FUNDPA · 232785557-001 | Empower | $63M |
CHARLES WRIGHT ACADEMYWA · 910673111-001 | TIAA | $38M |
GSC-ILA LOCAL 1303 PENSION PLANMS · 636053263-001 | SHANNON MILLETTE | $35M |
MOODY NOLAN, INC.OH · 311256984-001 | Money Concepts Capital Corp. | $33M |
WEBER METALS, INC.CA · 952222524-001 | Global Retirement Partners LLC | $29M |
Top plans by assets
Searchable full list lands with the commercial layer.
| Plan | Assets | Participants | Fees | Tenure | Flags |
|---|---|---|---|---|---|
INTERNATIONAL BUSINESS MACHINES CORPORATIONNY · 130871985-005 | $60.4B | 149,818 | $2M | 10y | - |
TRADER JOE'S COMPANYCA · 951987958-002 | $3.2B | 73,118 | $300,000 | 5y | 1 |
CONDUENT BUSINESS SERVICES, LLCNJ · 320293031-333 | $1.0B | 31,630 | $105,000 | 2y | - |
PRINCIPAL LIFE INSURANCE COMPANYIA · 420127290-334 | $651M | 163,954 | $44,785 | 1y | 2 |
PLAN PROFESSIONALS, LLCNJ · 853213245-333 | $650M | 16,629 | $15,283 | 2y | 2 |
SHELTER MUTUAL INSURANCE COMPANYMO · 430613000-002 | $596M | 3,330 | $181,986 | 7y | - |
SOO LINE RAILROAD COMPANYMN · 416009079-002 | $299M | 3,784 | $99,811 | 5y | - |
ORGILL, INC.TN · 620314720-002 | $275M | 6,552 | $50,000 | 1y | 2 |
WHITMAN, REQUARDT & ASSOCIATES, LLPMD · 520541536-002 | $174M | 1,104 | $40,000 | 4y | 1 |
WILMINGTON HEALTH, PLLCNC · 561980160-001 | $166M | 1,583 | $20,331 | 2y | - |
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 (44)
Raw Schedule C names collapsed into RBC Capital Markets.
- DECKER,/RBC
- HANCOCK & DANA PC
- HANCOCK & DANA, PC
- HANCOCK AND DANA, PC
- HANCOCK ASKEW & C LLP
- HANCOCK BANK
- HANCOCK BENEFIT CONSULTANTS, INC.
- HANCOCK CAPITAL PARTNERS
- HANCOCK CAPITAL PARTNERS V, LP
- HANCOCK CO-INVESTMENT PARTNERS L.P.
- HANCOCK DANA
- RBC
- RBC CAPITAL
- RBC CAPITAL MANAGEMENT - REP I
- RBC CAPITAL MARKERS, LLC
- RBC CAPITAL MARKET
- RBC CAPITAL MARKET LLC
- RBC CAPITAL MARKET, LLC
- RBC CAPITAL MARKETING LLC
- RBC CAPITAL MARKETS
- RBC CAPITAL MARKETS CORP
- RBC CAPITAL MARKETS CORP LLC
- RBC CAPITAL MARKETS CORP, LLC
- RBC CAPITAL MARKETS CORP.
- RBC CAPITAL MARKETS CORP..
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 RBC Capital Markets'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 | 14 | 5.79% | 7.76% | -1.98 pp |
| Fidelity bond gap | 5 | 2.07% | 26.94% | -24.87 pp |
| Late contributions | 44 | 18.18% | 1.71% | +16.47 pp |
| Failed to provide benefit | 1 | 0.41% | 0.14% | +0.27 pp |
| Corrective distributions | 48 | 19.83% | 1.76% | +18.08 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 RBC Capital Markets. Compare to the incumbent market share (0.4%) - higher = winning new business, lower = coasting on existing relationships.
0.0%-0.4 pp vs incumbent
Frequent partners by role
Who else shows up on RBC Capital Markets'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 |
|---|---|---|
| Wilshire Associates | 13 | 5.4% |
| Morningstar Investment Management | 11 | 4.5% |
| GW&K Investment Management LLC | 4 | 1.6% |
| Southwest Service Administrators | 4 | 1.6% |
| Fiduciary Management Inc. | 3 | 1.2% |
| Mairs & Power Inc. | 3 | 1.2% |
| Milliman | 3 | 1.2% |
| Prime Pensions Inc. | 3 | 1.2% |
| CPI Qualified Plan Consultants, Inc. | 2 | 0.8% |
| Leaf House Financial Advisors | 2 | 0.8% |
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).