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List of DC Broker Dealers and RIAs

There are various types of national Broker dealers (BDs) and Registered Investment Advisors (RIAs) including:

  1. Wire Houses and Employee Based –Reps are employees rather than independent contractors.
  2. Insurance – Also employee based, this group has emerged from traditional life insurance agencies.
  3. Independents – Advisors are independent contractors.
  4. Specialty Groups – Some are BDs, some are RIAs and other are just groups that have emerged to focus on supporting DC plan advisors.
Broker Dealers/Advisory Firms (48)
National (Employee) 9
Ameriprise Raymond James*
Baird RBC
Edward Jones UBS
Merrill Lynch Wells Fargo Advisors*
Morgan Stanley *Both Indy & Employee
Insurance 8
AXA Northwestern Mutual
John Hancock NYLife
Lincoln Princor
MassMutual
Independents 18
AIG Janney
Advisor Group Kestra
Calton LPL
Cambridge M Financial
Cetera National Planning
Commonwealth Securities of America
First Allied Stifel Nicolaus
Hilliard Lyons United Planners
IFG Voya
Specialty Groups 13
Bukaty Lockton
Cafaro Greenleaf NFP
CapTrust Pensionmark
Centurion RBG
Gallagher Sageview
GRP Sheridan Road
IFP