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.