Defined Contribution (DC) Recordkeeping Flows


A Fortune 100 Financial Services firm offering investment, advice and retirement solution wanted a comprehensive industry and competitor assessment across defined contribution (DC) flows, particularly around active and passive equity, fixed income, stable value products and target date funds.

Evalueserve's Market & Competitive Intelligence team helped by conducting an in-depth industry and competitor analysis, thereby, identifying and analyzing the overall DC flows in the market and of the competitors. The client was provided with the data along with the key takeaways highlighting the largest sources of trading inflows and outflows. The integrated industry and competitive landscape view enabled client to compete intelligently and make informed decisions.

The Challenge

The client needed a comprehensive industry and competitor assessment across DC flows. The key challenge was to identify the segregation of flows within different investment segments, which would help client to compare and analyze their flows in the respective category.

The main business need for this benchmarking study for the client was to understand the deviation in the flows with respect to market volatility and the organic growth achieved through new product sales.

Our Solution

Our team conducted a detailed industry and competitor benchmarking study to help client understand the industry dynamics and its competitors’ flows to assess their own positioning

  • The team scanned through various industry reports, press articles, and aggregators including Cerulli, Strategic Insight, Morningstar, Investment Company Institute and Pensions and Investments to collect industry data on the DC flows and various sub-categories. The team collected data for the annual DC flows from 2020-22.
  • The second step involved collecting flows data of the top recrodkeepers in US. The team gathered information on latest reported DC flows of competitors through their websites, annual reports, press releases and conducting general internet search
  • The team also provided additional findings with respect to the trends and development in the DC flows in past couple of years. The findings highlighted the products that led inflows and outflows, changes in investments strategies, etc.

Business Impact

  • Allowed client to gain an independent standpoint of their flows performance compared to industry and peers
  • Identified the factors that led to growth in the industry DC product flows
  • Enabled client to revamp their strategy for products that grew organically in the market

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