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Dain Rauscher Incorporated (Minneapolis)


Dain Rauscher Incorporated is a large advisory firm based in Minneapolis. It manages $4.76 billion of regulatory assets for 16,413 client accounts. It has been registered with the SEC as an adviser since 2001 and has operated in the jurisdictions of Alabama, Alaska, Arizona, and 48 other states.

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Dain Rauscher Incorporated provides portfolio management for individuals and small businesses, portfolio management for pooled investment vehicles, portfolio management for businesses and institutional clients, and pension consulting services. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Dain Rauscher Incorporated: assets under management

The assets under management (AUM) of Dain Rauscher Incorporated is $4.76 billion. The firm's AUM has grown by 0% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.


The firm manages $592 million in discretionary accounts and $4.17 billion in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $264.05 thousand each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $293.91 thousand.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Dain Rauscher Incorporated for their services and products based on a percentage of assets under management, hourly charges, fixed fees, and commissions. Commissions are paid and earned by the adviser when a trade or a sales of an investment is made. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

Indirect Owners

The SEC currently registers 2 indirect owners.

Name Entity Date acquired Ownership Employer ID
Royal Bank Of Canada Indirect owner 1 Jan 2001 75% - 100% 13-5357855
Rbc Holdings (Usa) Inc Indirect owner 1 Jan 2001 75% - 100% 13-3237290

Based in Minneapolis

The principal office where Dain Rauscher Incorporated performs its advisory services is located at 60 S 6 Th St., Minneapolis, MN 55402, which is also the mailing address of the firm. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 612-371-7877 or by fax 612-371-6134. The normal business hours are 8:00 a.m. - 5:00 p.m. on Monday - Friday. You can find more information about the New York firm at www.dainrauscher.com/persinvest/products.


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