Stock Brokers and Broker-Dealers
SIC 6211 | NAICS 523120
The following guide to industry information, research, and analysis provides sources for industry trends and statistics, market research and analysis, financial ratios and salary surveys, and more.
Select from the following sections or scroll below to view available resources:
For guides to other industries, see our index of over 400 industries.
Industry Analysis, Trends, Statistics, and Forecasts
Comprehensive market research reports provide in-depth industry analysis and five-year forecasts, with special focus on the underlying structure and external forces and relationships that affect industries and their performance. Report contents include:
Crain Communications Inc.
Weekly trade publication features news and information for investment advisors, with special reports including the annual "Outlook" report and ranking and profile reports for independent broker-dealers ranked by revenue and number of advisors, registered investment advisors ranked by assets under management, and custodian and clearing firms by number of RIA and broker-dealer clients served.
First Research profiles cover key aspects of an industry's size, scope, and operations and include a five-year growth forecast. Profile contents include:
Information resources available from this trade association include:
Security Industries Databank
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Financial Statements and Financial Ratios
Securities Brokers and Dealers
https://www.bizminer.com Search for "5231"
Five-year financial statement analysis includes income statements, balance sheets, and key financial ratios, with data available by sales size range on a national, state, and metro area level.
Financial Performance Study of Advisory Firms
Annual financial performance survey provides detailed income statement data and key performance and productivity ratios for custodians, broker-dealers, and registered investment advisor firms, with income statement data broken out by type of firm, annual revenue (e.g., $100K to $1M, $1M to $5M, and $5M or more), performance level (e.g., top quartile vs. all others), and advisor affiliation model.
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Compensation and Salary Surveys
Compensation surveys available from this trade association include:
Compensation of Top Management in Small and Regional Firms
Management and Professional Earnings
Office Salaries in the Securities Industry
Financial Performance and Compensation Study
Compensation section of this annual study provides base salary, bonus, and total compensation data for home office personnel employed by broker-dealer and registered investment advisor firms. Survey results are available to participating members only, with each participating firm receiving an individual company assessment which compares the firm's data to the average and median survey responses.
Adviser Compensation & Staffing Study
Annual benchmarking study provides compensation and benefits information for personnel employed by custodian, broker-dealer, and registered investment advisor firms, with job positions covered in the survey including chief executive officer/managing partner, practicing partner, chief investment officer, investment portfolio manager, business development officer, and senior client service administrators.
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Business Valuation Resources