Stock Brokers and Broker-Dealers
SIC 6211 | NAICS 523120
The following guide to market research and industry analysis provides sources for industry trends and statistics, financial ratios, salary surveys, and more.
Select from the following sections to view available resources:
For guides to other industries, see our index.
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 provide analysis, statistics, and forecasts for a wide range of industries, with content sections including industry overview, recent developments, issues and challenges, business trends and opportunities, leading companies, executive insights, financial benchmarking information, and 5-year revenue growth forecast. Profiles are updated monthly; sample report is available online.
Information resources available from this trade association include:
Security Industries Databank
Financial Benchmarking Data
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 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