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Financial Planners and Investment Advisors

SIC 6282 | NAICS 523930

The following guide to industry information, research, and analysis provides sources for industry trends and statistics, financial ratios, salary surveys, and more.


Select from the following sections or scroll below to view available resources:

Industry Analysis, Statistics, Trends, and Forecasts

Financial Information and Financial Ratios

Compensation and Salary Surveys

Business Valuation Resources


For guides to other industries, see our index of over 400 industries.




Industry Analysis, Statistics, Trends, and Forecasts


Financial Planning & Investment Advisory Services  (view report)

Comprehensive research reports provide in-depth industry analysis and five-year growth forecasts, with special focus on the underlying structure and external forces and relationships that affect industries and their performance. Report contents include:

  • Key statistics
  • Market size and characteristics
  • Current performance
  • Competitive landscape
  • Major companies
  • Key risk and success factors
  • Five-year growth forecast

FPA
Journal of Financial Planning
https://www.onefpa.org/

Monthly trade journal features news and information for industry professionals, with topics covered in this publication including future of the profession, practice management, client communication skills, behavioral finance, trends in investing, marketing strategies, technology tools and software, fiduciary issues, and regulatory updates. Current and prior digital editions of the journal can be viewed online.


First Research

Financial Planners & Investment Advisors
http://www.firstresearch.com

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.


Investment Adviser Association
Publications available from this trade association include:

Executive Outlook Survey
https://investmentadviser.connectedcommunity.org
Annual survey of executives at U.S. asset and wealth managers provides information on trends and expectations for the next 12 to 36 months, with topics covered by the survey including assets under management, product and service markets, market indices, industry opportunities and threats, level
of concern regarding external factors, growth plans, strategic priorities, and importance of initiatives.

Evolution Revolution Report
https://investmentadviser.connectedcommunity.org/
Annual report profiles the investment adviser profession, with topics covered in the report including typical SEC-registered investment adviser, number of advisers, assets under management (RAUM), industry concentration, number of clients, advisers by category and type of client, fee arrangements, custody of client assets, staffing levels, firms by region and state, and other business characteristics.




Financial Benchmarking Data


Industry Financial Ratios
Investment Advisory Services
https://www.bizminer.com  Search for "523930"
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.
  • Income and expense detail in dollars and percentages
  • Balance sheets in dollars and percentages
  • Cash flow analysis
  • Liquidity and working capital ratios
  • Profitability and return on investment ratios
  • Asset turnover and efficiency ratios
  • Capital structure and debt service ratios


Investment Adviser Association
Asset Management Operations & Compensation Survey
http://exchange.investmentadviser.org/

Financials section of this report provides benchmarking data for SEC-registered investment advisory firms broken out by assets under management (AUM), with data provided including median revenue; labor, non-labor, and total direct costs by function (investments; sales, marketing, and client service; and administration) and by function as a percentage of AUM and revenue; and EBITDA profit margin.




Compensation Surveys


FPA
Trends in Adviser Compensation and Benefits Study
https://www.onefpa.org/

Annual compensation survey provides base salary, incentive, bonus, other pay, and total compensation data by total assets under management (e.g., small, mid, large) and geographic region (e.g., Northeast, Mid West, South, West) for CEOs/presidents, senior advisers/planners, junior advisers/planners, non- adviser management personnel, and support staff. Survey can be downloaded and viewed free online.


Investment Adviser Association
Asset Management Operations & Compensation Survey
http://exchange.investmentadviser.org/

Compensation section of this report provides base salary, incentive pay, and total cash compensation data for SEC-registered investment advisory firms by assets under management for five different size peer groups, with job categories covered including senior executives, sales, marketing, client service and relationship management, investments, operations, compliance, and administration and support.


U.S. Bureau of Labor Statistics
Other Investment Activities
https://www.bls.gov/oes/

Annual wage survey provides hourly and annual wage data for personnel employed in this sector on a national, state, and metropolitan area basis, with occupations covered in the survey including personal financial advisors who provide individuals with advice on savings, investments, tax planning, insurance, and other personal finance matters, invest client funds on their behalf, and monitor client investments.


PayScale
Financial Planning
http://www.payscale.com/

Free online service provides salary, bonus, and hourly wage rate data for selected job positions such as certified planner (CFP), associate planner, paraplanner, advisor, advisor assistant, and executive assistant, with employers for which wage data is provided including Ameriprise, Northwestern Mutual Life Insurance Co., Edward D. Jones, Raymond James, Wells Fargo Advisors, and Waddell & Reed.




Business Valuation Resources


FP Transitions
Buying, Selling, and Valuing Practices: The FP Transitions M&A Guide
David Grau Sr., Wiley Finance, 2016
https://www.amazon.com/

Comprehensive text serves as a how-to guide for the sale or acquisition of an advisory practice, with topics covered in individual chapters including valuation basics, valuing the practice, preparing to sell, understanding the buyer's perspective, structuring the deal in terms of payment, taxes, and financing, due diligence and documentation, key legal issues in the M&A process, and completing the transition.


Moss Adams, LLP
How to Value, Buy, or Sell an Advisory Practice
Mark C. Tibergien, Owen Dahl, Bloomberg Press, 2006
https://www.amazon.com/

Publication covers the various aspects of valuing, buying, or selling an advisory practice, with topics covered in this text including evaluating fiscal health, valuation approaches, assessing value for sole practitioner and multi-partner firms, negotiating the terms of the deal from both a seller's and buyer's perspectives, due diligence, legal considerations, using an intermediary, and finding the right buyer.


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