Financial Statements and Financial Ratios
Industry Financial Ratios
Securities Brokers and Dealers
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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 including:
- Income and expenses in dollars and percentages
- Balance sheets in dollars and percentages
- Profitability and return on investment ratios
- Liquidity and working capital ratios
- Asset turnover and efficiency ratios
- Capital structure and debt service ratios
Sample national and metropolitan area reports are available free online.
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.
Compensation and Salary Surveys
Compensation surveys available from this trade association include:
Compensation of Top Management in Small and Regional Firms
Annual management survey provides base salary, bonus/short-term incentive, commission, long-term incentive,
and total cash compensation data for eighteen senior executive positions, with job positions covered
by the survey including chief executive officer, chief compliance officer, chief risk officer, and heads
of retail and institutional sales, marketing, finance, and fixed income and equity capital markets.
Management and Professional Earnings
Annual survey provides base salary, bonus, other pay, and total compensation data for management
and professional personnel employed by broker-dealer/asset
management firms, with job categories covered by the survey including accounting, administration, compliance,
customer service, research, floor/trading, operations, personnel management, investment management,
Office Salaries in the Securities Industry
Financial Performance and Compensation Study
Annual salary survey provides base salary, bonus, other pay, and total compensation data for clerical
personnel employed by broker-dealers and asset managers, with job positions covered by the survey including
retail sales assistant, institutional sales assistant, ACATS/TOA representative, legal transfer representative,
and stock record clerk. Complete list of jobs included in the survey is available online.
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
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.