Stock Brokers & Broker-Dealers – Industry Analysis, Statistics, Trends, and Forecasts
See the following sections listed below to view available resources by category:
For guides to other industries, see our index of over 400 industries.
Industry Analysis, Statistics, Trends, and Forecasts
- Market size and major product and service segments
- Key industry statistics, trends, and financial ratios
- Operating conditions and current performance
- Competitive landscape and environment
- Major company profiles and market shares
- Five-year outlook and growth forecasts
Crain Communications Inc.
InvestmentNews
http://www.investmentnews.com/
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.
SIFMA
Resources available from this trade association include:
Fact Book
https://www.sifma.org/
Annual reference guide provides comprehensive statistical data on the U.S. securities industry and
the markets in which it operates, with topics covered in individual chapters including
industry profile, U.S. capital markets, global capital markets, investor participation
by type of assets and holder, and retirement savings and investment. Current year guide can be downloaded
and viewed free online.
Securities Industry
https://www.sifma.org/
Chapter 1 of the fact book described above provides a statistical profile of industry participants, with
information provided in this chapter including broker-dealer financial results, FINRA-registered firms,
NYSE-reporting firm financial results, national employment data, investment banking revenues, and number
of registered representatives, broker-dealers, and registered investment advisors by state.
Security Industries Databank
https://www.sifma.org/
Comprehensive database provides financial and employment data from the quarterly FOCUS Report income statements
and balance sheets filed with the Financial Industry Regulatory Authority (FINRA) by all
broker-dealers in the U.S. Data is available in an Excel spreadsheet format and is aggregated
into 16 firm categories including 10 largest firms, 25 largest firms, regional firms,
and clearing firms.
BizMiner Market Analysis Reports
Securities Brokers and Dealers
https://www.bizminer.com Search for "5231" to see available reports
Market analysis reports provide industry statistics for a user-defined area on a national, state, county, metro area, or zip code level, with data provided including number of companies, market volume and sales trends, average company sales, sales per employee, staffing and employment trends, average employee wage, and business start up activity and failure rates. Sample report can be viewed online.
Financial Statements and Financial Ratios
BizMiner Industry Financial Ratios
Securities Brokers and Dealers
https://www.bizminer.com Search for "5231" to see available reports
- 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
IBISWorld Research Reports
Industry Financial Ratios
(see links for individual reports)
Key statistics section of these reports provides detailed income statements and balance sheets on a common-size basis and an array of industry financial ratios, with the financial ratio data presented on an annual basis for the four most recent years for which data is available and on a historical average basis over three-year, five-year, and ten-year time periods. Sample report can be viewed free online.
InvestmentNews
Financial Performance Study of Advisory Firms
http://research.investmentnews.com/
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
SIFMA
Compensation surveys available from this trade association include:
Compensation of Top Management in Small and Regional Firms
https://www.sifma.org/
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
https://www.sifma.org/
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, and systems/technology.
Office Salaries in the Securities Industry
https://www.sifma.org/
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.
FSI
Financial Performance and Compensation Study
https://www.financialservices.org/
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.
InvestmentNews
Adviser Compensation & Staffing Study
http://research.investmentnews.com/
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.
BV Guides and Databases
Commodity and Futures Brokers and Traders
Financial Planners and Investment Advisors
Hedge Funds
Real Estate Investment Trusts
Top
About | Contact | Privacy | Terms
© 2023 ValuationResources.Com