Financial Planners & Investment Advisors – 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
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.
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.
BizMiner Market Analysis Reports
Financial & Investment Advisory Services
https://www.bizminer.com Search for "523930" 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
Financial & Investment Advisory Services
https://www.bizminer.com Search for "523930" 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.
Investment Adviser Association
Asset Management Operations & Compensation Survey
https://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 and Salary 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
https://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
Securities, Commodity Contracts, and Other Financial Investments and Related 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, Inc.
Financial Planning
https://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.
BV Guides and Databases
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.
Commodity and Futures Brokers and Traders
Hedge Funds
Real Estate Investment Trusts
Stock Brokers and Broker-Dealers
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