Valuation Resources

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:

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Industry Analysis, Trends, Statistics, and Forecasts

Financial Planning & Advisory Services  (view report)
Securities Brokering  (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. Topics addressed in the reports include:

  • Market size, product segments, and major markets
  • Key statistics, market trends, and external drivers
  • Operating conditions and current performance
  • Competitive landscape and environment
  • Major company profiles and market shares
  • Five-year outlook and revenue forecast

Journal of Financial Planning

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
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
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.

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Financial Statements and Financial Ratios

Industry Financial Ratios
Investment Advisory Services  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 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

Investment Adviser Association
Asset Management Operations & Compensation Survey

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.

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Compensation and Salary Surveys

Trends in Adviser Compensation and Benefits Study

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

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

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

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.

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Business Valuation Resources

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

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

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.

Business Valuation Resources, LLC
DealStats® - Private and Public Company Transaction Data

Interactive database provides detailed transaction data for over 38,000 private and public companies sold for prices ranging from under $250,000 to over $500,000,000, with valuation measures provided including market value of invested capital as a multiple of revenue, gross profit, EBIT, EBITDA, SDE, and book value of invested capital. User guide, free webinar, and sample reports are available online.

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Related Industries:
Commodity and Futures Brokers and Traders
Hedge Funds
Real Estate Investment Trusts
Stock Brokers and Broker-Dealers


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