Broker Dealer KPIs, Metrics & Benchmarks

KPIs & Metrics to Measure and Manage Broker Dealer Performance

What are Broker Dealer KPIs and Metrics?

Broker dealer firms work on behalf of their clients to execute transactions across a variety of asset classes (equities, fixed income, foreign currency, commodities, etc.). These firms are typically divided into three major parts – front office, middle office and back office operations. Broker dealer KPIs measure the operational performance of these groups in developing client relationships, executing trades, servicing client assets and performing certain administrative tasks related to the management of client funds.

Using KPIs to Manage and Improve Broker Dealer Operations

Broker dealer organizations manage many complex and highly sensitive processes – trade confirmation, asset movement, institutional client setup and high-dollar trade settlements, to name a few. Broker dealer KPIs are designed to track the efficiency, accuracy and compliance of these processes and the associated transactions. Broker dealer executives and managers typically track KPIs related to things like trade breaks, client retention, asset inflows and outflows, and adherence to internal (service level agreements) or external (regulatory requirements) standards.

6 KPIs for Broker Dealer Sales and Trading Operations

Many broker dealer organizations specialize by focusing on certain asset groups, trading strategies or market segments (retail, institutional). While these organizations may operate differently at a granular level, certain key metrics are applicable to just about any broker dealer.

With that in mind, here are 6 important, common broker dealer metrics to assess performance:

  1. 1.Assets Under Management (AUM) per Employee
  2. 2.Total AUM Inflows & Outflows
  3. 3.Return on Assets (ROA)
  4. 4.Client Retention Rate
  5. 5.Trade Break Rate (by Asset Class/Type)
  6. 6.Cost per Trade (by Asset Class/Type)

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