Broker Dealer KPIs, Metrics & Benchmarks

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Browse Instant Download Broker Dealer KPI and Benchmarking Products for Purchase Below

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KPI's & Data

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Unit Cost: Trade Clearing

The total cost of clearing trades (across all types) divided by the total number of trades cleared by the firm over the same period of time.

KPI Type : Cost

KPI's & Data

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Recordkeeping Fee Revenue as a Percentage of Assets Under Management

The dollar amount of revenue (fees) collected from recordkeeping (involves making sure all documents related to the assets managed are organized, accurate and stored safely) services divided...

KPI Type : Revenue

KPI's & Data

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Custodial Fee Revenue as a Percentage of Assets Under Management

The dollar amount of revenue (fees) collected from custodial services (involves account administration, tax support, settling transactions, collecting dividends and interest payments, etc.)...

KPI Type : Revenue

KPI's & Data

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Expense Ratio: Investment Fund Management

The dollar amount of revenue an investment fund managed by a company earned divided by the average annual dollar amount of assets the fund is managing at the same point in time, as a percent...

KPI Type : Cost

KPI's & Data

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Total Employees: Registered Financial Representatives

The total number of registered financial representatives working for the company who are licensed to sell securities (stocks, bonds, options, mutual funds, etc.) on behalf of the firm. Total...

KPI Type : Organizational

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KPI's & Data

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Commission Rate: Registered Financial Representative

The dollar amount of commission paid to registered financial representatives divided by the total amount of customer fees collected (for recordkeeping, advisory and custodial services) by th...

KPI Type : Cost

KPI's & Data

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Principal Value per Block Trade: Equities

The total dollar amount traded in equity-related block trade transactions divided by the total number of block trades related to equities made over the same period of time. Generally, 10,000...

KPI Type : Revenue

KPI's & Data

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Percentage of Non-Timely Confirmations: Equities

The number of equity-related trade confirmations performed by the broker after the agreed upon date divided by the total number of equity-related trade confirmations performed, as a percenta...

KPI Type : Quality

KPI's & Data

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Equity Trade Processing Error Rate

The number of equity-related trades processed while containing one or more errors (mismatch, short/long fail, pricing error, clearing house error, etc.) divided by the total number of equity...

KPI Type : Quality

KPI's & Data

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Equities Trade Executions per Equities Trading Employee

The total number of equities trades executed for clients over a certain period of time divided by the number of equities traders working for the firm.

KPI Type : Productivity

KPI's & Data

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Assets Under Management (AUM) per Client Services Employee

The total dollar amount of assets managed by the firm divided by the number of employees working within the company's Client Services function at the same point in time. Client Services empl...

KPI Type : Productivity

KPI's & Data

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Percentage of Derivative Trades Confirmed Electronically

The number of derivative-related trades (includes OTC and exchange-traded equity, interest rate, credit, currency and commodities derivative transactions) made by the firm that are confirmed...

KPI Type : Quality

KPI's & Data

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Percentage of Derivative Trades Confirmed on Paper

The number of derivative-related trades (includes OTC and exchange-traded equity, interest rate, credit, currency and commodities derivative transactions) made by the firm that are confirmed...

KPI Type : Quality

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KPI's & Data

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Cycle Time: Derivative Trade Confirmations on Paper

The number of business days required to complete a derivative-related trade confirmation on a paper document, from the time the trade is made until when the derivative confirmation documents...

KPI Type : Service

KPI's & Data

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Percentage of Manual Derivative Settlements

The number of derivative-related trades (whether OTC or through an exchange) manually settled (the deliverance of a security to a customer in exchange for payment), this may involve the exch...

KPI Type : Quality

KPI's & Data

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Percentage of Electronic Derivative Settlements

The number of derivative-related trades (whether OTC or through an exchange) electronically settled (the deliverance of a security to a customer in exchange for payment), this may include th...

KPI Type : Quality

KPI's & Data

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Foreign Exchange (FX) Accounts Managed per FX Employee

The total number of Foreign Exchange (FX) client accounts managed by the firm at a certain point in time divided by the number of employees in the FX trading employees working for the firm.

KPI Type : Productivity

KPI's & Data

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New Fixed Income Accounts per Investment Account Onboarding Employee

The total number of new fixed income-related accounts onboarded by the firm over a certain period of time divided by the number of Client Services employees responsible for onboarding new ac...

KPI Type : Productivity

KPI's & Data

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Percentage of Settlement Failures: Fixed Income

The number of Fixed Income trade settlements (the process by which securities are delivered in exchange for payment) that fail (may be due to a disagreement on price, amount of securities, e...

KPI Type : Quality

KPI's & Data

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Assets Under Management (AUM) Withdrawal Rate: Departing Clients

The difference between the total dollar amount of assets managed by the firm and the dollar amount of assets withdrawn by clients who are leaving the firm's business (i.e., departing clients...

KPI Type : Quality

KPI's & Data

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Percentage of FX Trades Requiring a Phone Confirmation

The number of Foreign Exchange (FX) trade transactions that require a phone confirmation (as opposed to electronic or paper confirmations) divided by the total number of Foreign Exchange (FX...

KPI Type : Quality

KPI's & Data

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Assets Under Management (AUM) Withdrawal Rate: Existing Clients

The difference between the dollar amount of assets managed by the firm and the dollar amount of assets withdrawn by clients who maintain one or more open accounts with the company (i.e., cli...

KPI Type : Quality

KPI's & Data

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Assets Under Management (AUM) Growth Rate: New Clients

The sum of the dollar amount of assets managed by the firm and the dollar amount of assets added by newly onboarded clients divided by the total amount of assets managed by the firm over the...

KPI Type : Quality

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KPI's & Data

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Assets Under Management (AUM) Growth Rate: Mergers & Acquisitions

The sum of the dollar amount of assets managed by the firm and the dollar amount of assets added by one or more mergers or acquisitions obtained by the firm divided by the total amount of as...

KPI Type : Quality

KPI's & Data

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Assets Under Management (AUM) per Client (Retail-only)

The total dollar amount of assets managed by the firm for retail clients (retail banking, private wealth management or retail investment management clients) divided by the number of retail c...

KPI Type : Revenue

KPI's & Data

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Assets Under Management (AUM) Growth Rate

The sum of the dollar amount of assets managed by the firm and the dollar amount of assets recently added (through new clients, a merger or acquisition, etc.) divided by the total amount of...

KPI Type : Quality

KPI's & Data

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Clients per Registered Investment Advisor

The total number of clients managed by the investment management organization divided by the number of registered investment advisors working for the company at the same point in time.

KPI Type : Productivity

KPI's & Data

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Revenue as a Percentage of Assets Under Management

The dollar amount of revenue generated by the company divided by the total dollar amount of assets managed by the company over the same period of time, as a percentage.

KPI Type : Revenue

KPI's & Data

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Fee-Based Assets Under Management (AUM) as a Percentage of Total AUM

The dollar amount of assets managed by the company that require a management fee (typically 1-5% of assets managed) divided by the total dollar amount of assets managed by the company (total...

KPI Type : Revenue

KPI's & Data

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Fee-Based Investment Management Revenue as a Percentage of Total Revenue

The dollar amount of revenue generated through fees paid by investment management customers (institutional or high-net worth individuals) divided by the total dollar amount of revenue genera...

KPI Type : Revenue

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