Broker Dealer KPIs, Metrics & Benchmarks

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KPI's & Data

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Trade Amount per Investment Advisor

The total dollar amount of trades executed over a certain period of time divided by the number of investment advisors working for the company.

KPI Type : Productivity

KPI's & Data

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Principal Traded per Investment Advisor

The total dollar amount of principal traded over a certain period of time divided by the number of advisors working for the company.

KPI Type : Productivity

KPI's & Data

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Revenue as a Percentage of Client Assets and Liabilities (CAL)

The dollar amount of revenue generated divided by the total dollar amount of client assets and liabilities (CAL) managed by the company over the same period of time, as a percentage.

KPI Type : Revenue

KPI's & Data

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Operating Margin as a Percentage of Assets Under Management (AUM)

The company's (or division's) total operating income and total net sales generated divided by the total dollar amount of assets managed by the company over the same period of time, as a perc...

KPI Type : Revenue

KPI's & Data

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Total Expense as a Percentage of Assets Under Management (AUM)

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

KPI Type : Cost

KPI's & Data

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Trade Operations & Support Staffing Ratio

The number of company-wide employees divided by the total number of Trade Operations & Support employees working for the company at the same point in time, expressed as a ratio (e.g., total...

KPI Type : Organizational

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KPI's & Data

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Trade Reporting Errors per Employee

The number of errors found within a trade blotter (a record of trades made) over a certain period of time divided by the number of employees working within the Sales & Trading (front office)...

KPI Type : Quality

KPI's & Data

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Unit Cost: Trade Processing (Front Office)

The total cost of processing trades within the front office (typically performed within the Sales & Trading function) divided by the total number of trades processed over a certain period of...

KPI Type : Cost

KPI's & Data

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Unit Cost: Trade Processing (Front and Back Office)

The total cost of processing trades within the front and back offices (typically performed in the Sales & Trading and Trade Operations & Support functions) divided by the total number of tra...

KPI Type : Cost

KPI's & Data

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Labor Expense per Trade Reporting Error (Front Office)

The total dollar amount spent on front office (typically found within the Sales & Trading function) employee salaries divided by the number of errors found within the trade blotter (a recor...

KPI Type : Cost

KPI's & Data

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Labor Expense per Trade Reporting Error (Back Office)

The total dollar amount spent on back office (typically found within the Trade Operations & Support function) employee salaries divided by the number of errors found within a trade blotter...

KPI Type : Cost

KPI's & Data

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Stock Traders as a Percentage of Total Employees

The total number of stock traders, or brokers, divided by the total number of employees working for the company at the same point in time, as a percentage.

KPI Type : Organizational

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KPI's & Data

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Trade Reporting Error Rate

The number of errors (i.e., incorrect amounts, customer information, etc.) found within a trade blotter (a record of trades made) divided by the total number of trades recorded within the tr...

KPI Type : Quality

KPI's & Data

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Earnings Before Owners Compensation (EBOC) as a Percentage of Total Revenue

The amount by which revenue generated from sales exceeds the operational costs of a company (before the business owner is paid for services rendered) divided by the total revenue generated b...

KPI Type : Revenue

KPI's & Data

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Clients per Registered Financial Representative

The total number of clients managed by the investment management organization divided by the number of registered financial representatives (RR), captive or independent, working for the comp...

KPI Type : Productivity

KPI's & Data

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Percentage of Derivative Trades Confirmed Without Documentation

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 Outstanding Trade Settlements (T+15): Derivatives

The number of derivative-related trade settlements (the process by which securities are delivered in exchange for payment) that are unpaid after 15 days divided by the total number of outsta...

KPI Type : Quality

KPI's & Data

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Percentage of New Client Accounts Not-In-Good-Order (NIGO): Derivatives

The number of new clients with accounts (focused on derivative assets) that are considered "not-in-good-order" (NIGO) due to missing documentation, fields within the account application that...

KPI Type : Quality

KPI's & Data

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Percentage of New Client Accounts Not-In-Good-Order (NIGO): Fixed Income

The number of new clients with accounts (focused on Fixed Income assets) that are considered "not-in-good-order" (NIGO) due to missing documentation, fields within the account application th...

KPI Type : Quality

KPI's & Data

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Percentage of New Client Accounts Not-In-Good-Order (NIGO): FX Trading

The number of new clients with accounts (focused on foreign exchange assets) that are considered "not-in-good-order" (NIGO) due to missing documentation, fields within the account applicatio...

KPI Type : Quality

KPI's & Data

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Late Confirmation Rate: Equities

The number of equity trade transactions confirmed after the contractual confirmation date has passed divided by the total number of equity trade confirmations completed over the same period...

KPI Type : Quality

KPI's & Data

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Total Volume: Interest Rate Derivative Trades

The number of trades related to interest rate derivatives made over a certain period of time.

KPI Type : Volume

KPI's & Data

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Total Volume: Credit Derivative Trades

The number of trades related to credit derivatives made over a certain period of time.

KPI Type : Volume

KPI's & Data

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Total Volume: Equity Derivative Trades

The number of trades related to equity made over a certain period of time.

KPI Type : Volume

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KPI's & Data

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Total Volume: Currency Option Trades

The number of trades related to currency options made over a certain period of time.

KPI Type : Volume

KPI's & Data

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Total Volume: Commodity Derivative Trades

The number of trades related to commodity derivatives made over a certain period of time.

KPI Type : Volume

KPI's & Data

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Total Volume: OTC Derivative Trades

The number of trades related to over-the-counter (OTC) derivatives made over a certain period of time.

KPI Type : Volume

KPI's & Data

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Electronic Confirmation Rate: Interest Rate Derivatives

The number of interest rate derivative-related trades made by the firm that are electronically confirmed divided by the total number of interest rate derivative-related trades executed by th...

KPI Type : Quality

KPI's & Data

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Electronic Confirmation Rate: Credit Derivatives

The number of credit derivative-related trades made by the firm that are electronically confirmed divided by the total number of credit derivative-related trades executed by the firm over th...

KPI Type : Quality

KPI's & Data

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Electronic Confirmation Rate: Equity Derivatives

The number of equity derivative-related trades made by the firm that are electronically confirmed divided by the total number of equity derivative-related trades executed by the firm over th...

KPI Type : Quality

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