Broker Dealer KPIs & Benchmarking Data

Broker Dealer Metric Definitions, Benchmarking Data & Reports

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KPI NAME
KPI DEFINITION
DATA
(NUM. OF DATAPOINTS)
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Showing results 1 through 31 of 395 records
Revenue per Registered Financial Representative The total revenue earned by the company over a certain period of time divided by the total number of registered financial representatives working for the company. Registered financial representatives are licensed to sell securities (stocks, bonds, options, mutual funds, etc.) on behalf of the firm. See data (140)
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. See data (136)
Assets Under Management (AUM) The total dollar value of assets managed by the firm (i.e., assets under management) at a certain point in time. See data (132)
Registered Financial Representatives per Trade Operations & Support Employee The number of registered financial representatives (captured or independent) divided by the total number of Trade Operations & Support employee working for the company over the same period of time. See data (128)
Assets Under Management (AUM) per Registered Financial Representative The total dollar amount of assets managed (AUM) by the firm divided by the total number of registered financial representatives working for the brokerage firm at the same point in time. See data (128)
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 the firm over the same period of time, as a percentage. See data (124)
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) trades confirmed over the same period of time, as a percentage. See data (74)
Return on Equity (ROE) The total dollar amount of net income generated by the company divided by the total shareholder equity at the same point in time, as a percentage. See data (45)
Return on Assets (ROA) The total dollar amount of net income generated by the bank or financial institution divided by the total assets measured at the same point in time, as a percentage. See data (45)
Investment Management Fee Revenue as a Percentage of Assets Under Management The dollar amount of firm-wide revenue (fees) collected for investment management and advisory services (involves portfolio management, financial counseling, brokerage and other transactional services) services divided by the total dollar value of assets managed by the firm, as a percentage. Includes both retail and institutional accounts. See data (43)
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. See data (27)
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 accounts. See data (27)
Assets Under Management (AUM) per Client Services Employee The total dollar amount of assets managed by the firm divided by the number of Client Services employees working for the firm at the same point in time. Client Serivces employees provide specialized customer services for retail and institutional investors. See data (26)
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 shares of stock, not including penny stocks, or $200,000 worth of bonds are considered a block trade. See data (26)
Percentage of Inaccurate Equity Trade Records The number of equity-related trade transactions that have been recorded into the company's computer system that containing errors or inaccuracies divided by the number of equity-related trade records in the system at the same point in time, as a percentage. See data (26)
Trade Processing Error Rate: Equities 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-related trades processed over the same period of time, as a percentage. See data (26)
Trade Break Rate: Equities The number of equity-related trade transactions that have broken (failed) due to a deviation in price from the current market price divided by the total number of equity-related trades processed over the same period of time, as a percentage. See data (25)
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. See data (25)
Equity Accounts per Stock Trader The total number of equity accounts managed by the brokerage firm over a certain period of time divided by the number of stock brokers, or traders, working for the firm. See data (25)
New Equity Accounts per Investment Account Onboarding Employee The total number of new equity accounts onboarded by the firm over a certain period of time divided by the number of Client Services employees responsible for onboarding new accounts. See data (24)
Unit Cost: FX Trade Processing (Back Office) The total cost of processing Foreign Exchange (FX) trades within the back office divided by the total number of FX trades processed over a certain period of time. Back office costs related to FX trades include labor, overhead and technology expense related to trade execution, trade confirmation, and trade settlement. See data (16)
Unit Cost: Trade Processing (Back Office) he total cost of processing trades within the back office divided by the total number of trades processed over a certain period of time. Includes any back office costs (labor, overhead and technology expenses) related to trade reporting, trade execution, trade confirmation and trade settlement. See data (14)
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 electronically divided by the total number of derivative-related trades confirmed over the same period of time, as a percentage. See data (12)
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 on paper and mailed to investors divided by the total number of derivative-related trades confirmed over the same period of time, as a percentage. See data (12)
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, etc.) divided by the total number Fixed Income trade settlements initiated over the same period of time, as a percentage. See data (12)
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 are exchanged and/or signed and exchanged. See data (11)
Unit Cost: Equity Trade Processing (Back Office) The total cost of processing equity trades within the back office divided by the total number of equity trades processed over a certain period of time. Back office costs related to equity trading include labor, overhead and technology expense related to trade execution, trade confirmation, and trade settlement. See data (10)
Expense Ratio: Investment Fund Management The dollar amount of management fee revenue earned by an investment fund managed by a company divided by the average annual dollar amount of assets the fund is managing at the same point in time, as a percentage. See data (9)
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 exchange of cash, checks and security documents, divided by the total number of derivative-related trades settled over the same period of time, as a percentage. See data (8)
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 the use of wire transfers, an exchange of credit card information, etc., divided by the total number of derivative-related trades settled over the same period of time, as a percentage. See data (8)

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