For resource guides specific to other industries, see
Industry Information Resources which covers over 400 individual industries.
Industry Overview, Issues, Trends, and Outlook
Financial Planners and Investment Advisors
http://www.firstresearch.com
Profiles cover key aspects of an industry's size, scope, and operations, recent news and
developments, industry trends, risks, and opportunities, and include a five-year industry
forecast. Profiles are updated quarterly and include:
The Financial Planning Association
Financial Planning Career Opportunities
http://www.fpanet.org/member/practice_center/services/opportunities.cfm
Introduction to the field of financial planning and answers some of the most commonly
questions asked, including what the financial planning process involves as well as the
education and training required to become a certified financial planning professional.
Available free online.
The Financial Planning Association
Practice Management Research and Surveys
http://www.fpanet.org/member/practice_center/practice_services/research.cfm
Practice management research and survey documents from a variety of sources. Accessible
by members only.
The Financial Planning Association
Financial Performance Study of Financial Advisory Practices
http://www.fpanet.org/products/index.cfm?do=prodlist&ID=13
The report includes information on: financial performance, profitability and productivity
measures; strategies and operational models; opportunities and challenges of various practice
structures, including staffing, revenue mix, fee or commission structure and pricing issues;
historical trends such as demographic characteristics and account/asset profiles, changes
in total revenues and expenses, and ownership transition including succession planning
and valuation.
Securities Industry and Financial Markets Association
Research / Statistics
http://www.sifma.org/research/research.html
http://www.sifma.org/research/statistics/statistics.html
Various reports on key trends, statistics, employment, and financial results in the securities
industry. Selected reports are available free online.
Moss Adams, LLP
Broker Dealers / Financial Advisors / Investment Managers
http://www.mossadams.com/industries/sin/publications.htm
Articles addressing general practice management, compensation, mergers & acquisitions,
and succession & valuation. Available free online.
Registered Rep
The Future of the Industry
http://registeredrep.com Select "Special
Reports"
Overview of stock brokerage industry issues and trends. Available free online.
Bureau of Labor Statistics, U.S. Department of Labor
Career Guide to Industries - Financial Activities
Securities, Commodities, and Other Investments
http://www.bls.gov/oco/cg/home.htm
Information provided includes a description of the nature of the work, working conditions,
employment, occupations, training and advancement, earnings and benefits, employment outlook,
and sources for additional information.
Industry Market Research Statistics
http://www.bizminer
Industry statistics include market volume, number of firms, annual sales and sales trends, sales per employee,
staffing and employment trends, business startup activity and failure rates, and other business information and
statistics on a national, state, and metro area level.
Industry Research Studies and Reports
For more research and analysis available from Moody's,
Standard & Poor's, Dun & Bradstreet, and other sources which cover a wide variety of industries, see
Industry Overview, Issues, Trends, and Outlook.
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Industry Financial Information and Financial Ratios
The
Financial Planning Association
Financial Performance Study of Financial Advisory Practices
http://www.fpanet.org/products/index.cfm?do=prodlist&ID=13
The report includes information on: financial performance, profitability and productivity
measures; strategies and operational models; opportunities and challenges of various practice
structures, including staffing, revenue mix, fee or commission structure and pricing issues;
historical trends such as demographic characteristics and account/asset profiles, changes
in total revenues and expenses, and ownership transition including succession planning
and valuation.
Securities Industry and Financial Markets Association
Operations and Compensation Surveys
http://www.sifma.org/research/surveys/Surveys.html
Various reports on operations, financial performance, and compensation in the securities
industry.
Industry Financial Analysis
http://www.bizminer.com
Five-year comparative financial analysis includes income statements, balance sheets, and key financial ratios.
Income statement includes expense detail in dollars and as a percentage of sales. Available in all firms,
small business, sole proprietor, and business start up versions.
Industry Financial Analysis Reports
For more analysis and ratios available from Fintel Metrics,
RMA Annual Statement Studies, and other sources covering a wide range of industries, see
Industry Financial Information and Financial Ratios.
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Compensation and Salary Surveys
The
Financial Planning Association
Compensation and Staffing Study
http://www.fpanet.org/products/index.cfm?do=prodlist&ID=13
Study includes sections on compensation and productivity, how firms grow, how firms retain
employees—including benefits and compensation philosophy, recruiting and rewarding employees
and data tables on compensation profiles by primary function.
Securities Industry and Financial Markets Association
Operations and Compensation Surveys
http://www.sifma.org/research/surveys/Surveys.html
Various reports on operations, financial performance, and compensation in the securities
industry.
Registered Rep
Broker Compensation
http://registeredrep.com Select "Special
Reports"
Annual survey of stock broker compensation trends. Available free online.
Registered Rep
Sales Assistants Survey
http://registeredrep.com Select "Special
Reports"
Annual survey of stock brokerage sales assistants compensation trends. Available free
online.
Bureau of Labor Statistics, U.S. Department of Labor
Career Guide to Industries - Financial Activities
Securities, Commodities, and Other Investments
http://www.bls.gov/oco/cg/home.htm
Information provided includes a description of the nature of the work, working conditions,
employment, occupations, training and advancement, earnings and benefits, employment outlook,
and sources for additional information.
Compensation and Salary Survey Data
For compensation and salary survey data available from
Economic Research Institute, Salary.com, and other sources covering a wide variety of industries, see
Compensation and Salary Surveys.
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Business Valuation Resources
FP
Transitions
Business Transitions Report / RIA Transitions Report
http://www.fptransitions.com/?fuseaction=content.display&contentid=116
Annual report on buying and selling financial service practices includes valuation guide
and comparable sales data. Available free online.
Moss Adams, LLP
How to Value, Buy, or Sell a Financial Advisory Practice
Mark C. Tibergien, Owen Dahl, Bloomberg Press, 2006
http://www.amazon.com/exec/obidos/ASIN/1576601749/wwwvaluationreso/
Provides financial advisory firms a manual with guidelines and techniques on the key issues
related to valuing practices for sale, mergers, acquisitions, partnership, and transition
planning.
Moss Adams, LLP
Broker Dealers / Financial Advisors / Investment Managers
http://www.mossadams.com/industries/sin/publications.htm
Articles addressing general practice management, compensation, mergers & acquisitions,
and succession & valuation. Available free online.
M&A Transaction Data and Valuation Multiples
For M&A transaction data and valuation multiples available
from BIZCOMPS®, Pratt's Stats®, Done Deals, and other sources for a wide range of industries, see
Business Valuation Multiples and Merger
& Acquisition Transaction Data.
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