Independent Dealer Barometer

Industry Dashboard

Anonymised aggregate data from member firm submissions. Results update live as members submit.

Topics Compliance Cost Revenue & Margin Capital Assets & Registration Clearing & Carriers Technology Firm Profile
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Total AUA ($B)
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Registered Reps
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Firms Contributing
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Outlook: Better
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Compliance Spend per Account (median, annual)
Assets Under Administration, 6-Month Trend
Cost per Registered Rep, Trend (median, annualized)
Technology Spend (annual, all technology)
Total Compliance Spend (annual, all-in)
Assets: Client Name vs. Nominee
Total Revenue (Form 1, monthly)
Risk Adjusted Capital ÷ Margin Required
Carrying Dealer (introducing firms)
Business Outlook
AUA by Peer Group
Sentiment Trend, % Reporting "Better" Outlook