Growth fuels RIA hiring plans

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1 2015 RIA Benchmarking Study from Charles Schwab Compensation Report Growth fuels RIA hiring plans Registered Investment Advisors (RIAs) reported record growth and profitability in This, coupled with continued strong client demand for independent advice, has firms focused on growing staff to increase capacity and enhance capabilities. One out of four firms identified hiring as a top three strategic initiative for A firm s and benefits strategy can be critical in attracting, cultivating, and retaining the caliber of talent that creates a top-performing firm. The 2015 RIA Benchmarking Study gathered data on 7,709 employees across 24 roles typically found at RIA firms. Find out how your firm s approach compares. 76 % 12 months of firms plan on hiring in the next plan to add either 76 % relationship managers or investment professionals 68 % plan to hire support or administrative staff

2 National snapshot Senior Client Account Manager/ Relationship Manager (952 responses) Certifications * Percentage of responses 58 % CFP 14 % CFA 15 % CPA 20 or more years of experience (40% of responses) years of experience (42% of responses) Less than 10 years of experience (18% of responses) $266K $192K $124K $180K $139K $97K $68K additional $39K additional $24K additional Client Services Associate (740 responses) Certifications * Percentage of responses 7 % CFP 0 % CFA 3 % CPA 20 or more years of experience (13% of responses) $66K $56K years of experience (25% of responses) $67K $60K Less than 10 years of experience (63% of responses) $52K $48K $7K additional $7K additional $5K additional *Certified Financial Planner (CFP), Chartered Financial Analyst (CFA), Certified Public Accountant (CPA)

3 National snapshot (continued) Client Account Manager/ Relationship Manager (655 responses) Certifications * Percentage of responses 53 % CFP 7 % CFA 11 % CPA 20 or more years of experience (13% of responses) $28K $150K $110K additional years of experience (34% of responses) $25K $115K $92K additional Less than 10 years of experience (53% of responses) $13K $84K $72K additional Investment/ Portfolio Manager (551 responses) Certifications * Percentage of responses 17 % CFP 39 % CFA 4 % CPA 20 or more years of experience (38% of responses) years of experience (35% of responses) Less than 10 years of experience (27% of responses) $252K $160K $126K $170K $86K $73K $67K additional $25K additional $12K additional *Certified Financial Planner (CFP), Chartered Financial Analyst (CFA), Certified Public Accountant (CPA)

4 The evolving makeup of RIA firms 46% female respondents 13% 60 years or older 16% years old Percentage by gender 23% years old Percentage by age 23% years old 54% male respondents 25% years old 80 % 68 % have at least one have at least one CFP * on staff CFA * on staff 53 % have at least one CPA * on staff *Certified Financial Planner (CFP), Chartered Financial Analyst (CFA), Certified Public Accountant (CPA)

5 As firms scale, they become more likely to hire specialized business and operations staff 34 % 35 % Percentage of firms employing role in % Chief Operating Officer Chief Investment Officer Operations Director 10 % of firms are looking to hire dedicated management staff in 2015 $500MM $1B AUM 62 % 71 % 45 % Over $1B AUM Chief Operating Officer Chief Investment Officer Operations Director

6 Compensation and benefits: Critical components in driving employee satisfaction and staying competitive Respondents who receive incentive 73 % Firms offering some form of benefits to employees 88 % Of those respondents who received incentive : Of those firms offering benefits: 65 % 80 % 48 % provide medical insurance provide dental insurance 8 % 34 % 68 % receive incentive as discretionary or firm/team goals receive incentive tied to revenue provide vision insurance provide 401(k) plans

7 With scale comes increasingly diversified ownership Average number of owners with: 50% or more equity ownership 25% 49% equity ownership 5% 24% equity ownership Less than 5% equity ownership 5.7 Average total number of working owners Under $250MM AUM $250MM $500MM AUM $500MM $1B AUM Over $1B AUM

8 Develop your strategy Given that hiring and retaining professional talent is the largest expense for most firms, the importance of having a well-planned and well-executed strategy cannot be overemphasized. Get started today on a strategy to attract and retain a team that can help your firm grow and thrive. For informational purposes only. All statistics in this infographic are based on Schwab s 2015 RIA Benchmarking Study unless otherwise noted, and include all firms with at least $250 million in AUM, representing the vast majority of total assets managed by this year s participants. Schwab designed this study to capture insights in the RIA industry, based on survey responses from individual firms. The 2015 study provides information on topics such as asset and revenue growth, sources of new clients, products and pricing, staffing,, marketing, technology, and financial performance. A total of 1,007 advisory firms representing nearly three-quarters of a trillion dollars in AUM that custody their assets with Schwab participated this year, making this the leading study in the RIA industry. The RIA Benchmarking Study comprises self-reported data from advisory firms that custody their assets with Schwab. Schwab did not independently verify or validate the self-reported information. Participant firms represent various sizes and business models. They are categorized into 12 peer groups 7 wealth manager groups and 5 money manager groups by AUM size Charles Schwab & Co., Inc. ( Schwab ). All rights reserved. Member SIPC. Schwab Advisor Services serves independent investment advisors and includes the custody, trading, and support of Schwab. AHA ( ) MKT (07/15)

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