Ready-to-use Scorecard for Brokerage Firm with KPIs in Excel

Brokerage Firm KPI KPI - Balanced Scorecard metrics template example Brokerage firms are the intermediaries, which are involved in carrying out huge number of transactions between sellers and buyers of securities, on per day basis. Moreover, with the increase in client base and additions to the list of areas these firms are getting into, there arises a requirement to keep an eye on all of the aspects involved.

Financial position can be improved and maintained by using KPIs like 'revenue from private capital management group', 'commission charged per transaction', 'commission earned per share' and 'account maintenance charges per account on yearly basis'.

Legal Compliance and Information Management Perspective takes into account KPIs like SEC compliance index, number of 'fines' paid, number of security measures adopted and lost message recovery time.

Customer Relationship and Satisfaction can be had with KPIs like accuracy level of investment advices, % increase in client base, % increase in volume of shares traded and client satisfaction index.

Lastly, Internal Operations Perspective provides an overview of the operations of the brokerage firm with KPIs such as % improvement in order execution speed, price deterioration index and order internalization extent and number of investment research projects undertaken.

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Read Why do business professionals choose ready-to-use KPIs? to find out the answers to these questions:

  • Can a business professional research KPIs on his own?
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How to align these KPIs with a strategy of our organization?

Ideally, you need to have a strategy (in a form of a strategy map) before you start thinking about the ways to measure its execution (KPIs). Don't have a strategy map yet? Use free Strategy Map Wizard to create a strategy map for your current business challenges. The wizard will:

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Often a firm carries out the task of arranging or negotiating contracts of securities on the behalf of others in exchange of a fee or commission, this firm is called the brokerage firm.

Such an intermediary firm does not have any personal interest or concern lying in the act but does the arrangement for another person who in turn makes the pre- decided payment to the firm.

The job has to be carried out in a highly regulated manner within the confines of guidelines pre-set by the governing authority. Therefore, one has to be in the know of all the rules and regulations that have been framed by the concerned agency. Not abiding by these can create troubles for the negotiating firm.

All the documents and paperwork has to be conducted with utmost care and under complete supervision of an experienced person.

Pulling all the aspects together can be done by employing a brokerage house scorecard for the purpose. Metrics are framed to sum up the areas that 'count' that in turn are followed for long to keep track of how things have been going. Ending it all, brokerage firms can successfully monitor their operations by adopting the metrics approach.

More useful information for Financial Estimation

Brokerage Firm Estimation Balanced Scoreboard Screenshots

The Balanced Scorecard (BSC) dashboard indicates performance within each perspective and the total performance of .

This is the actual scorecard with Brokerage Firm Indicators and performance indicators.

Metrics for Financial Estimation

This is the actual scorecard with Brokerage Firm Indicators and performance indicators. The performance indicators include: financial perspective, commission charged per transaction, commission per share traded, account maintenance charges per account, revenues, customer relationship and satisfaction perspective, % increase in client base, % increase in volume of share traded, client satisfaction index, accuracy level of investment advices, legal compliance and information management perspective, sec compliance index, number of fines paid, number of security measures adopted, lost message recovery time, internal operations perspective, % improvement in order execution speed, price deterioration index, order internalization extent, number of investment research projects.

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