1. Top growth enablers
Top Growth Enablers
Percent Of Firms Reporting Factor As An Enabler
Maintaining quality
80%
client service with growth
Closing new business 77%
Delivering
70%
investment returns
Implementing new
69%
technology
Adapting operations
63%
for efficiency
Providing access to
58%
investment opportunities
Source: 2011 RIA Benchmarking Study from Charles Schwab, fielded February and March 2011
Schwab March, 2011.
Study contains self-reported data from 820 RIA firms. (0711-4224)
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2. Top barriers to growth
Top Barriers To Growth
Percent Of Firms Reporting Factor As A Barrier
Time for business
Ti f b i 52%
development
Marketing strategy 39%
Identifying new prospects 34%
Investment in marketing 32%
Finding and hiring
new talent 28%
Developing a long term
long-term
25%
strategic plan
Source: 2011 RIA Benchmarking Study from Charles Schwab, fielded February and March 2011
Schwab March, 2011.
Study contains self-reported data from 820 RIA firms. (0711-4224)
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3. Resources used in developing a strategic plan
Best-Managed Firms All Other Firms
Percent Of Firms Percent Of Firms
Staff expertise
p 96% 93%
Schwab’s RIA 69%
Benchmarking Study
81%
Other benchmarking 59% 43%
Custodian consultant 56% 33%
Third-party data 52% 27%
Other resources 30% 29%
Small business tools & 20%
resources
30%
Third party
Third-party consultant 26% 41%
RIA specific tools &
resources 19% 17%
Source: 2011 RIA Benchmarking Study from Charles Schwab, fielded February and March 2011
Schwab March, 2011.
Study contains self-reported data from 820 RIA firms. Best-Managed Firms are the top 20% of firms in productivity,
profitability, and revenue growth. (0711-4224)
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4. Plans for firm succession
Plans for Firm Succession
Percent Of Firms Reporting Factor As A Barrier
Internal succession 80%
Merging with or
acquiring another firm 28%
Selling the firm 25%
Recruiting external
21%
successors
Other 10%
Source: 2011 RIA Benchmarking Study from Charles Schwab, fielded February and March 2011
Schwab March, 2011.
Study contains self-reported data from 820 RIA firms. (0711-4224)
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