Cambridge Investment Research Inc.

Cambridge Investment Research Inc.

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1776 Pleasant Plain Road

Fairfield, IA 52556

(800) 777-6080

joincambridge.com

Clearing firm: National Financial Services LLC, Pershing LLC

No. advisers: 3,956

No. franchises: 2,067

AUM: $94,244,000,000

Year founded: 1981

Year end: Dec. 31

No. of retail offices: 2,149

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Additional data available to subscribers:
  • No. of reps, male
  • No. of reps, female
  • No. of producing reps, male
  • No. of producing reps, female
  • No. of reps producing $500K+ /year
  • No. of CFPs
  • No. of full-time employees
  • No. of fee-based advisers served
  • Average payout per rep, per year
  • Avg. annual production of top 20% reps
  • Total payout, per year
  • Cost of E&O insurance per rep, per year
  • Affiliation fees charged per rep, per year
  • Affiliation fee coverage
  • Securities revenues
  • Securities revenues: Stocks
  • Securities revenues: Bonds
  • Securities revenues: ETFs
  • Securities revenues: Other
  • Mutual fund revenues
  • Annuities revenues
  • Annuities revenues: Fixed
  • Annuities revenues: Variable
  • Annuities revenues: Other
  • Insurance revenue
  • Insurance revenues: Life
  • Insurance revenues: Disabilities
  • Insurance revenues: LTC
  • Insurance revenues: Other
  • Alternative revenues
  • Alternative revenues: Hedge funds
  • Alternative revenues: Managed futures
  • Alternative revenues: Private placements
  • Alternative revenues: REITs
  • Alternative revenues: Other
  • Other commission revenues
  • Fee revenues: Rep-managed accounts
  • Fee revenues: Firm-managed accounts
  • Fee revenues: Outside-managed accounts
  • Fee revenues: Other
  • Fee-based assets: Clearing firm
  • Fee-based assets: Advisory firm platforms
  • Fee-based assets: Third-party money managers
  • Fee-based assets: Other
  • Is the firm, or an affiliate of the firm, registered as an investment adviser with the SEC?
  • Allows an adviser to have his/her own RIA
  • RIA platform AUM
  • Offers robo-advisory platform?
  • If not, when plans to offer a robo-platform
  • Robo-advice services offered
  • How robo-platform developed
  • Charge for robo-advisory services?

For More Information

CEOAmy Webber
Recruiting ContactKyle Selberg
(800) 777-6080
E-mail
Compliance ContactAndrea Shafer
(800) 777-6080
E-mail
Marketing ContactJeff Vivacqua
(800) 777-6080
E-mail
Technology Operations ContactNick Graham
(800) 777-6080
E-mail

Recruitment & Staffing

2017 2016 2015
No. of reps3,9563,7383,495
No. of producing reps3,1753,0052,821
No. of reps producing $100K-$499K /year1,3691,2901,186

Payout grid is available to Data Center subscribers only.

Subscribe or log in to the B-D Data Center for access to all available data.

2017 2016 2015
Total revenues$811,395,992$711,466,662$698,143,752
Commission revenues$259,820,439$241,060,535$250,289,232
Fee revenues$459,796,516$388,319,133$366,695,072
Total revenues: Other$91,779,037$82,086,994$81,159,448
2017 2016 2015
Total account assets$94,244,000,000$78,508,000,000$69,560,000,000
Fee-based assets$50,763,000,000$41,530,000,000$37,875,000,000
Total account assets: Other$43,480,000,000$36,977,000,000$31,685,000,000
Average assets per rep$23,823,054$21,002,675$19,902,718
Social Media & Mobile
Allows advisers to use social mediaY
Social media sites allowedFacebook
LinkedIn
Twitter
Dedicated mobile application for advisers?Y
Primary purpose of mobile application

LPL reels in $520 million team from rival Cambridge

October 18, 2018 - LPL Financial said on Thursday that a large, 14-person team in Cedar Rapids, Iowa, with $520 million in client assets recently left Cambridge Investment Research Inc. to join LPL. Premier Investments of Iowa is led by Jeff Johnston, president, and Brock...

Wells Fargo team managing more than $239 million joins Janney

October 16, 2018 - Janney has landed a four-member team from Wells Fargo Advisors. The team, which has more than 50 years in combined industry experience, managed over $239 million in client assets. Called KSF Wealth of Janney Montgomery Scott, the team of advisers joins...

Cambridge Investment Research bags mid-sized broker-dealer

August 20, 2018 - The consolidation of the brokerage industry continues, and in the latest deal Cambridge Investment Research Inc., one of the largest independent contractor firms, said on Monday it had acquired Broker Dealer Financial Services Corp., a mid-sized firm...

What's in a name? For TCA by ETrade, everything

August 18, 2018 - Has Trust Company of America hitched its wagon to a star or turned its back on loyal clients? It depends on whom you ask. Either way, the $275 million acquisition in April of TCA by discount broker ETrade has the custodian world buzzing. In one corner...

Are 401(k) adviser aggregators the new 'wirehouses' for elite retirement plan advisers?

August 16, 2018 - The death of traditional wirehouses that's predicted periodically by industry experts is greatly exaggerated. Wirehouse advisers — those housed in the wealth management divisions of Merrill Lynch, Morgan Stanley, UBS and Wells Fargo — stay because...

Jim Nagengast, Securities America CEO, wins Finra board seat

June 28, 2018 - Jim Nagengast, chief executive of Securities America Financial Corp., won a seat on the Finra board in a special election Thursday. Mr. Nagengast will fill one of the three seats on the Financial Industry Regulatory Authority Inc. board that are reserved...

Edward Jones, Commonwealth Financial top J.D. Power list of top brokerage employers

June 28, 2018 - When it comes to workplace satisfaction among broker-dealers, some firms stand out from the pack. According to the latest research from J.D. Power, Commonwealth Financial, Raymond James Financial and Cambridge Investment Research fill the top three slots...

Head of Securities America gunning for Finra board seat

June 13, 2018 - James Nagengast, CEO of Securities America Inc., is challening the Financial Industry Regulatory Authority Inc.'s hand-picked nominee for a seat on the regulatory body's board of governors. Both Mr. Nagengast and Finra's choice for the seat, Shelley O'Connor,...

    Notes
  • N/A = Not available
  • N/D = Not disclosed
  • — = Information not available or not disclosed

All 2011-2016 recruitment and staffing data is as of Dec. 31 in the calendar year displayed. Prior year recruitment and staffing data is as of Sept. 30. All financial figures are for firms' year end, unless noted.

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