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: 4,155

No. franchises: 2,261

AUM: $93,145,839,675

Year founded: 1981

Year end: Dec. 31

No. of retail offices: 2,290

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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 ContactMeaghan Alvarez
(800) 777-6080
E-mail
Marketing ContactJeff Vivacqua
(800) 777-6080
E-mail
Technology Operations ContactNick Graham
(800) 777-6080
E-mail

Recruitment & Staffing

2018 2017 2016
No. of reps4,1553,9563,738
No. of producing reps3,2963,1753,005
No. of reps producing $100K-$499K /year1,4621,3691,290

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.

2018 2017 2016
Total revenues$906,665,662$811,395,992$711,466,662
Commission revenues$283,416,866$259,820,439$241,060,535
Fee revenues$509,612,090$459,796,516$388,319,133
Total revenues: Other$113,636,706$91,779,037$82,086,994
2018 2017 2016
Total account assets$93,145,839,675$94,244,000,000$78,508,000,000
Fee-based assets$50,621,378,241$50,763,000,000$41,530,000,000
Total account assets: Other$42,524,461,434$43,480,000,000$36,977,000,000
Average assets per rep$22,417,771$23,823,054$21,002,675
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

Top clearing and custody firms for financial advisers

August 17, 2019 - CLEARING FIRMS Listed by reported number of broker-dealer clients Firm Phone/website # of clients % change vs. 2018 Contact Phone/email Pershing One Pershing Plaza, Jersey City, NJ 07339 (800) 445-4467 pershing.com 625 -4.40% Michael Row Chief relationship...

Challenge or opportunity?

July 20, 2019 - Brock Johnson, president, global retirement and workplace solutions, 
Morningstar Investment Management “We have so much more data today. Broker-dealers and advisers in the past might have been trying to provide scalable advice in a way, saying, here's...

LPL expanding platform to include employee brokers

May 22, 2019 - LPL Financial, which has grown into one of the largest brokerage firms in the country by hiring advisers who act as independent contractors, is creating a new model which would employ brokers working directly for the firm. In a presentation to investors...

Building dialogue with lawmakers to advance women's careers

May 3, 2019 - As our members know, the Financial Services Institute is firmly committed to championing the cause of helping more female professionals not only enter, but achieve lasting success within the financial advice industry. The formation of the House Financial...

Elderly investors win $3.2 million Finra arbitration award against AXA Advisors

May 1, 2019 - An elderly couple in upstate New York won a $3.2 million Finra arbitration award against AXA Advisors in a case involving unsuitable variable annuity and life insurance sales. James and Sandra Fitzpatrick alleged that their then-AXA representative, Francesco...

2019 top independent broker-dealers ranked by revenue

April 24, 2019 - Firm 2018 revenue ($M) % change vs. 2017 2018 commission revenue ($M) % change vs. 2017 2018 fee revenue ($M) % change vs. 2017 2018 other revenue ($M) % change vs. 2017 1 LPL Financial LLC 5188.4 21.2 1919.7 14.9 1793.5 27.3 1475.2 22.8 2 Ameriprise...

    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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