DUFF & PHELPS INVESTMENT MANAGEMENT CO.

PEER BENCHMARKS

Understanding SEC Peer Groups

A firm's peer group is calculated based on public self-reported AUM benchmarked against a population of RIAs who submitted a Form ADV to the Securities and Exchange Commission.

SEC Peer Benchmark Details

Firm Self-Reported AUM
$12.0B
Peer Group AUM Range
$11.4B - $12.6B
Sample Size
58
Firm Age (Years)
PEER GROUP AVERAGE
17
Structure
PEER GROUP AVERAGE
Limited Liability Company (30 firms)
Discretionary Accounts
PEER GROUP AVERAGE
7,123
Discretionary AUM
PEER GROUP AVERAGE
$10.0B
Non-Discretionary Accounts
PEER GROUP AVERAGE
1,270
Non-Discretionary AUM
PEER GROUP AVERAGE
$2.0B
Total Clients
PEER GROUP AVERAGE
7,150
Total AUM
PEER GROUP AVERAGE
$12.0B
Offices
PEER GROUP AVERAGE
28
Total Employees
PEER GROUP AVERAGE
189
Investment Advisors
PEER GROUP AVERAGE
105
Registered Representatives
PEER GROUP AVERAGE
107
Licensed Insurance Agents
PEER GROUP AVERAGE
66
Foreign Clients
PEER GROUP AVERAGE
27.7%
Clients Without Regulatory Assets
PEER GROUP AVERAGE
838
Compensation
PEER GROUP AVERAGE
FIRM VALUE
Percentage of AUM Yes 58 Firms Yes
Hourly Charges No 47 Firms No
Subscription Fees No 58 Firms No
Fixed Fees No 36 Firms No
Commissions No 55 Firms No
Performance Based Fees Yes 42 Firms Yes
Other No 48 Firms No

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