HAUSSMANN FINANCIAL INC.

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
$778.5M
Peer Group AUM Range
$740.2M - $817.3M
Sample Size
309
Firm Age (Years)
PEER GROUP AVERAGE
15
Structure
PEER GROUP AVERAGE
Limited Liability Company (194 firms)
Discretionary Accounts
PEER GROUP AVERAGE
855
Discretionary AUM
PEER GROUP AVERAGE
$701.1M
Non-Discretionary Accounts
PEER GROUP AVERAGE
80
Non-Discretionary AUM
PEER GROUP AVERAGE
$76.9M
Total Clients
PEER GROUP AVERAGE
404
Total AUM
PEER GROUP AVERAGE
$778.0M
Offices
PEER GROUP AVERAGE
3
Total Employees
PEER GROUP AVERAGE
24
Investment Advisors
PEER GROUP AVERAGE
14
Registered Representatives
PEER GROUP AVERAGE
5
Licensed Insurance Agents
PEER GROUP AVERAGE
2
Foreign Clients
PEER GROUP AVERAGE
12.0%
Clients Without Regulatory Assets
PEER GROUP AVERAGE
7
Compensation
PEER GROUP AVERAGE
FIRM VALUE
Percentage of AUM Yes 297 Firms Yes
Hourly Charges No 223 Firms Yes
Subscription Fees No 308 Firms No
Fixed Fees No 158 Firms Yes
Commissions No 306 Firms No
Performance Based Fees No 173 Firms No
Other No 265 Firms No

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