A transfer agent is assigned by a corporation with publicly traded securities to track individuals that own their stocks and bonds. Transfer agents have several responsibilities, including executing shareholder transactions and maintaining shareholder records. Audit Analytics tracked 10,107 transfer agent … Continue reading
Author Archives: Casey Furtado
Transfer Agent Market Share – 2021
A transfer agent is assigned by a corporation with publicly traded securities to track individuals that own their stocks and bonds. Transfer agents have several responsibilities, including managing/maintaining records for investors and making sure these investors receive appropriate payments. Here, … Continue reading
The Audit Firms of Broker-Dealers
In 2018, 400 audit firms competed for market share among 3,661 total broker-dealers. The Big Four audited 16.7% of this population. PwC led the way with 172 broker-dealer clients, followed by EY with 168 clients, KPMG with 145 clients, and Deloitte with … Continue reading
Auditor Market Share among Broker-Dealers
The Audit Analytics Broker-Dealer database contains information from over 84,000 focus reports filed by approximately 8,800 broker-dealers since January 1, 2001. Key data points collected include auditor, revenue, total assets, and contacts. In this post, we take a look at … Continue reading
Broker-Dealer Market Share by Assets
Our last post, Who Audits Broker-Dealers, discussed the auditor market share of broker-dealers simply by the number of clients audited. The total assets of a company provides a general idea of how large a company is, and we use this … Continue reading
Who Audits Broker-Dealers
Launched back in 2009, the Audit Analytics Broker-Dealer database now has nearly 16 years worth of audited annual and quarterly reports submitted to the SEC by broker- dealers. Key data points include auditor of the financial statements, assets, revenue, and contacts. For … Continue reading