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Using the Broker Dealers database
Who is this article for?
Users who want to learn to use the Broker Dealers database.
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The Audit Analytics Broker Dealers database provides comprehensive data on all SEC filing broker/dealers, enabling you to analyse auditor relationships, benchmark assets, and identify parent company structures.
1. Understanding the database structure
The Broker Dealers database covers all SEC filing broker/dealers, with each row representing data collected from a corresponding filing. Key data points include auditor information, affirmation details, total assets, and contact information.
Common uses for this database include:
- Identifying which firms audit broker dealers
- Benchmarking broker dealers by total asset value
- Identifying broker dealer parent relationships
The database is available online, through WRDS, and as data feeds (Feed27 – Broker Dealer FOCUS Reports and Feed29 – Current Engagement Broker Dealer FOCUS Reports) with the relevant subscription.
Note: Saved Search Alert and Daily Summary Email features are not available for this database.
2. Understanding the collection methodology
Data is sourced from X-17A-5 form types and FOCUS Reports filed with FINRA.
3. Searching the database
The Broker Dealer search page offers two unique search methods.
Annual Audit has the following filters:
| Name | Description | Data Dictionary Field(s) | Sort By? |
|---|---|---|---|
| Filter by Auditor | Filter for a specific auditor or group of auditors | Auditor Name | Yes |
| Search by CIK Code | Filter results to a specific population | CIK Code | Yes |
| Fiscal Year | Filter by fiscal year ended | Period Ended Date | Yes |
| Assets | Filter by range of year ended total assets | Period Ended Total Assets | Yes |
| Company Location | Filter by current business address location(s) | State Name State Code Region County | Yes |
| Auditor Location | Filter by auditor location | Auditor – State Auditor – State Name Auditor – Region Auditor – City | No |
Current Auditor has the following filters:
| Name | Description | Data Dictionary Field(s) | Sort By? |
|---|---|---|---|
| Filter by Auditor | Filter by name of auditor who is the auditor of record for the company | Auditor Name | Yes |
| Search by CIK Code | Filter results to a specific population | CIK Code | Yes |
| Last Filing | Filter by date of most recent filing for the broker dealer | Last Filing Last Filing Date | No |
| Assets | Filter by range of year ended total assets | Period Ended Total Assets | Yes |
| Company Location | Filter by current business address location(s) | State Name State Code Region County | Yes |
| Auditor Location | Filter by auditor location | Auditor – State Auditor – State Name Auditor – Region Auditor – City | No |
4. Viewing Annual Audit results
To access your Annual Audit search results, follow these steps:
- View the results at the bottom of the page.
- Click the relevant hyperlinks to access additional resources.
Available resources include:
- Broker Dealer Annual Data Dictionary download
- CSV file downloads of the results
- Overview of individual companies' profiles
- Auditor profiles
All fields available in the CSV are defined in the Data Dictionary.
5. Viewing Current Auditor results
To access your Current Auditor search results, follow these steps:
- View the results at the bottom of the page.
- Click the relevant hyperlinks to access additional resources.
Available resources include:
- Broker Dealer Current Data Dictionary download
- CSV file downloads of the results
- Overview of individual companies' profiles
- Auditor profiles
All fields available in the CSV are defined in the Data Dictionary.