SA-5239T Service Annual Surey

OMB No. 0607-0422: Approval Expires 10/31/2009

2006 Annual Services Report
Service Annual Survey

U.S. DEPARTMENT OF COMMERCE
Economics and Statistics Administration

U.S. CENSUS BUREAU

Portfolio Management

FORM

SA-5239T

137

SAS_F

523920

REPORT DUE

Any questions call 1–800–772–7851
M–F, 8:30 a.m. to 5:00 p.m. EST.
Please correct any error in the name, address, or ZIP Code.

YOUR RESPONSE IS REQUIRED BY LAW
Title 13, U.S. Code, requires businesses and other organizations that receive this questionnaire to answer the
questions and return the report to the Census Bureau.

YOUR RESPONSE IS CONFIDENTIAL BY LAW
Title 13, U.S. Code, requires that your response may be seen only by persons sworn to uphold the confidentiality of Census
Bureau information and may be used only for statistical purposes. The law also provides that copies retained in your files are
immune from legal process.

YOUR RESPONSE IS IMPORTANT
The services industries account for nearly 70 percent of all economic activity. We conduct this survey to obtain timely,
comprehensive and consistent measures needed by policy-makers, businesses, and the public to accurately assess domestic
economic performance.

FORM asr_a_06 (11-17-2006)

USCENSUSBUREAU

Page 2

Annual Services Report
•
•

This report should be completed and returned on or before the due date in the preaddressed envelope provided.
If filing within the required time frame will cause an undue burden and you would like an extension, or if you have any questions, please write to:
U.S. CENSUS BUREAU
1201 East 10th Street
Jeffersonville, IN 47132-0001
or call a Census Bureau Representative at 1–800–772–7851, weekdays from 8:30 a.m. to 5:00 p.m., eastern standard time.

1 Report Coverage
This report covers all domestic locations operated by your company and its subsidiaries primarily engaged in
managing portfolio assets (i.e., funds) of others on a fee or commission basis. Locations have the authority to
make investment decisions, and derive fees based on the size and/or overall performance of the portfolio.
Examples include managing trusts, mutual fund managing, pension fund managing, and portfolio fund managing.

Does the above coverage describe this firm’s business activity?
0001

1
2

Yes – Go to 2
No – Specify the firm’s business activity and complete the report where applicable beginning with 2 .
0002

2 Report Periods
What periods of time will this data represent?
• Report data for the 2006 calendar year if possible.
• For locations that were sold or acquired during a year, only report for the periods that this firm operated the locations.
2006
Month
0007
0006

1

2006 calendar year – Go to 3

2

Other than calendar year – Enter the periods this report will cover. . . . . . . . . . . . . . . . . . . . . . .
0008
(e.g., fiscal years, periods with less than a full calendar
year).
To

FORM asr_b_06 (8-31-2006)

From

Day

Year

Page 3

3 Operating Revenue
Report the total operating revenue for this firm’s locations defined in 1 for the following categories.
• Enter "0" where applicable.
• Estimates are acceptable.
Exclude:
• Transfers made within the company.

2006 Operating Revenue
Bil.
Mil.
Thou.
Dol.

1. Financial Planning and Investment Management Products
a. Financial planning and investment management services for individuals – Financial 2104
planning, advisory, and investment management services for private individuals. Exclude
corresponding services for trust accounts, report in line 3. . . . . . . . . . . . . . . . . . . . . . . . . . $
2105

b. Financial planning and investment management services for businesses –
Providing financial planning, advisory, and investment management services for businesses. . . . $
2106

c. Financial planning and investment management services for governments –
Providing financial planning, advisory, and investment management services for governments. . $
2101
2. Brokering and dealing products – equities – Brokering and dealing in debt instruments
(e.g., bills, bonds, notes, CDs, Guaranteed Investment Contracts (GICs), commercial paper,
bankers acceptances, and all other debt instrument products). . . . . . . . . . . . . . . . . . . . . . . $

6411
3. Trust products – Trust products involve one party establishing a fiduciary relationship
with a second party, such that the second party manages property for the benefit of either
the first party or others. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . $

4. All other operating revenue – Revenue not reported in lines 1–3. If this item is greater
than 20% of the total operating revenue, specify the primary source of the
revenue here
1560

1799

$
1800

5. TOTAL OPERATING REVENUE – Sum of lines 1–4. . . . . . . . . . . . . . . . . . . . . . . . . . . . .

$

4 Source of Brokering and Dealing Equity Revenue
Report the percent of revenue derived from fees and commissions, interest income from trading accounts (including margin
interest), and net gains in trading accounts for brokering and dealing equity products reported in 3 line 2.
• Enter "0" where applicable.
• Estimates are acceptable.

Source of Brokering and Dealing
Equity Revenue
2006
2107

1. Fees and commissions. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

%

2108

2. Interest income from trading accounts (including margin interest). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

%

2109

3. Net gains in trading accounts. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . +
..

%
100%

FORM asr_5239_23_cd_06 (7-20-2006)

Page 4

5 Operating Expenses
Report operating expenses for this firm’s locations as defined in 1 for the following categories.
• Enter "0" where applicable.
• Estimates are acceptable.
Exclude:
• Transfers made within the company
• Capitalized expenses
• Bad debt
• Impairment
• Income tax

Personnel Costs
1821
1. Gross annual payroll – Total annual Medicare salaries and wages for all employees as
reported on your firm’s IRS Form 941, Employer’s Quarterly Federal Tax Return, line 5(c) for
the four quarters that correspond to the survey period. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . $

2. Employer’s cost for fringe benefits – Employer’s cost for legally required programs and
programs not required by law. Include insurance premiums for hospital plans, medical plans,
and single service plans (e.g., dental, vision, prescription drugs); premium equivalents for selfinsured plans and fees paid to third-party administrators (TPAs); defined benefit pension plans;
defined contribution plans (e.g., profit sharing, 401K and stock option plans); and other fringe
1822
benefits (e.g., Social Security, workers’ compensation insurance, unemployment tax, state
disability insurance programs, life insurance benefits, Medicare). Exclude employee
contributions. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . $
3. Temporary staff and leased employee expense – Total costs paid to Professional Employer 1823
Organizations (PEOs) and staffing agencies for personnel. Include all charges for payroll,
benefits, and services. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . $

Expensed Materials, Parts and Supplies (not for resale)
1824
4. Expensed equipment – Expensed computer hardware and other equipment (e.g., copiers,
fax machines, telephones, shop and lab equipment, CPUs and monitors). Report packaged
software in line 6. Report leased and rented equipment in line 8. . . . . . . . . . . . . . . . . . . . . . . . $

5. Expensed purchases of other materials, parts, and supplies – Materials and supplies
1825
used in providing services to others; materials and parts used in repairs; office and janitorial
supplies; small tools; containers and other packaging materials; and motor fuels. . . . . . . . . . . . . $

Expensed Purchased Services
6. Expensed purchases of software – Purchases of prepackaged, custom coded, or vendor
1826
customized software. Include software developed or customized by others, web-design
services and purchases, licensing agreements, upgrades of software; and maintenance fees
related to software upgrades and alterations. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . $
7. Purchased electricity and fuels (except motor fuels) – If the cost of electricity and heating 1827
fuels (e.g., natural gas, propane, oil, coal) are included in lease or rental payments, report
in line 8 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . $
8. Lease and rental payments – For land, buildings, offices, structures, machinery, equipment,
1828
and other tangible items. Include lease and rental of transportation equipment without
operators; and penalties incurred for broken leases. Exclude capital and financing lease
agreements and licensing/leasing of software. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . $

FORM asr_523_g1_06 (11-16-2006)

2006 Operating Expenses
Bil.
Mil.
Thou.
Dol.

Page 5

5 Operating Expenses – (Continued)
Report operating expenses for this firm’s locations as defined in 1 for the following categories.
• Enter "0" where applicable.
• Estimates are acceptable.
Exclude:
• Transfers made within the company
• Capitalized expenses
• Bad debt
• Impairment
• Income tax

Expensed Purchased Services – (Continued)
2006 Operating Expenses
9. Purchased repair and maintenance – Include expensed repair and maintenance to
Bil.
Mil.
Thou.
Dol.
buildings and integral building components (e.g., elevators, heating and cooling systems),
1829
structures, offices, machinery, vehicles, equipment, and computer hardware. Exclude
materials, parts, and supplies used for repair and maintenance performed by this firm’s
employees. Report janitorial and grounds maintenance services in line 14. . . . . . . . . . . . . . . $

1830

10. Purchased advertising and promotional services – Include marketing and public
relations services. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . $

Other Operating Expenses
11. Depreciation and amortization charges – Include depreciation charges taken against
tangible assets owned and used by your firm, tangible assets and improvements owned by
your firm within leaseholds, tangible assets obtained through capital lease agreements, and 1831
amortization charges against intangible assets (e.g., patents, copyrights). Exclude
impairment. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . $

12. Governmental taxes and license fees – Payments to government agencies for taxes and 1832
licenses. Include business and property taxes. Exclude income taxes, and sales and excise
taxes collected from customers. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . $
2110

13. Operating interest expense – Report non-operating interest expense in 6 line 1 below. . . . . $
14. All other operating expenses – Report all other operating expenses not reported above, 1899
unless specifically excluded in the general instructions at the top of the page. Exclude
purchases of merchandise for resale and non-operating expenses. . . . . . . . . . . . . . . . . . . . . $
1900

15. TOTAL OPERATING EXPENSES – Sum of lines 1–14.

.......................... $

6 Non-operating Interest Expense
Report non-operating interest expense for all this firm’s locations as defined in 1 for the following category.
• Enter "0" where applicable.
• Estimates are acceptable.
Exclude:
2006 Non-operating
• Transfers made within the company
Interest Expense
• Capitalized interest
Bil.
1857

1. Non-operating interest expense – Non-operating interest expenses incurred in the financing of
operations and long lived assets used in continuing operations. . . . . . . . . . . . . . . . . . . . . . . . . $

FORM asr_523_g2_06 (11-16-2006)

Mil.

Thou.

Dol.

Page 6

7 Sales Tax
Were sales taxes or other taxes (i.e. amusement occupancy, use, etc.) collected from customers
and forwarded directly to taxing authorities?
Bil.

2006 Sales Taxes
Mil.
Thou.
Dol.

2200
0032

1
2

Yes – What was this firm’s sales taxes? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . $
No – Go to 8

8 E-Commerce Revenue
E-commerce includes sales and receipts from any transaction completed over an Internet, extranet, EDI network,
electronic mail or other online system. Transactions are agreements between buyers and sellers to transfer ownership
of, or rights to use, goods or services. Payment for these goods and services may or may not be made online.

2006 E-Commerce Revenue
Bil.
Mil.
Thou.
Dol.

Did the revenue reported in 3 include any
e-commerce revenue?
1
0011

2

2000

Yes – What was this firm’s e-commerce revenue? . . . . . . . . . . . . . . . . . . . . . . . . . $
No – Go to 9

9 Export Revenue
An exported service is a service performed for a customer or client (individual, government, business establishment, etc.) located
outside the United States (i.e., outside the 50 States, District of Columbia, U.S. Commonwealth Territories, or U.S. possessions).
Include:
• Services performed for unaffiliated and affiliated foreign firms (i.e., foreign parent firms, subsidiaries, branches, etc.).
Exclude:
• Services provided to domestic subsidiaries of foreign firms.

Did the revenue reported in 3 include any revenue
from exports?
1
0009

2

Yes – What was this firm’s revenue from exports?
No – Go to 11

10 Not Applicable

FORM asr_ef_06 (1-8-2007)

Bil.
2100

........................ $

2006 Export Revenue
Mil.
Thou.
Dol.

Page 7

11 Change in Structure
Did you have an Employer Identification Number (EIN) change in 2006?
0015
0013

Yes – Enter the new EIN. . . . . . . . . . . . . .
No – Continue

1
2

EIN

–

Month

Was there a change in ownership or control?
1

Yes – Provide the date of the change and the firm’s information. . . . . . . . . . . . . . . . . . . . .
(for multiple mergers, provide each firm’s information as an attachment to this report)

2

No – Go to 12

0016

0017

Year

0018

Name of company acquired or merged with

Street address

City, State, ZIP Code

0019
EIN

–

Specify the nature of this change here
0033

12 Remarks –

Please provide an explanation for any inconsistent or incomplete data that would aid in understanding this report.
For any separate correspondence pertaining to this report, please include the identification number shown in the
address label area at the top of the first page.

0027

13 Certification – This report is substantially accurate and has been prepared in accordance with the instructions.
0020 Name of person completing this report – Please print

0024 Title

0025 Date

0021 Address (Street address, City, State, ZIP Code)

0022 Telephone number
Area code

Number

Return Completed form to:
U.S. CENSUS BUREAU
1201 East 10th Street
Jeffersonville, IN 47132-0001
or fax to: 1–800–447–4613

0023 Fax number
Extension

Area code

0026 E-mail address

Number

Public reporting burden for this collection of information is estimated to average 4.0 hours per response, including the time for
reviewing instructions, searching existing data sources, gathering and maintaining the data needed, and completing and
reviewing the collection of information. Send comments regarding this burden estimate or any other aspect of this collection of
information, including suggestions for reducing this burden, to: Paperwork Project 0607-0422, U.S. Census Bureau, 4700
Silver Hill Road, Stop 1500, Washington, DC 20233-1500. You may e-mail comments to [email protected]; use
"Paperwork Project 0607-0422" as the subject. Please include form name and number in all correspondence. Respondents
are not required to respond to any information collection unless it displays a valid approval number from the Office of
Management and Budget. This 8-digit number appears in the top right corner on the front of this form.

To see aggregate industry results of previous Service Annual Surveys, go to the following website: www.census.gov/econ/www/servmenu.html
FORM asr_z_06 (11-6-2006)

2006 Annual Services Report
Instructions for Securities, Commodity Contracts,
and Other Financial Investments Firms

U.S. DEPARTMENT OF COMMERCE
Economics and Statistics Administration

U.S. CENSUS BUREAU

General Instructions
•

Report data on an accural basis, except payroll.

•

Dollars should be rounded to the nearest dollar.

Bil.

•

If a figure is $1,030,280,456 it should be reported as

1

Mil.

Thou.

Dol.

030 280 456

Include in revenue:

•

Report gross billings, except where noted elsewhere on the form.

•

Amounts received for work subcontracted to others.

•

Revenue from services performed by domestic locations of FOREIGN parent firms, subsidiaries, branches, etc.

•

Dues and assessments from members and affiliates.

•

Income from investments, sales of company-owned real estate (land and building) or other assets, (except inventory held for
resale), securities, gifts, loans, contributions, or grants.

•

Interest earned from financing leases. Interest earned from sales, rent or lease under capital, finance, or full payout. Also
include interest, dividends, and royalties.

•

Net realized gains as well as (losses) within specified area(s) of activity.

Exclude from revenue:

•

Taxes collected directly from customers or clients and paid directly to a local, state, or federal tax agency.

•

Rents from and revenue of separately operated departments, concessions, etc., which are leased to others.

•

Revenue from customers for carrying or other credit charges.

•

Commissions from vending machine operators.

•

Revenue of foreign subsidiaries (those located outside the U.S., i.e., outside the 50 states, District of Columbia, U.S.
Commonwealth Territories, or U.S. Possessions).

•

Revenue from the sale of used equipment.

Item Specific Instructions
Item 5 – Operating Expenses
Line 1 – Gross annual payroll
Include salaries and wages, commissions, dismissal pay, bonuses, employee contributions to Social Security, income tax
withholding, union dues, group insurance premiums, savings bonds, cash equivalent in-kind, allowances, holiday pay,
vacation pay, sick leave, stock purchase plans, and employee contributions to pension plans. Exclude the cost of leased
employees, employer’s cost for fringe benefits, temporary staff obtained from temporary help services. For unincorporated
businesses, exclude profit or other compensation of proprietors or partners.

Line 14 – All other operating expenses
Include travel and entertainment; postage, shipping or delivery services, warehousing, and storage services; royalties;
security services; janitorial and grounds maintenance services; purchased transportation with operators; and other expenses
not reported elsewhere.
FORM asr_523_w_06 (11-6-2006)

USCENSUSBUREAU