Financial Advisory & Misconduct Dataset - This dataset forms the backbone of multiple research projects on financial advisory markets and misconduct
Financial Advisory & Misconduct Dataset - This dataset forms the backbone of multiple research projects on financial advisory markets and misconduct
Overview
Comprehensive dataset combining FINRA disclosures at the individual advisor level with firm-level characteristics to study financial advisory markets, including misconduct, labor dynamics, and firm behavior.
Data Construction
Constructed from FINRA BrokerCheck disclosures, IAPD records, and SEC ADV filings to link individual advisors with firm characteristics and regulatory information. The dataset is structured to allow analysis at both the advisor and firm levels.
What This Enables
Study how market structure shapes financial advisory firms
Analyze dispute resolution outcomes in misconduct cases
Examine the role of regulation in shaping advisor behavior
Investigate labor market dynamics within financial advisory firms
Extensions
The dataset is further enriched with FINRA arbitration awards data, enabling detailed analysis of dispute resolution and case outcomes.
Related Research
Automation and High-Skill Labor Markets: Evidence from Robo-Advisors
Misconduct and Dispute Resolution in Financial Advisory Markets
Natural Disasters, Market Imbalances, and Advisor Misconduct
Natural Disasters Dataset - Provides a unified data infrastructure to study how large-scale shocks reshape labor markets and economic systems.
Overview
Integrated dataset combining disaster events with economic outcomes to study how natural disasters affect labor markets, financial activity, and local economic resilience.
Data Construction
Constructed by merging NOAA Storm Events data with FEMA Claims and FEMA Public Assistance records. The dataset is organized at the county-time level, enabling integration with labor market and financial datasets.
What This Enables
Study how natural disasters affect hiring, separations, and earnings
Analyze the impact of shocks on financial systems and institutions
Examine heterogeneity across regions, industries, and disaster types
Investigate how local economic structure shapes resilience to shocks
Related Research
Natural Disasters and Labor Market Dynamics
Natural Disasters, Market Imbalances, and Advisor Misconduct
Labor Market Data Infrastructure (Under Development) - Scalable data platform to study labor market dynamics across firms, industries, and large-scale economic shocks.
Overview
Ongoing effort to construct a comprehensive labor market database integrating multiple administrative and large-scale datasets to study employment dynamics, wage outcomes, and firm-level behavior.
Data Construction
This project involves integrating data from sources such as QWI/LEHD/J2J, along with additional firm- and region-level datasets, to create a unified framework for analyzing labor market outcomes over time and across geographic regions.
What This Enables
Develop a county-level panel to study employment, hiring, separations, and earnings
Link labor outcomes to firm characteristics, financial activity, and external shocks
Enable analysis of labor market responses to events such as natural disasters, technological change, and policy shifts
Extensions
Planned integration of IRS migration data will enable analysis of population mobility and its role in shaping labor market dynamics.
Current Status
This is an ongoing data construction project, with initial datasets assembled and integration across sources in progress.
Related Research
Natural Disasters and Labor Market Dynamics
Natural Disasters, Market Imbalances, and Advisor Misconduct
13F Holdings Dataset (Under Development) - Detailed holdings-based dataset to study portfolio behavior and institutional investment decisions.
Overview
Dataset of institutional equity holdings based on SEC Form 13F filings, designed to analyze portfolio allocation, risk-taking, and investment behavior at the manager level.
Data Construction
Constructed from SEC 13F XML filings, currently covering the modern reporting period from 2013Q2 to the present. The dataset extracts and standardizes holdings information across institutional managers to enable consistent portfolio-level analysis.
What This Enables
Study portfolio risk-taking and asset allocation decisions of institutional investors
Analyze how financial intermediaries adjust investment behavior in response to technological and market changes
Examine heterogeneity across managers, strategies, and time
Link portfolio behavior to firm-level and market-level outcomes
Extensions
Planned integration of 13F securities listings from SEC filings to enhance coverage and improve consistency in security identification across managers and time.
Current Status
Coverage currently spans the XML reporting period (2013Q2–present), with ongoing efforts to extend the dataset and integrate additional historical and firm-level information.
Related Research
Robo-Advisors and Advisor Investment Behavior
COVID-19 Policy, Mobility, and Health Outcomes Dataset - Integrating policy, mobility, and health data to study how pandemic shocks affected economic activity and behavior.
Overview
Integrated dataset combining multiple sources to capture the evolution of the COVID-19 pandemic across policy responses, population mobility, health outcomes, and economic activity at the county and state levels.
Dataset Construction
Constructed by integrating Google Mobility data, New York Times COVID-19 deaths, OxCGRT policy measures, HHS hospital capacity data, and CDC vaccination data. The dataset is organized at both the county and state levels, with monthly aggregation to enable consistent analysis over time.
What this Enables
Study how policy interventions affected mobility and economic activity
Analyze the relationship between health shocks and labor market outcomes
Examine heterogeneity across regions in pandemic response and recovery
Investigate interactions between public health measures, behavior, and economic outcomes
Related Research
Hidden Compliance Costs at Work: Gender, Grooming, and COVID-19
Credit Unions and Local Economic Resilience during COVID-19
Election and Political Uncertainty Dataset - To study how electoral dynamics and political uncertainty shape firm behavior and economic outcomes.
Overview
Dataset capturing electoral outcomes and political uncertainty measures across U.S. states, designed to study how elections and political transitions influence firm behavior, misconduct, and economic activity.
Dataset Construction
Constructed using data from MIT Election Lab and Harvard Cage combined with state-level political and economic information. The dataset includes election outcomes across presidential, gubernatorial, and senate races, and is organized at the state-time level to enable panel analysis.
What this Enables
Study how political uncertainty affects corporate behavior, including misconduct
Analyze the impact of close elections and political turnover on economic outcomes
Examine how firms respond to changes in political leadership and policy environments
Investigate heterogeneity across states and election types
Key Features
Measures of electoral competitiveness (e.g., close elections based on vote margins)
Indicators for political turnover across offices
State-level panel structure for empirical analysis
Compatibility with firm-level and state-level economic datasets
Related Research
Political Uncertainty and Corporate Misconduct
Local Financial Institutions Dataset (Credit Unions) - Understanding how local financial institutions shape credit supply and economic resilience.
Current Status
Under Development.
Dataset construction in progress combining NCUA call reports with geographic data to study local credit supply, financial access, and responses to economic shocks.
Innovation and Patents Dataset - Studying how firm risk and institutional factors influence innovation outcomes.
Current Status
Under Development.
Dataset under construction to study how firm-level risk and external shocks influence innovation outcomes using patent and firm-level data.