Every line of business is posted exactly as classified — Ledger A holds principal-side dealing, Ledger B client-paid advice, Ledger C managed mandates, Ledger D fiduciary work, and Ledger E the market plumbing. Slips are colored by their book.
LEDGER A — Own-Account & Dealing
E-01 → E-09 · 9 ENTRIES
E-01Individuals investing in financial contracts on own accountPrincipal
E-02Investment clubsPrincipal
E-03Mineral royalties or leases dealing (acting as a principal)Principal
E-04Mortgage dealers, buying and sellingPrincipal
E-05Oil royalty dealing (acting as a principal)Principal
E-06Securities speculators for own accountPrincipal
E-07Tax liens dealing (acting as a principal)Principal
E-08Venture capital companiesPrincipal
E-09Viatical settlement companiesPrincipal
LEDGER B — Advisory & Planning
E-10 → E-15 · 6 ENTRIES
E-10Certified financial planners, customized, fees paid by clientAdvisory
E-11Financial investment advice services, customized, fees paid by clientAdvisory
E-12Financial planning services, customized, fees paid by clientAdvisory
E-13Investment advice consulting services, customized, fees paid by clientAdvisory
E-14Investment advice counseling services, customized, fees paid by clientAdvisory
E-15Investment advisory services, customized, fees paid by clientAdvisory
LEDGER C — Fund & Trust Management
E-16 → E-25 · 10 ENTRIES
E-16Investment managementManaged
E-17Managing investment fundsManaged
E-18Managing mutual fundsManaged
E-19Managing personal investment trustsManaged
E-20Managing trustsManaged
E-21Mutual fund managingManaged
E-22Pension fund managingManaged
E-23Personal investments trusts, managingManaged
E-24Portfolio fund managingManaged
E-25Private equity fund managingManaged
LEDGER D — Trust & Fiduciary
E-26 → E-33 · 8 ENTRIES
E-26Administrators of private estatesFiduciary
E-27Bank trust officesFiduciary
E-28Escrow agencies (except real estate)Fiduciary
E-29Fiduciary agencies (except real estate)Fiduciary