Brochures

2013 Global Custodian Prime Brokerage Survey
June 23, 2014

The new Global Custodian Prime Brokerage Survey is out, and Pershing Prime Services is proud to announce that our clients continue to award us high marks.

Pershing Prime Services received “Ones to Watch” recognition in the following two categories:.

  • Financing and Margining
  • Hedge Fund Consulting

Our overall rating stayed consistent—and our individual scores rose in four categories:

  • Client Service: 6.11
  • Financing and Margining: 6.15
  • Reporting: 5.96
  • Hedge Fund Consulting: 6.07

View our survey results now and see Global Custodian's complete story on Pershing Prime Services. It includes observations about our access to financing and hard-to-borrow securities, financial strength and client service. These are just some of the points of distinction that make us the New Model Prime Broker.

2014 Global Custodian Prime Brokerage Survey
June 23, 2014

The new Global Custodian Prime Brokerage Survey is out, and Pershing Prime Services is proud to announce that our clients continue to award us high marks.

Pershing Prime Services received “Ones to Watch” recognition in the following two categories:.

  • Financing and Margining
  • Hedge Fund Consulting

Our overall rating stayed consistent—and our individual scores rose in four categories:

  • Client Service: 6.11
  • Financing and Margining: 6.15
  • Reporting: 5.96
  • Hedge Fund Consulting: 6.07

View our survey results now and see Global Custodian's complete story on Pershing Prime Services. It includes observations about our access to financing and hard-to-borrow securities, financial strength and client service. These are just some of the points of distinction that make us the New Model Prime Broker.

NetX360® Premium Content
June 06, 2014
The NetX360 open architecture technology and Pershing’s industry providers enable you to access the content and solutions providers of your choice. You can access over 50 widely known third-party providers directly through Netx360. Pershing offers these premium services to help boost performance and efficiency.
NetX360®-The Complete Solution to Manage Your Evolving Business Needs
June 03, 2014

NetX360®, Pershing's professional access platform, provides you one technology solution to efficiently manage your entire business—whether it is commission, advisory, retail, self-directed, institutional or asset management. Trading, reporting, client data, research and more are all just a click away, along with a wealth of third-party technology solutions, practice management resources and a diverse selection of financial solutions. With NetX360 you can grow your business, help control operating costs, increase efficiency and productivity, enhance compliance oversight and access industry-leading solution providers to accelerate your performance.

Understanding the Protection of Client Assets
May 15, 2014
Pershing's Strength, Stability and Focus
Pershing LLC has been a leading global provider of financial business solutions for 75 years and serves many of the world's most respected financial organizations, remaining committed to the safekeeping, servicing, segregation and reporting of assets held in custody.
Fully Paid Securities Lending
May 15, 2014
This brochure provides an overview of the Fully Paid Securities Lending program and how it benefits high-net-worth investors.
Corestone Account: The Core of a Solid Financial Plan
March 17, 2014

This investor brochure provides a detailed overview of Corestone Account and highlights its features and benefits.

Understanding the Protection of Client Assets for Pershing Advisor Solutions
January 01, 2014
Pershing's Strength, Stability and Focus
Pershing LLC has been a leading global provider of financial business solutions for 75 years and serves many of the world's most respected financial organizations, remaining committed to the safekeeping, servicing, segregation and reporting of assets held in custody.
Your Guide to Investment Solutions Marketing Materials
June 27, 2013
The full 34-page guide - as well as printed materials it references - can be ordered via the Material Catalog in Resources on NetX360®.

Preview an extract of Your Guide to Investment Solutions Marketing Material

For Professional Use Only

Mutual Fund Growth FAQs
June 17, 2013
The Mutual Fund Growth Frequently Asked Questions piece helps advisors explain the benefits of mutual fund growth to their clients. The document covers topics including client benefits, who Pershing is, an overview of the mutual fund growth process, fee considerations and many others.
Pershing's Alternative Investment Network
April 23, 2013
Pershing's Alternative Investment Network includes no-fee and fee platforms to custody and manage your clients' alternative investment products. In addition, Pershing provides custody services for your firm's proprietary alternative investments.
Maximize the Benefits of Holding Securities in Your Brokerage Account
March 06, 2013
The Maximize the Benefits of Holding Securities in your Brokerage Account brochure speaks to clients about the safety, security and convenience a brokerage account can provide.
Mutual Fund Consolidation FAQs for Clients
March 06, 2013
This Mutual Fund Consolidation Frequently Asked Questions For Clients piece helps advisors explain the benefits of mutual fund consolidation to their clients. The document covers topics including client benefits, who Pershing is, an overview of the mutual fund consolidation process, fee considerations and many others.
Retirement Solutions Brochure - Pershing Advisor Solutions
February 25, 2013
Learn how Pershing can help you take the next step to build your retirement business.
Traditional and Roth IRA Brochure
February 05, 2013

This brochure describes the features and benefits of Traditional and Roth IRAs.

Employer-Sponsored Retirement Plans Brochure
January 13, 2013
A 24-page brochure providing the advisor with a detailed explanation of various retirement plans for businesses, their features, benefits and differences and when to use each plan.
Practice Management: Solving Business Challenges for Growing Advisors
December 07, 2012

Where should you take your business next? How can you maximize its value over time? Can you avoid pitfalls along the way?

Advisory firms like yours have become increasingly complex to run, with many challenges clamoring for your attention. To achieve first-class business performance, you need access to first-class resources—the kind of practice management support available exclusively through Pershing Advisor Solutions. Our team acts as an extension of your own, offering you industry-leading expertise and practical, real-world answers to your most critical questions.

Subscribe® Participating Insurance Companies
November 12, 2012
Subscribe® offers a seamless interface with many of the country's leading insurance companies.
Products and Services Guide―Global Solutions for Registered Investment Advisors
October 16, 2012
Pershing Advisor Solutions is dedicated to serving the needs of growth-minded registered investment advisors like you. Download the Products and Services Guide to read more about the resources and expertise that can help build lasting value in your practice.
LoanAdvance Brochure for Registered Investment Advisors
August 17, 2012
Today, your clients have more complex needs than ever before. You need to provide them sophisticated solutions to serve them well and nurture long-term relationships. Download this brochure to read about how you can enhance your offering with LoanAdvance, our securities-based line-of-credit.
2012 Global Custodian Prime Brokerage Survey
July 18, 2012

Read the new 2012 Global Custodian Survey—and see what our customers say about Pershing, the New Model Prime Broker.

The new Global Custodian Prime Brokerage Survey is out, and Pershing Prime Services is proud to announce that our customers awarded us even higher marks than they did last year.

Pershing Prime Services achieved top scores in two categories:

  • Single strategy
  • $100 million-$1 billion

We also received:

  • Five commendations
  • 41 "Best in Class" recognitions

Our overall rating rose from 2011—and so did our scores in six categories:

  • Overall weighted score: 5.9 out of 7 (up from 5.76 in 2011)
  • Custody: 6.37
  • Client service: 6.16
  • Operations: 6.12
  • Reporting: 6.01
  • Value: 6.06

View our survey results now and see Global Custodian's complete story on Pershing Prime Services. It includes observations about our financial strength, transparency into the market, financing and capital introduction capabilities. These are the points of distinction that make us the New Model Prime Broker.

Pershing Trading Services
June 14, 2012
Today, when milliseconds count, you need reliable resources to help you achieve best execution in a dynamic and competitive marketplace. Pershing offers innovative solutions to help you succeed. The Pershing name has been synonymous with high quality execution for over 70 years. Our seasoned professionals are renowned for their experience, expertise and commitment to working with you in a collaborative environment. We are as passionate about the markets as you are. Depend on Pershing to help you realize the true potential of your unlimited vision.
529 College Savings Plans
June 13, 2013
Assisting clients with a strategy to address one of their major financial concerns is good for your relationship and good for your practice as it puts additional assets under your management. Pershing has developed a brokerage platform that can help expand your portfolio of financial services with 529 college savings plans.
Lending Solutions: Leverage-Based Products to Complement Investment Strategies
June 08, 2012

This brochure provides an overview of Pershing’s range of lending solutions, including CreditAdvance®, Fully Paid Securities Lending, LoanAdvance® and RealAdvance®.

529 College Savings Plans Brochure
June 04, 2012

This brochure outlines the college savings and 529 plan opportunities.

Pershing’s Alternative Investment Network
June 04, 2012
Pershing’s Alternative Investment Network features a comprehensive platform to custody and manage your clients’ alternative investment products.
Investment Solutions
May 25, 2012
You are looking for new ways to thrive in an evolving industry—to distinguish your brand and position your offering to meet shifting client priorities. While you grow your business, let Pershing help by delivering the platforms, investment solutions and consulting support you need to succeed. We bring an expansive array of innovative and customizable solutions to help you manage your evolving business needs.
Wealth Management Solutions: Helping You Grow Your High-Net-Worth Business
May 23, 2012

This brochure provides an overview of all the wealth management solutions available from Pershing and how these offerings can help you solidify relationships with your clients. Pershing's wealth management solutions offer clients a full complement of products aimed at helping them effectively protect, manage and increase their wealth.

NetX360
May 23, 2012
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Retirement Capabilities Brochure
November 11, 2011
Retirement assets typically represent the largest concentration of investor wealth. Advisors who make retirement a core part of their offering can gain additional client assets through transfers and rollovers, forge deeper and stronger client relationships, and generate a steady flow of new assets. Pershing, a BNY Mellon company, makes it easy for you to incorporate retirement solutions into your existing business model with open architecture, flexible technology and unparalleled support.
Retirement Solutions: Grow Your Retirement Business With Pershing
November 11, 2011
Retirement assets typically represent the largest concentration of investor wealth. Financial professionals who make retirement a core part of their offering can gain additional client assets through transfers and rollovers, forge deeper and stronger client relationships, and generate a steady flow of new assets. Pershing, a BNY Mellon company, makes it easy for you to incorporate retirement solutions into your existing business model with open architecture, flexible technology and unparalleled support.
Rollover IRA Brochure
November 01, 2011

This brochure explains the benefits of consolidating retirement assets into a Rollover IRA.

Small Business Retirement Plans Brochure
January 01, 2013

This brochure for small business owners highlights the benefits of establishing a retirement plan and compares the different plan options available.

Alliance Network
October 05, 2011
Pershing is dedicated to providing access to a broad range of third-party resources to meet your critical business needs. To honor this commitment, we have established an Alliance Network of over 700 best-of-breed solution providers. In addition, our ValueAlliance® program offers preferred rates on select strategic relationships to build your practice management efforts and help you grow your business without limits.
Cash Management Choice Program
September 28, 2011

Cash management strategies have never been more important to a well-constructed portfolio than they are today.

Volatility in the stock and bond markets has created the need for a portfolio stabilizer. This need is even more acute for investors at the front edge of the demographic wave of retiring Baby Boomers, whose needs are shifting from the long-term accumulation of capital to the preservation of capital for retirement and other objectives. Todays investors are focused on how their cash is being employed and if it is working as hard as it canwhether that means bank-like insurance, higher yields than bank accounts or even tax-advantaged options that seek to minimize state taxes.

Through Pershings Cash Management Choice Program, you can provide your clients and investment professionals with the ability to better address cash management needs by enabling idle cash to earn additional interest. The options available through Pershing allow you to offer your clients the choices that best suit their needs and risk tolerances.

Fully Paid Securities Lending Brochure
August 03, 2011

This brochure provides an overview of the Fully Paid Securities Lending offering and highlights the benefits to affluent clients.

Fully Paid Securities Lending for Registered Investment Advisors
August 03, 2011
Learn how you can maximize the revenue potential of your client's portfolio through Pershing's Fully Paid Securities Lending program.
The 2011 Global Custodian Survey Is Out—And Our Score Is Up
July 05, 2011

Last year, the annual Global Custodian Prime Brokerage Survey praised our people skills at Pershing Prime Services. This year, our valued customers have given us even higher marks, including:

  • Seven Commendations
  • 33 "Best In Class" Recognitions
  • Custody score: 6.11 (out of 7)
  • Client service score: 6.09
  • Operations score: 6.01
  • Overall score: 5.76

View our survey results and read the complete report on Pershing Prime Services. As you will see, our customers recognized us for our commitment to providing them with a robust platform that combines the global resources of BNY Mellon with unmatched service and operational support. "They understand our business and our needs", wrote one fund, "Pershing does an outstanding job to get to know their customers." Another manager noted Pershing Prime Services is "professional, knowledgeable and very easy to work with." Customers valued our "safety, security and lack of conflicts of interest."

We are honored to see the way our customers have responded to our "New Model Prime Broker"—featuring an unconflicted commitment to your business, a transparent approach and the strength of the only prime broker owned by a Aaa-rated bank*, BNY Mellon.

Trading Services: Comprehensive Solutions for Today's Complex Markets
April 12, 2011

In today's rapidly evolving financial markets, you face new challenges—from increasing regulation to expanding global markets—every day. With the depth and breadth of an industry leader, Pershing has the experience your business demands. We provide you with a broad array of execution capabilities for equity, option, and fixed income securities—all backed by our world-class service and support.

Consolidating Your Assets - A Single Account. A Single Statement. A Single Vision.
March 30, 2011
Has your investment portfolio evolved into one, focused account with a carefully designed plan, or is it a patchwork of accounts, across various financial companies, with no clear goal? Consolidating your assets can help.
CreditAdvance®: Put More Assets to Work for You
February 08, 2011

This kit contains the CreditAdvance brochure that describes the offering and benefits to the investor, along with the agreement and forms to enroll.

Unleash the Potential of Your Brokerage Account
February 08, 2011
Many investors do not realize that a margin brokerage account gives them access to funds at interest rates that may be lower than standard bank or credit card loans. Whether the loan is to fulfill a financial obligation, take that much needed vacation, or to simply make a purchase, it is an extension of credit using the power of leverage, thereby enhancing value without increasing the investment of your own funds. Best of all, there is no lengthy approval processall you need is a signed Margin Agreement along with sufficient marginable securities in your account, and the cash is yours.
myedocumentsuite.com Enhancing the Client Experience
October 11, 2010
This brochure provides an overview of the benefits of choosing electronic delivery for account communications through myedocumentsuite.com.
iNautix Custom Development
October 08, 2010
iNautix offers world-class business and technology solutions to help financial services organizations and registered investment advisors optimize operational performance across their entire organization. With deep industry experience, iNautix strives to help you maximize your productivity, increase operational efficiency and improve profitability.
Anti-Money Laundering (AML) Models Through Actimize
October 06, 2010
Remaining fully compliant with complex financial services industry rules and regulations is vital to the long-term success of your firm.

To help you meet these requirements, we have partnered with Actimize, a leading transactional risk software provider, to offer you a comprehensive suite of customizable anti-money laundering (AML), trade surveillance, and sales practices monitoring solutions.
Health Savings Accounts Brochure
August 30, 2010

This brochure outlines the Health Savings Account (HSA) opportunity and Pershing's HSA provider.

LoanAdvance®: Liability Management with Securities-based Lending
June 10, 2010
LoanAdvance® is a securities-based lending tool that offers your clients access to a line of credit at competitive interest rates for most personal, consumer, or business needs.
Mobile Access with NetX360™
June 07, 2010
NetX360 is Pershing's complete solution to help you efficiently manage your entire business. At the speed of today's business, the ability to access important account information when you are away from the office has become critically important. To enable you to access your client data from anywhere and at anytime, Pershing makes the most of the NetX360 functionality available on a variety of mobile devices.* This allows you to stay productive and accessible while on the go.
Alliance Network
June 07, 2010
Pershing is dedicated to providing access to a broad range of third-party resources to meet your critical business needs. To honor this commitment, we have established an Alliance Network of over 700 best-of-breed solution providers.
CDARS® - Certificate of Deposit Account Registry Service®
June 07, 2010
Simplicty. Convenience. Security.

With the recent volatility in the stock and bond markets, FDIC insurance is a welcome umbrella for investors seeking security for their assets. Through Pershing, your firm can access a broad range of FDIC-insured investment options, including CDARS CDs and FDIC-backed bonds. No matter what your investment and liquidity needs, you will find the FDIC-insured solutions you need at Pershing.
Managed Account Network™ Program Providers
June 07, 2010
Managed Account Network enables you to offer managed account solutions from industry-recognized asset management program providers and hold the assets in custody at Pershing. This document provides an overview of the participating providers.
Lockwood Asset Allocation Portfolios
June 04, 2010

Lockwood Asset Allocations Portfolios is a discretionary mutual fund/exchange-traded fund (ETF) wrap investment solution that offers a series of multiple-style portfolios-each held in a single account-and affords the features of diversification and professional management to smaller accounts. Client portfolios may include open-end mutual funds, ETFs, exchange-traded notes (ETNs) and closed-end funds.

Lockwood Investment Strategies
June 04, 2010

Lockwood Investment Strategies(LIS) is a discretionary UMA investment solution that offers a spectrum of diversified portfolios, comprising multiple asset classes and investment vehicles-each held in a single account. Based upon a client’s risk profile, Lockwood seeks to deliver portfolio return and risk characteristics that are appropriate for that client. LIS portfolios may include open-end and closed-end mutual funds, exchange-traded funds (ETFs), exchange-traded notes (ETNs), alternative investments and individual securities.

Fully Paid Securities Lending - Prime Services
August 21, 2012
We understand that you are always looking for ways to generate additional portfolio returns for your firm. The Fully Paid Securities Lending program permits you to loan fully paid-for securities to Pershing. Pershing then has the option to utilize those securities to satisfy both internal and external borrowing needs. A significant portion of the spread earned on the loaned securities becomes revenue for your firm.
NetX360™ for Registered Investment Advisors
February 18, 2010
For Registered Investment Advisors, today’s fiercely competitive environment requires a powerful source of tools and information to increase productivity and performance. At the core of Pershing’s professional access solutions, NetX360™ offers one complete technology solution to efficiently manage your business. This revolutionary, online platform enables you to access account information, place orders and get the latest tools, quotes, news and research to allow you to perform at your best.
A Guide to Understanding Your Brokerage Account Statement
August 18, 2011
Our customer brokerage statement has received the highest designation of "Excellent" five consecutive years by DALBAR, Inc., the nation's leading financial services market research firm.
The 2009 Global Custodian Prime Brokerage Survey
August 28, 2009

"BNY Mellon-Pershing is a combination ideally suited to the times"

—2009 Global Custodian Prime Brokerage Survey

Lockwood Separately Managed Accounts
October 19, 2009

Lockwood Separately Managed Accounts is designed to give you streamlined access to leading separate account managers offering a wide array of investment strategies. Our open-architecture environment allows you to select from a broad list of money managers, giving you a wide range of choice and flexibility in structuring client portfolios. Furthermore, our experienced analysts at Lockwood provide ongoing research and analysis on a subset of money managers, referred to as "covered" managers.
 
Lockwood Separately Managed Accounts gives you access to what we believe are cutting-edge services and support to help you grow your fee-based business, from our proposal and screening tools to consolidated performance reporting and billing and fee payment service.

Lockwood Asset Allocation Portfolios: Discretionary Mutual Fund/Exchange-Traded Fund Managed Accounts
October 19, 2009
In today's market environment, many financial advisors are seeking investment solutions that can serve as strategic, core components to their clients' portfolios and provide broad diversification while helping to manage risk. Launched in 2003, Lockwood Asset Allocation Portfolios provides multi-asset class portfolios—professionally managed using a highly disciplined and integrated approach—designed to help you provide your clients with a broadly diversified, competitive managed account offering at a relatively low investment minimum.
Lockwood Investment Strategies: Discretionary Unified Managed Accounts
October 19, 2009
Given market volatility, many advisors are reexamining the core investment strategies within their clients’ portfolios. In order to help ensure that these portfolios provide broad diversification and continue to meet the risk profiles of their clients, many advisors are leveraging professionally managed solutions.Launched in 2003, Lockwood Investment Strategies is designed to help simplify the complex process of investing in multi-asset class portfolios by combining strategically driven asset allocation, subadvisor and investment selection and portfolio construction expertise into a unified managed account structure.
Lockwood AdvisorFlex Portfolios™
October 19, 2009

Lockwood AdvisorFlex Portfolios (AdvisorFlex) is a flexible, managed account solution that combines investment research and model allocations with the investment review and operational expertise of Lockwood. AdvisorFlexgives financial advisors the freedom to select portfolios of mutual funds, exchange-traded funds (ETFs) and/or exchange-traded notes (ETNs) for clients-using either the suggested investments or by substituting alternate selections-both identified by Lockwood Advisors, Inc.

TalentConnect®
October 19, 2009
TalentConnect® is designed to help broker-dealers attract, retain, and develop top performers. Available exclusively to customers of Pershing LLC, this program offers comprehensive solutions that address every phase of an investment professionals life cycle, from recruitment and onboarding, to retention and succession planning. You can find practical resources, easy-to-implement tools, and strategic best practices all in one placeto help transform your firm into a magnet for attracting and retaining talent.
iNautix® Document Management—Next-Generation Imaging and Workflow Solutions
June 08, 2009
Conveniently manage all of your documents on one platform. iNautix Document Management allows you to capture, store, route, and retrieve financial documents from any custodian.
FundVest® Participating Fund Families
September 13, 2011
FundVest® is Pershing's no-transaction-fee platform, which provides access to nearly 5,000 mutual funds, managed by more than 230 highly regarded fund companies. This reference piece provides a list of participating FundVest fund families.
Fixed Income Trading—Access a World of Fixed Income Opportunities
June 08, 2009
Our dedicated team of experts, electronic trade execution and market making capabilities, and access to new issues can help you take your success to the next level. Pershing’s powerful suite of tools and resources can help you differentiate yourself from the competition.
Equities, Options and Foreign Exchange—Streamlined Solutions for Global Markets
June 08, 2009
The globalization of the equities and options markets has generated new opportunities—and new challenges. Long recognized as a market leader, Pershing provides solutions that can give you a competitive advantage today, as well as position you for the future. Our expertise in order execution and regulatory compliance, coupled with an in-depth knowledge of current issues and trends, can help you build your business and manage risk.
iNautix® Business Consulting—Experienced Specialists. Tailored Strategies and Solutions.
June 08, 2009
In today's competitive environment, financial services firms need to do everything possible to optimize operations and accelerate their growth. iNautix Business Consulting has the expertise you need to help maximize performance across your entire firm.
Wealth Management Solutions-Helping You Grow Your High-Net-Worth Business
June 08, 2009
Being able to offer your clients a full complement of wealth management solutions is critical to solidifying long-term relationships and potentially consolidating more of your clients' business with your firm. Leveraging the extensive experience and knowledge of our professionals, you can maximize the opportunities that wealthy clients present.
Getting the Most From Your Investments—Convenient Financing Options to Complement Your Investment Strategy
June 08, 2009
This brochure explains how clients can expand their purchasing power by leveraging the securities in their brokerage accounts through Pershing's Lending Solutions.
Your Business Without Limits™—Comprehensive Global Prime Brokerage Solutions
June 08, 2009
In this competitive global environment, you are determined to take your business further. Pershing Prime Services offers you a comprehensive, integrated suite of prime brokerage solutions, backed by an extraordinary level of dedicated, high-touch service.
Pershing Advisor Solutions ValueAlliance®-Industry-Leading Solutions. Preferred Pricing.
August 31, 2011
Pershing Advisor Solutions is dedicated to providing access to a broad range of third-party resources to meet your critical business needs. ValueAlliance® provides you with access to many of the industry's most powerful resources, including tools to help you drive growth, optimize human capital, and maximize operational efficiency.
RIA Complete Advisory Brochure for Broker-Dealers
June 08, 2009
Pershing's RIA Complete offers a comprehensive solution to help you retain and expand your share of business—whether fee- or commission-based.
FDIC-Insured Solutions in an Uncertain World
June 05, 2009
Cash management strategies have never been more important to a well constructed portfolio than they are today. Volatility in the stock and bond markets has created the need for a portfolio stabilizer. This need is even more acute for investors at the front edge of the demographic wave of retiring baby boomers, whose needs are shifting from the long-term accumulation of capital to the preservation of capital for retirement and other objectives.
RIA Solutions-A Broker-Dealer's Guide
April 14, 2009
Explore the full range of advisor options, including corporate RIA and independent business models, and discusses the pros and cons of each approach.
RIA Complete™—Advisory Solutions For Brokers-Dealers
April 14, 2009
Pershing's RIA Complete offers a comprehensive solution to help you retain and expand your share of business—whether fee- or commission-based—without limits.
Develop a Strategy to Grow Your Business
March 23, 2009
Learn practical approaches for generating referrals with step-by-step best practices, drawing on input from thousands of investors across the country, with our guidebook, An Independent Advisor's Guide to Creating a Client Referral Strategy.
Comprehensive Global Business Solutions for Financial Services Organizations
February 05, 2009
Pershing is the global solutions provider of choice for your business model, whether your focus is on individual or institutional clients, in the United States or abroad.
Pershing Corporate Overview
December 17, 2008
Pershing has a long history of powering the financial services industry and stands ready to help you build Your Business Without Limits™ . Pershing and its affiliates provide global financial business solutions to advisors, asset managers, broker-dealers, family offices, financial organizations, fund managers and registered investment advisory firms. We are uniquely positioned to provide global insights into industry trends, regulatory changes and best practices, as well as shifts in investor sentiment and expectations. Pershing provides solutions−including innovative programs and business consulting−that help create a competitive advantage for our clients.
NetExchange Client-Flexible Technology to Deliver Online Investment Services to Your Clients
July 15, 2010
NetExchange Client® enables your firm to offer your clients an online investment platform to access account information, place trades, and get quotes, news, and research to help them manage their finances.
Quality Scorecard
December 10, 2008
Our commitment to customer satisfaction means sharing tools and information as partners, making each investor experience a positive one. The most tangible evidence of our drive to service excellence is the Quality Scorecard.
NetExchange Services
December 10, 2008
NetExchange Services™ is the gateway to Pershing's open-architecture solution, offering real-time access to financial tools and information, via your firm's proprietary front-end, or third-party, software.
Training Services
December 10, 2008
Ensuring your firm has the knowledge and expertise to conduct business efficiently and effectively can be crucial to your success. Take advantage of our training services to receive personalized and turnkey solutions that empower you, your professionals, and your support staff to perform even better.
Pershing Prime Services
December 10, 2008
Pershing Prime Services offers you a comprehensive, integrated suite of prime brokerage solutions, backed with an extraordinary level of dedicated, high-touch service. Our principal trading desks focus solely on customer facilitation and we do not engage in proprietary trading, allowing us to offer an unconflicted approach to serving your business.
Pershing Advisor Solutions
December 10, 2008
Pershing Advisor Solutions LLC is dedicated to serving registered investment advisors. We bring undivided focus, a deep understanding of your business challenges, and proven thought and technology leadership to a rapidly changing industry.
iNautix (USA) LLC
December 10, 2008
Through iNautix, you have access to a company that combines financial experience and technology expertise to not only face the challenges posed by today's dynamic financial industry, but to excel ahead of your competitors.
Preferred Pricing on Industry-Leading Solutions
December 03, 2008
Armed with the knowledge of the challenges your firm faces, Pershing Advisor Solutions has leveraged its scale and buying power to access many of the industry's leading providers at beneficial terms in our ValueAlliance® program. Pershing Advisor Solutions works on your behalf to negotiate the best deals and the most relevant, competitively differentiated offers to meet your needs.
World-class financial services to support an evolving, global market
November 21, 2008
The breadth of our experience in clearing and settlement, billing, custody, and reporting services gives us an enormous advantage in tailoring our services to your needs.
ValueAlliance®
November 19, 2008
ValueAlliance® provides your firm with a network of best-of-class, third-party products and services offered at preferred rates—giving your business a competitive edge.
Trading Services: Tailored Solutions for Investment Advisors
August 01, 2008
The Pershing name has been synonymous with high quality execution for nearly 70 years.
A Paperless Solution for Advisors-Transform your Business with iNautix® Document Management
July 24, 2008
Archaic, paper-based filing systems are quickly becoming obsolete. As advisors look for document storage vehicles to minimize paper, they are finding that the next generation of document management systems can also help them become more efficient, improve client service, and reduce costs.
Control, Flexibility, and Faster Executions
May 29, 2008
Our proprietary rules-based compliance system, The Rules Engine™ is designed to improve the effectiveness of your compliance department. Operating through a link within our ComplianceView system, The Rules Engine addresses a variety of regulatory, credit, and business issues, and lets you set applicability standards according to your firm’s needs. Orders that don’t meet the parameters you set are routed to your firm for manual approval; orders that pass go directly for execution.
Streamlined Solutions for Global Markets
May 26, 2008
Our team of knowledgeable professionals, open-architecture approach to technology, and unrivaled service and support can help you meet the demands of global equities and options markets.

The globalization of equities and options markets has generated new opportunities—and new challenges that need to be overcome. Long recognized as a market leader, Pershing provides solutions that can give you a competitive advantage today, as well as position you for the future. Our expertise in order execution and regulatory compliance, coupled with an in-depth knowledge of current issues and trends, can help you build your business and manage risk. Whether you access Pershing through our NetExchange Pro® platform or a third-party order management system (OMS), our customized support, world-class service, and specialized desks can help you stay ahead of the curve.
Investors Wise Up to 130/30 Strategies
May 26, 2008
Read Institutional Investor's article on 130/30 strategies, including interviews with industry leaders at The Bank of New York Mellon and Pershing LLC, discussing recent market volatility and what it may mean for the future of your fund.
Do You Have Limited Marketing Resources?
May 26, 2008
Whatever your marketing challenge, Pershing has solutions.
Achieve Better Performance
May 22, 2008
Attend our personalized training sessions to understand how Pershing Advisor Solutions can help you grow your business without limits.
Customized Solutions for Your Business
May 22, 2008
Pershing Advisor Solutions provides a comprehensive range of institutional quality solutions to meet virtually every need combined with a uniquely consultative approach.
Learning Power
May 21, 2008
Firms rely on state-of-the-art technology and vast resources to deliver leading financial products and services—but in today's evolving business environment,that may not be enough. Competition is ever-present and the pace of change is fierce. Ensuring your firm has the knowledge and expertise to conduct business efficiently and effectively can be crucial to your success. Proficiency in key areas—including technology, policies, and procedures—and the ability to leverage best practices can help you stay ahead of your competitors and grow your business without limits.
Total Access to the Fixed Income Markets
May 21, 2008
Our extensive fixed income capabilities can help you meet the rapidly rising demand for fixed income.
Measuring How Well We Support You
May 21, 2008
Our firm-wide service excellence program aims to improve and enhance your experience.
Preferred Pricing on Industry-Leading Solutions
May 21, 2008
Armed with the knowledge of the challenges your firm faces, Pershing has leveraged its scale and buying power to access many of the industry's leading providers at beneficial terms in our ValueAlliance® program.
Let Your Business Thrive
May 20, 2008
Cultivate a relationship that provides you with the service quality your business demands.
Access to the Most Important Desks
May 20, 2008
Pershing Advisor Solutions has the global trading power to meet the needs of your clients.
Customized Technologies to Support Your Business
May 20, 2008
Pershing Advisor Solutions creates customizable solutions for your technology challenges to keep you ahead of the competition. Learn more about Pershing Advisor Solutions.
Make the Transition to Independence
May 20, 2008
We are dedicated to helping you make a rapid and informed career transition. An Advisor's Guide to Establishing an Independent Practice helps you understand the process and answers your questions about starting your own business.
The Best-Kept Secrets of High-Performing Teams
May 20, 2008
Explore the seven key behaviors behind successful teams, and gain insight into the leading factors driving employee commitment and satisfaction.
Chart the Right Course
May 20, 2008
Pershing Advisor Solutions has the resources and knowledge to make your business more efficient and easier to manage.
Seamlessly Trade Online
May 20, 2008
Access a live and executable inventory of more than 25,000 bonds from more than 90 fixed income dealers through BondCentral®, our online fixed income trading platform.
Build Your Business With Highly Scalable Solutions
May 20, 2008
Gain unparalleled support for all your separately managed accounts with our open-architecture Managed Account Direct™ platform.
Leverage Support that Goes the Distance
May 20, 2008
Pershing Advisor Solutions provides the practice management support that can help you grow your business without limits.
Peak Investment Solutions for Your Clients
May 20, 2008
Pershing Advisor Solutions offers a broad range of customized investment solutions for your business.
Integrated Solutions for Short-Enabled Fund Managers
May 21, 2008
The Bank of New York Mellon's asset servicing, administration, and collateral management groups, combined with Pershing Prime Services, provides an integrated platform that brings together all the servicing and financing functions needed to manage eligible 130/30 funds.
When the Unexpected Happens

At Pershing, contingency planning is all about delivering continuous, reliable service to our customers while maintaining strict regulatory compliance.

 

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