Fact Sheets

Lockwood Advisors Inc. Overview
October 28, 2014
Through Lockwood Advisors, Inc. (Lockwood), you have the ability to leverage the depth and expertise of portfolio management and research teams, backed by the strength, stability and global insights of The Bank of New York Mellon Corporation (BNY Mellon) and BNY Mellon Wealth Management.
Pershing Facts and Figures - At a Glance
June 27, 2014
Pershing LLC is a leading global provider of financial business solutions committed to delivering dependable operational support, robust trading services, flexible technology, an expansive array of investment solutions, practice management support and service excellence. Pershing is a member of every major U.S. securities exchange, and its international affiliates are members of the Australian Stock Exchange, Deutsche Borse, Irish Stock Exchange, the London Stock Exchange and the Toronto Stock Exchange. Pershing LLC is a BNY Mellon company.
NetX360 Resources: Marketing Center
May 29, 2014
Learn more about Marketing Center, a comprehensive suite of marketing content and tools to assist firms and advisors throughout the marketing lifecycle.
The New Model Custodian℠ for Independent Registered Investment Advisors
May 23, 2014

At Pershing Advisor Solutions, our mission is to help advisory firms efficiently manage their business and excel at serving their sophisticated, high-net-worth and ultra high-net-worth clients. As the New Model Custodian℠ , we have rebuilt our business from the ground up and introduced a new blueprint for how advisors are served. We help investment managers, wealth managers and family offices thrive in today's dramatically changed industry environment.

SIMPLE IRA Investor Fact Sheet
January 28, 2014

This fact sheet for the SIMPLE retirement plan participant outlines the key features and benefits of a Savings Incentive Match Plan for Employees (SIMPLE) Individual Retirement Account (IRA), including how it works, current contribution limits and distribution requirements.

SEP-IRA-Investor-Fact-Sheet
January 28, 2014

This fact sheet for the SEP retirement plan participant outlines the key features and benefits of a Simplified Employee Pension (SEP) Individual Retirement Account (IRA), including how it works, current contribution limits and distribution requirements

Employer Sponsored Retirement Plans Maximum Contribution and Benefit Limits 2010-2014
November 29, 2013
The Internal Revenue Service (IRS) has announced retirement plan contribution, compensation and benefit limits for 2014. To help your retirement plan sponsors promote the importance of increased limits in enhancing the value of their retirement programs, this summary contains both new and prior limits.
401(k) Plans Investor Fact Sheet
October 18, 2013
Offering retirement benefits is critical to attracting—and retaining—talented employees. When advisors like you help businesses successfully design and implement an effective plan, you help them reduce costs of employee turnover, enjoy tax benefits, gain potential tax credits and more. A 401(k) retirement plan offers employees immediate tax savings on contributions, tax-deferral on any investment earnings and optional contributions to the plan by the employer.

The Full-Featured Employer-Sponsored Plans Fact Sheet
401(k) Plans Investor Fact Sheet 

Profit Sharing Plans Investor Fact Sheet
October 18, 2013
Offering retirement benefits is critical to attracting—and retaining—talented employees. When advisors like you help businesses successfully design and implement an effective plan, you help them reduce costs of employee turnover, enjoy tax benefits, gain potential tax credits and more. A profit sharing retirement plan features employer contributions and tax-deferral on any investment earnings, as well as emergency access through in-service loans and withdrawals.

The Full-Featured Employer-Sponsored Plans Fact Sheet
Profit Sharing Plans Investor Fact Sheet 

403(b)(7) Custodial Accounts
October 18, 2013
For employees of educational, nonprofit and 501(c)(3) organizations, being able to save and invest for retirement is a critical benefit. Offering 403(b)(7) custodial accounts provides the opportunity to broaden your client base and create a steady flow of new assets.
Money Purchase Pension Plans Investor Fact Sheet
October 18, 2013
Offering retirement benefits is critical to attracting—and retaining—talented employees. When advisors like you help businesses successfully design and implement an effective plan, you help them reduce costs of employee turnover, enjoy tax benefits, gain potential tax credits and more. A money purchase pensions plan features mandatory annual employer contributions in the form of a percentage of compensation and can allow emergency access.

The Full-Featured Employer-Sponsored Plans Fact Sheet
Money Purchase Pension Plans Investor fact sheet 

PrimeConnect and PrimeConnect40
October 17, 2013

Pershing's cutting-edge technology automates the process of moving collateral between Pershing Prime Services and BNY Mellon. We offer two powerful online collateral management tools available exclusively through our NetX360® platform.

Asset Manager Assessment Solution - A Component of Albridge Analytics
October 01, 2013

The Asset Manager Assessment Solution enables management teams to assign, delegate and monitor asset manager relationships and helps asset managers fulfill the obligations of your firm. Albridge Analytics offers two solutions: Subadvisor Certification and Investment Manager Assessment.

Subadvisor Certification

Albridge Analytics Subadvisor Certification offers a comprehensive solution so fund management companies can certify and monitor subadvisory relationships. Subadvisor Certification will enable you to scan the universe of attractive emerging managers, invite their certification, and follow their results with more clarity.

Subadvisor Certification Fact Sheet

Investment Manager Assessment

The solution enables you to create turnkey, sophisticated oversight reporting packages, reducing time spent pulling data from disparate sources. The data your firm requires for investment managers to help meet internal, fiduciary and regulatory standards is efficiently organized with this solution.

Investment Manager Assessment Fact Sheet

Distribution Management System - A Component of Albridge Analytics
October 01, 2013
The Distribution Management System from Albridge Analytics provides access to data and analytical tools, so your entire organization can seamlessly know where it stands, access options, and execute with confidence in today’s competitive landscape. A solution that is easy to setup, easy to learn, requires no IT resources and works the way you want, seamlessly with common productive programs. It also give you access to accurate data that helps benchmark your strength against industry leaders, showing you where and how to overcome your competitors.

Distribution Management System Fact Sheet

Groundbreaking Solutions For Alternative '40 Act Funds
October 01, 2013
Whether you are looking to expedite time to market, maximize efficiency or streamline due diligence, you can turn to BNY Mellon and Pershing Prime Services for a unique 40 Act funds solution that combines prime brokerage, custody, and distribution in one integrated platform.
Removing the Barriers to the Brokerage Platform
September 05, 2013

Pershing has been engaged in an asset growth initiative with Money Concepts Capital Corp. (Money Concepts) for over three years. Money Concepts prides itself on offering holistic wealth management through a family office model. As a result of regulatory reform and a desire to be more efficient, Money Concepts underwent an initiative to migrate business to Pershing’s brokerage platform. This case study details the success of the asset growth initiative through an in-depth question and answer session with Mario Monteiro, Money Concepts' Chief Operations Officer/Chief Information Officer.

529 College Savings Plans Frequently Asked Questions
June 21, 2013
This piece provides answers to the questions advisors may ask regarding the college savings opportunity, 529 college savings plans and the 529 plan brokerage platform.
Mutual Fund Only Option for IRAs
May 03, 2013
Pershing's Mutual Fund Only IRA is ideal for your clients who invest primarily in mutual funds. It is available for Traditional and Roth IRAs for which Pershing serves as custodian and is competitively priced with reduced annual maintenance fees. A Mutual Fund Only IRA may provide an attractively priced rollover option for your clients with 401(k)s at former employers or IRAs at mutual fund companies or other firms.
Pershing Managed Investment Solutions
May 03, 2013
Whether you are an established financial institution seeking to add to your existing managed account program or a new firm that wants to expand into the fee-based marketplace, Pershing and our affiliate Lockwood Advisors, Inc.1 have solutions designed to fit your unique situation. We offer customizable, comprehensive fee-based solutions that can help you gain greater client wallet share, improve client retention and create a more productive and efficient business model—and help make your organization highly competitive in attracting and retaining premier advisors.

1 Investment advisory services are offered through Lockwood Advisors, Inc., an affiliate of Pershing. Lockwood Advisors, Inc. (Lockwood) is an investment advisor registered in the United States under the Investment Advisers Act of 1940, an affiliate of Pershing LLC and a subsidiary of The Bank of New York Mellon Corporation (BNY Mellon).

Pershing In Brief
April 05, 2013
Pershing is a leading global provider of financial business solutions to more than 1,500 institutional and retail financial organizations and independent registered investment advisors who represent approximately 5.5 million active investor accounts.
PrimeConnect™ and PrimeConnect40™
November 16, 2012

Manage collateral online with groundbreaking new technologies from Pershing Prime Services—PrimeConnectTM and PrimeConnect40TM. Customized for both hedge funds and ‘40 Act funds, these systems automate the process of moving collateral between the custodian and prime broker to help mitigate risk and boost operational efficiency.

PrimeConnect and PrimeConnect40 represent more market-leading innovations from Pershing Prime Services— the New Model Prime Broker.

Pershing Prime Services - The New Model Prime Broker
November 16, 2012

Looking for a new model for success? Then look to Pershing Prime Services. Owned by one of the strongest financial institutions in the world, BNY Mellon, we offer exceptional counterparty strength and an award-winning tri-party solution. Our interests align with yours, because we have no competing channels to distract us, and our principal trading desks focus on customer facilitation. We also deliver the transparency that you and your investors demand, with real-time reporting tools and our securities lending capabilities.

Ask us about our scalable support primed to help your firm at every stage of growth.

CreditAdvance® Fact Sheet
September 07, 2012
CreditAdvance is a margin loan that enhances a client's investment resources by leveraging marginable securities held in brokerage accounts.
Fully Paid Securities Lending Fact Sheet
September 07, 2012
Fully Paid Securities Lending is a program that allows eligible affluent investors to lend their fully paid-for, hard-to-borrow securities held in their brokerage cash accounts to Pershing.
529 College Savings Plans
June 04, 2012
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.

Download 529 College Savings Plan Fact Sheet - 274.34 KB

Subscribe Fact Sheet
May 31, 2012
Subscribe® enables you to electronically submit annuity transactions and streamline how you process, service and maintain fixed, variable and indexed annuities. Download this fact sheet to learn more.
FundCenter
May 23, 2012
The FundCenter® platform houses one of the most comprehensive selections of mutual funds in the industry. This fact sheet summarizes its key elements.
Full-Featured Employer Sponsored Plan
April 09, 2012
Business owners looking for greater flexibility in plan design may want to consider plans that allow for more customization. Financial professionals who offer full-featured employer-sponsored plans can help employers reduce employee turnover, gain tax benefits and potential tax credits, and much more.
403(b)(7) Custodial Account
April 09, 2012
For employees of educational, nonprofit and 501(c)(3) organizations, being able to save and invest for retirement is a critical benefit. When advisors like you help these employees save and invest for their retirement, you can forge stronger relationships and a steady flow of new assets through the employer-sponsored plan accounts.
Rollover IRA
April 03, 2012
When clients change or leave a job, they are often unsure of what to do with their retirement assets and, without guidance, may choose to do nothing at all. Although leaving assets with former employers' plans still has benefits that should be considered, such as creditor protection, rolling the assets over to an Individual Retirement Account (IRA) may offer clients advantages by providing a consolidated view—and maximum control—of retirement assets.
Stretch IRA Plan
April 03, 2012
Clients with significant assets need smart strategies for transferring their wealth in a tax-efficient manner. Using a "stretch" Individual Retirement Account (IRA) can enable IRA assets to continue growing federal income tax-deferred—for generations.
SIMPLE IRA Plans
April 03, 2012
For small businesses, offering retirement benefits is critical to attracting—and retaining—talented employees. When advisors like you help small business owners successfully design and implement an effective plan, you help them reduce costs of employee turnover, enjoy tax benefits, gain potential tax credits and more.
SEP IRA Plans
April 03, 2012
For small businesses, offering retirement benefits is critical to attracting—and retaining—talented employees. When advisors like you help small business owners successfully design and implement an effective plan, you help them reduce costs of employee turnover, enjoy tax benefits, gain potential tax credits and more.
SMA Asset Manager Outsourcing
April 02, 2012
The Separately Managed Account (SMA) business can be complex and operationally intensive. SMA managers are often challenged to deliver sophisticated investment solutions to meet expanding client demand for highly customized investment strategies. Lockwood Solutions, Inc. (Lockwood), a leading provider of SMA asset manager outsourcing support, provides solutions designed to help established firms—or those looking to enter the business—to minimize distractions, so you can spend more time on your most important priorities.
Custom Enterprise Managed Investments Platform Solutions
April 02, 2012
Pershing LLC and its affiliates, Lockwood Advisors, Inc.1 and Lockwood Solutions, Inc., represent the largest and one of the most comprehensive providers of custom enterprise solutions in the managed investments marketplace. We are focused on delivering world-class, managed investment technology solutions, investment advisory services and Separately Managed Account (SMA) manager outsourcing servicess.

1 Investment advisory services are offered through Lockwood Advisors, Inc., an affiliate of Pershing. Lockwood Advisors, Inc. (Lockwood) is an investment advisor registered in the United States under the Investment Advisers Act of 1940, an affiliate of Pershing LLC and a subsidiary of The Bank of New York Mellon Corporation (BNY Mellon).

Traditional and Roth IRA
March 29, 2012
Individual Retirement Accounts (IRAs) are key building blocks for many individual investors' future retirement success—and they can also be critical to the future success of your financial practice.
Individual 401(k) Plan
March 15, 2012
The Individual 401(k) is an employer-sponsored plan that offers business owners, regardless of business structure, the advantages of a full-featured 401(k) without the complex administrative responsibilities. These plans are intended to cover the business owner and, as applicable, his or her spouse if employed by the business.
Myths and Realities of Mutual Fund Consolidation
February 21, 2012
There are many "myths" regarding moving directly held mutual fund positions to the brokerage platform. With this document, we dispel some of those myths and provide the reality of each misconception.
Individual Retirement Account (IRA) Contribution and Deduction Limits 2014-2015
February 01, 2012
This reference document, which can be used with clients, summarizes both the 2015 and 2014 contribution limits and income and deduction phase outs.
Employer Sponsored Retirement Plans Maximum Contribution and Benefit Limits 2008-2012
December 09, 2011
The Internal Revenue Service (IRS) has announced increased retirement plan contribution, compensation and benefit limits for 2012. To help your retirement plan sponsors promote the importance of increased limits in enhancing the value of their retirement programs, this summary contains both new and prior limits.
Regulatory Updates: New ERISA Fee and Expense Disclosures
December 09, 2011
In the past several years, the Department of Labor (DOL) has issued a series of new regulations that require additional disclosures of fees and expenses by retirement plan sponsors and providers. The following regulatory updates are designed to make you aware of these new rules. Your plan sponsor clients should also consult with their legal advisors.
Employer Sponsored Retirement Plans Maximum Contribution and Benefit Limits 2009-2013
December 09, 2011
The Internal Revenue Service (IRS) has announced increased retirement plan contribution, compensation and benefit limits for 2013. To help your retirement plan sponsors promote the importance of increased limits in enhancing the value of their retirement programs, this summary contains both new and prior limits.
Fundvest® - Benefits of Pershing's No-Transaction-Fee Mutual Fund Platform
November 29, 2011
Learn more about the benefits of FundVest®, Pershing's no-transaction-fee mutual fund platform. FundVest provides access to nearly 5,000 no-transaction-fee mutual funds from more than 230 fund families.
Key Dates for Qualified and Other Employer-Sponsored Retirement Plans
September 19, 2011
When providing guidance to your clients about retirement plans, it is important to be aware of the responsibilities and critical dates associated with various plan types. The following provides a summary of key dates for establishing, funding and administering qualified and other employer-sponsored retirement plans.
Tax and Year-End Statement
August 18, 2011
Making sense of your clients finances just got simpler—thanks to this consolidated tax and year-end statement. Information now at your fingertips includes Tax Statement (Form 1099) and Asset Management Account Activity, such as checking, debit card and electronic transactions. Contact your Relationship Manager for more information.
Individual 401(k) Plan
June 21, 2011
An Individual 401(k) is a 401(k) for the business owner with no employees other than a working spouse. These advisor and investor fact sheets contain key plan features and benefits.
Corestone Account™ Overview
June 02, 2011
Introducing Corestone Account, an enhanced asset management account with exciting features and benefits.
Fixed Income Portfolio Solutions Presentation
June 02, 2011
Pershing's Fixed Income Portfolio Solutions--Sophisticated Analytics to Help Manage Your Clients Fixed Income Portfolios.
Pershing Fixed Income Trading
June 02, 2011
Our highly trained Fixed Income Trading professionals are committed to understanding your business, enhancing your ability to find appropriate products for your clients and providing dedicated coverage for your firm.
List of Practice Management Resource Available on NetX360
June 02, 2011
List of Practice Management Resource Available on NetX360
Global Margin Overview
June 02, 2011
New Global Margin Capability Helps You Better Serve Non-U.S. Dollar-Focused Clients
Subscribe Carrier Listing
June 01, 2011
Subscribe offers a seamless interface with many of the country's leading insurance companies.
Driving e-Delivery Adoption Best Practices
May 24, 2011
This piece details some effective e-delivery promotion methods developed by your industry peers. This information may help you in your efforts to increase your adoption rates.
e-Delivery via NetExchange Client
May 24, 2011
Conservation of resources has become an important initiative for individuals and institutions across the globe. As more and more customers look to go paperless, the financial industry is responding with enthusiasm.
IRA Selector
April 28, 2011

Individual Retirement Accounts (IRAs) should be an essential part of virtually any client's retirement and wealth management strategy. This client-approved piece serves as a guide for helping clients determine which type of IRA is best suited to their needs.

Prospecting Small Business Retirement Plans
April 27, 2011
This piece is designed to help financial professionals approach small business owners and find the right prospects for building a successful retirement plan business.
Rollover IRA Statement Insert
April 27, 2011
Remind your clients about the benefits of rollover IRAs with this statement insert. Your financial organization can include these in client statements. You can also order copies through the Material Catalog in NetX360™ to use as handouts or for client mailings.
Client Profile Sheet for Retirement
March 30, 2011

Use this client profile sheet to help you gather information about your clients' retirement assets at their current and former employers and IRAs at other firms to identify rollover and consolidation opportunities.

Mutual Fund Only IRA Statement Inserts
April 27, 2011

Mutual Fund Only IRAs are an attractively priced option for your clients who invest primarily in mutual funds. Your financial organization can include these inserts in client statements. You can also order copies through the Material Catalog in NetX360™ to use as handouts or for client mailings.

Albridge Risk Reporting
October 07, 2010
Albridge's Risk Reporting provides comprehensive functionality to easily calculate, analyze and report on historic personal risk on a portfolio, manager and account level to make more informed investment decisions ensuring that clients are receiving an acceptable level of return relative to their risk tolerance.
Albridge Replicated Data
October 07, 2010
Albridge Replicated Data provides, financial institutions with a secure, reliable and cost effective solution for consolidating, normalizing, cleansing and storing transaction and position information by gathering data from hundreds of direct date feeds from multiple back office and legacy systems.
Albridge Data Service
October 07, 2010
Albridge Data Service: Albridge Data Service takes data quality to the next level by performing enhanced analysis on client-defined accounts to check transactions, prices, asset, account and investor information, as well as verifying rate of return reports.
Albridge Data Aggregation
October 07, 2010
Albridge Data Aggregation gives advisors access to their clients' held-away banking, brokerage, trust, 401K and pension assets to give them a more complete view of their true financial positions., powered by CashEdge.
Albridge Tax Lot Reporting
October 07, 2010
Albridge Tax Lot reports, provide detailed breakdowns of realized and unrealized gains and losses by holding periods and by specific tax lots to help advisors incorporate potential tax implications into their decision making process.
Albridge Wealth Reporting
October 07, 2010
Albridge Wealth Reporting considered the industry's most scalable and reliable wealth reporting solution, is a portfolio management system integrating portfolio accounting and performance reporting from hundreds of disparate sources to deliver an accurate, single view of all of your clients' assets.
Mutual Fund Consolidation FAQs
September 30, 2010
Consolidating mutual fund assets through a brokerage platform at Pershing provides investment professionals with distinct advantages, including access to new resources, tools and products, enabling improved efficiency, greater ability to gather assets and enhanced customer service. Read the Mutual Fund Consolidation Frequently Asked Questions for Investment Professionals to learn more.
Prospecting and Cultivating Employer Plan Opportunities
June 08, 2010
This one-page highlight sheet focuses on easy to set-up and administer Simplified Employee Pension Individual Retirement Account (SEP IRA) and Individual 401(k)s. These are the fastest growing new retirement plans for small businesses (those with 10 employees or fewer).
Overcoming Common Objections to Establishing a Retirement Plan
June 08, 2010

The following outlines the most common objections of the over 70% of small businesses that do not have a retirement plan, along with tips for overcoming the objections.

Benefits of Establishing a Small Business Retirement Plan
June 08, 2010
Retirement plans allow employers and employees to save and invest for their retirement now with the goal of having financial security when they retire. As an added bonus, both employers and employees can take advantage of significant tax advantages and other incentives. This sheet outlines the benefits to both employers and employees and how Pershing can help.
Professional Development Series
June 07, 2010
Pershing is committed to a consultative partnership and helping investment professionals succeed in today's challenging economic times. Our Professional Development Series-a comprehensive suite of tools and resources-features seminars and webcasts on current topics, as well as guidebooks and marketing resources to help you build your business. As an added benefit, continuing education credits will be available for selected events.
Small Business Retirement Plan: Contribution and Social Security Reference Guide
June 07, 2010

One of the most important services you can provide to your small business owner clients is to help them select the right retirement plan. The plan should be right for the owner, the business and the employees. There are many choices of types of plans, each with different plan features, and each with different legal obligations and costs.

myedocumentsuite.com™ Enrollment Overview
June 07, 2010
As your clients register on myedocumentsuite.com and enroll to receive account communications electronically, this overview will help you further understand each step of the enrollment process and be prepared to answer questions your clients may have.
Sample Follow-Up E-Mail to Retirement Planning Clients
June 07, 2010

To help you stay connected with your clients.

Mutual Fund Consolidation: A Before and After Comparison
May 27, 2010
Moving to a consolidated mutual fund platform provides many valuable benefits. The comparison below will help you understand how your business processes will improve after you make the break from direct mutual fund business.
Mutual Fund Consolidation: A Before and After Comparison for Investment Professionals
May 27, 2010
Moving to a consolidated mutual fund platform provides many valuable benefits. The comparison below will help you understand how your business processes will improve after you make the break from direct mutual fund business.
Increase Efficiency with iNautix® Compensation Management Solutions
October 21, 2009
An advisor compensation system can be like a jigsaw puzzle—and iNautix® can help make the pieces fit. iNautix can assist you in putting together a system to help you track payouts and sales, and produce accurate reporting for benchmarking, revenue projections and more. In these challenging economic times, you can’t afford to make mistakes with a single piece.
Building Solutions for Your Alternative Investment Needs
October 20, 2009
Alternative investments are becoming an increasingly important tool in wealth management strategies. Pershing LLC understands that access to a wide range of alternative investments, and the tools to administer them, are essential to our customers. This is one reason we remain committed to providing solutions that enable your firm to compete effectively in the marketplace, as well as meet the needs of your clients.
Managed Account Network™ Program Providers
October 19, 2009
Managed Account Network™ Program enables you to offer managed account solutions from industry-recognized asset management program providers and hold the assets in custody at Pershing.
Lockwood Advisors, Inc. Turnkey Solutions
July 14, 2009

In today's world of heightened scrutiny, rapid product creation and more complex investment strategies, we are identifying more and more advisors who are looking to form partnerships to help them outsource various components of the portfolio construction process. Lockwood's depth and breadth of solutions are designed to enable advisors to outsource various parts of the investment process, and therefore give them more time to spend with clients and prospects.

Make a Powerful Choice—Go Paperless
June 08, 2009
This overview shows you tools that you can use to create a "Go Paperless" program. Pershing makes it easy for your clients to choose electronic delivery of account statements and trade confirmations, whether through NetX360™ or our self-service website, myedocumentsuite.com.
Take Advantage of Ready-to-Use Client Brochures
June 08, 2009
To help you communicate the features and benefits of Pershing's products and services to your clients, we have developed a suite of client brochures around some of our most widely used business solutions. This piece shows the materials available and how to order them.
Learn More About Pershing's Professional Development Series
June 08, 2009
Pershing is committed to a consultative partnership and helping investment professionals succeed in today’s challenging economic times. Our Professional Development Series, a comprehensive suite of tools and resources, features seminars and web casts on current topics as well as guidebooks and marketing resources to help you build your business.
Managed Account Solutions
June 08, 2009

Pershing Managed Account Solutions provides access to a comprehensive suite of fee-based advisory solutions. We take a highly consultative approach to help you determine the products, program and service offering that best fit your business needs. You may choose a pure, open-architecture environment or more packaged, turnkey solutions offered through our affiliate, Lockwood Advisors, Inc., or through a network of turnkey asset management providers available in Managed Account Network™. Regardless of the approach you select, you will have access to multiple managed account solutions through a single, integrated platform, with a consistent client experience throughout the entire process. This document provides an overview of the services provided by Pershing Managed Account Solutions.

Pershing ValueAlliance® Providers
June 08, 2009

Pershing's ValueAlliance program features preferred rates and access to an extensive network of the industry's leading business solution providers.

Actimize Suite of Compliance Tools Available
June 08, 2009
Remaining fully compliant with complex financial services industry rules and regulations is vital to the long-term success of your firm. In order to 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.
Training Tools via NetX360™
June 08, 2009
Pershing's wide, ever-expanding range of training solutions offers the educational flexibility and expertise you need to conduct business with maximum efficiency and effectiveness. Customized solutions focus on your firm’s specific preferences, giving you the opportunity to incorporate targeted training into your curriculum.
Pershing Advisor Solutions ValueAlliance® Providers
June 08, 2009
Pershing is dedicated to providing access to a broad range of third-party resources to meet your critical business needs. This overview provides a list of ValueAlliance® Providers.
Asset Consolidation—A Win-Win-Win Proposition
June 08, 2009
Find out how consolidating assets through a modern brokerage platform provides distinct advantages that can help you simplify your day-to-day activities, freeing up the time you need to continue to grow your business.
Actimize Case Manager
December 11, 2008

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.

Product Consulting Services
December 11, 2008
Our product consulting services can help your firm achieve its business goals through a jointly created, customized strategy that creates awareness and drives adoption and utilization of your investment solutions.
Streamline Brokerage Activities
May 26, 2008
Pershing is committed to providing you with flexible technology solutions to meet all your business needs.
Streamline Brokerage Activities
May 26, 2008
Pershing is committed to providing you with flexible technology solutions to meet all your business needs.
Seamlessly Trade Online
May 26, 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.
Actively Manage Fixed Income Portfolios
May 26, 2008
In today's complex and ever-changing fixed income markets, Fixed Income Portfolio Solutions can help you stay on top of changes in your clients' portfolios.
Helping You Be More Efficient
May 26, 2008
For financial organizations that offer managed accounts, our Client Billing Support (CBS) system lets you create an unlimited number of fee schedules that can be customized at the firm, office, account, or investment professional level.
Pershing Prime Services
May 23, 2008
For more than seven decades, Pershing has delivered superior trading services, flexible technology, reliable operational support, and forward-thinking investment solutions to the world’s best and most demanding financial organizations and investment advisors. With unmatched dedication and expertise, we offer an integrated suite of prime brokerage solutions to hedge fund managers, financial organizations, investment professionals, and registered investment advisors to meet your needs every step of the way.
Custom Enterprise Managed Investments Platform Solutions
April 02, 2012
Whether you are an established financial institution seeking to add to your existing managed investment program or a new firm that wants to expand into the fee-based marketplace, Pershing and our affiliate Lockwood Advisors, Inc. have solutions designed to fit your unique situation. We offer customizable, comprehensive fee-based solutions that can help you gain greater client wallet share, improve client retention and create a more productive and efficient business model—and help make your organization highly competitive in attracting and retaining premier investment professionals.
Pershing's Cost Basis Frequently Asked Questions

This Cost Basis FAQ document should help your firm understand cost basis reporting requirements.
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