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Whitepapers

What Do Top Advisors Say and What Do Investors Really Think?
August 26, 2014

A data-driven perspective on unique value propositions—the clear statements that explain what sets an advisory firm apart.

Illuminating the New World of Alternative Investments
August 19, 2014

Today, alternative investments are making their way into mainstream investing, whether as non-publicly traded alternative investments or their more liquid counterparts.

Help Clients Avoid IRA Rollover Tax Trouble
August 08, 2014

The consequences to clients of ignoring the Bobrow interpretation could be devastating and irreversible.

The Second Annual Study of Advisory Success: A New Age of Client Communications and Client Expectations
June 05, 2014

Study of Advisory Success defines what success means for advisors in today’s environment and highlights the most salient issues facing advisors. Pershing’s inaugural study found that the most successful advisors anticipate what will lead the next generation of advisors. This year’s study finds that successful advisors adapt to client communications and client expectations.

To Roth or Not to Roth? That is the Question
May 06, 2014

Changes in recent years to the U.S. tax code not only broaden the appeal of Roth IRAs to high-net-worth investors, they also enable advisors to reach out to their clients and prospects with a potentially appealing wealth transfer strategy.

30 in 30: How Advisors Can Capitalize on a $30 Trillion Wealth Transfer Over the Next 30 Years
April 28, 2014

A revealing research study on the money already in motion across generations, highlighting the risks—and opportunities—facing advisors as wealth passes to clients’ spouses and children

What We Learned on the Road to Launching an Alternative Mutual Fund
February 27, 2014

Hedge fund managers and mutual fund companies are eager to bring alternative strategies into the mutual fund space. Is this trend really in the best interests of managers and investors? Which strategies are the best candidates for making the jump? What pitfalls lurk along the way?

Americans Crave a New Kind of Leader - And Women Are Ready to Deliver
February 25, 2014

Changing ideas about women and leadership-and why they matter to financial businesses like yours.

Americans Crave a New Kind of Leader - And Women Are Ready to Deliver
February 25, 2014

Changing ideas about women and leadership-and why they matter to financial businesses like yours.

Closing the e-Delivery Gap: The 2013 e-Delivery Survey
February 03, 2014

Changing the traditional paper-based behaviors of advisors and investors remains a challenge. Discover useful, actionable data and analysis to increase e-delivery adoption.

Broker-Dealer of the Future II, Transformation Two: Foster Organic Growth of Existing Relationships
January 28, 2014

Most broker-dealers devote their attention and budget to acquiring new talent. Yet the ROI for organic growth may be six times higher. Is it time to rearrange priorities and try to get more out of existing relationships?

Investor Trends in Technology
December 16, 2013

This paper looks at the attitudes of several key demographics of investors towards technology, and explores how advisors can make the right choices to serve those key demographics.

Dreaming of a Way to Improve Annuity Compliance?
December 10, 2013

Created for chief compliance officers to share with their senior executives and annuity operations contacts regarding the compliance advantages of an electronic annuity order entry system.

Broker-Dealer of the Future II, Transformation One: Identify Ways Your Firm Can Avoid Commoditization
November 05, 2013

Learn to use all the levers at your disposal to create a richer value proposition to advisors--targeting the specific drivers that advisors say really motivate recruitment and retention.

Pursuing Rollovers in an Evolving Regulatory Landscape
October 29, 2013

Pershing and Fred Reish provide advisors with a map to help navigate the evolving regulatory landscape pertaining to rollovers.

Knowing Your Investor: A Manager's Guide to How and Why Institutional Investors Access the Alternatives Market
October 21, 2013
Institutional investors allocate capital across a variety of asset classes, including equities, fixed income, private equity, real estate, hedge funds and real assets. Allocations to each asset class bucket are based on risk/return objectives, liquidity profiles and other restrictions (mandates) set by the investor or their client(s). Each investor has particular mandates.
ReGENeration: How Gen Y Could Revitalize the Industry--and Bring New Life to Your Firm
September 17, 2013

What firms must do today to recruit tomorrow's talent.

Real Deals Update: RIA Mergers and Acquisitions in 2013
August 19, 2013

What is happening with RIA mergers and acquisitions this year? Find out by downloading the mid-year update to Pershing Advisor Solutions’ Real Deals Trend Report: The Powerful Potential of the RIA-to-RIA Deal. It reveals the most recent data on RIA merger and acquisition activity in the first half of 2013.

Mobile Applications in Financial Services: Opportunities and Pitfalls
June 10, 2013

Mobile computing options have grown exponentially over the past few years, creating new opportunities for deeper advisor/client relationships. However, mobile computing offers hurdles to overcome as well. This paper addresses the trends driving the mobile revolution in investment and wealth management and best practices for success.

Investor of the Future: The Quest for Tomorrow's Affluent Clients Starts Today
June 04, 2013

A look ahead at the new face of wealth--and ideas for engaging the investor of the future today.

An Integrated Plan for Publishing Online Content
May 06, 2013

Publishing content online consistently helps drive traffic to your website. More importantly, using the various communication channels, within a broad marketing strategy, extends the reach of the content and targets the intended audience.

The 30% Solution: Growing Your Business by Winning and Keeping Women Advisors
March 08, 2013

A handful of elite financial services firms have begun to edge ahead of their peers with new programs to enhance the role of women advisors, offering practical steps for any business.

Real Deals Trend Report: The Powerful Potential of the RIA to RIA Deal
March 07, 2013

Strategic advice and key considerations to help advisors achieve synergies and create competitive advantages through RIA to RIA transactions.

The Study of Advisory Success: An Independent Study for Investment Professionals
February 05, 2013

Are you doing as well as your peers? How does your success compare to theirs?

A Guide to Succession Planning for Registered Representatives
December 14, 2012

This guidebook provides Registered Representatives (RRs) with an overview of the material elements and strategies in constructing and executing a seamless succession plan.

Effective Sales Supervision and Compliance
August 30, 2012

Broker-dealers face an increasingly challenging regulatory environment, especially as it relates to sales supervision. Yet, many firms do not have adequate supervisory technologies. As a result, they expose themselves to significant risk of regulatory action.

Elections and Economies: The Limits of Power in the Age of Deleveraging
June 27, 2012

Elections and Economies: The Limits of Power in the Age of Deleveraging, examines the potential impact upcoming global elections may have on markets and fiscal policy. Authored by senior economists at Roubini Global Economics, this independent study also explores the trend of deleveraging as a response to the current political and financial environment.

Broker Dealer Sales Practices Oversight: Secrets of Their Success
May 03, 2012

Learn how broker-dealers address sales practice oversight. To help firms prepare for these imminent changes in compliance oversight requirements, Albridge studied more than 70 broker-dealers' surveillance practices.

Developing a Sustainable Business and Succession Plan
January 06, 2012

A new guidebook filled with practical information about virtually every aspect of developing a sustainable business and succession plan.

The Myths of GIPS: Money-Weighted Returns for Client Performance Reporting
September 13, 2011

When measuring performance, results can differ depending on whether money-weighting or time-weighting is used. The time-weighted Global Investment Performance Standards (GIPS) are often viewed as an industry best practice.

Asset Consolidation: Your Path to Greater Growth and Efficiency
July 05, 2011

Pershing LLC, in conjunction with FA Insight, a consulting and research firm that works exclusively within the financial services industry, has developed a study that re-examines some of the traditional business practices of an investment professional.

Real Deals 2010: Definitive Information on Mergers and Acquisitions for Advisors
April 20, 2011

Real Deals 2010, published by Pershing Advisor Solutions and produced by FA Insight, is the fourth in a series of reports first released by Pershing in 2006. Each successive report builds on the findings of previous reports to present a current assessment of the mergers and acquisitions market and its implications for advisory firm executives.

The Economics of Constructing a Hybrid Platform
March 01, 2011

Dually registered advisors are the fastest growing segment in advisory services. The hybrid model represents an opportunity for broker-dealers to grow and compete in the next decade and beyond.

The Race for Top Talent II
February 15, 2011

Attracting, retaining and developing investment professionals is critical to the success of any broker-dealer. With the right approach every broker-dealer has an opportunity to attract and retain productive investment professionals and boost the firm's profits and growth.

Portfolio Leverage Ratio: Assessing Risk in an Evolving Financial Environment
December 14, 2010

This informative paper outlines a methodology for using the leverage ratio as an alternative, complementary risk metric--one that is designed to help managers and investors understand their maximum risk exposure.

Creating Growth: The Rewards and Challenges of the Multi-Location Model
November 22, 2010

Provides registered investment advisor (RIA) firms with in-depth research and guidance on how they can expand by establishing or acquiring offices in different markets.

European Equities - Advent of the Virtual Investment Bank
November 17, 2010

A new independent study published by Pershing Limited and Investance UK investigates the changing service provider landscape and considers the impact these changes and the tightening regulatory climate will have on the European investment banking industry.

Lending and Leverage: The New Securities Finance Model for Hedge Funds
June 22, 2010

The use of leverages within the hedge fund industry is re-emerging after the financial downturn of 2008. Yet, that time of turmoil may have left a permanent mark. How have the rules for securities lending shifted? And, how should you respond to the changes?

Open Book: Transparency Comes to Securities Lending
April 08, 2010

Securities lending has long been marked by opacity. Its traditional and still most common model is a chain of bilateral credit relationships that stretches from security owner to agent to prime broker to hedge fund.

European Fixed Income: Ready for Lift Off
March 01, 2010

A new independent study published by Pershing Limited and Investance proposes that the fixed income market in Europe is set for unprecedented growth, and significant changes in this sector are on the horizon.

Expansion and Diversification: The Multi-Prime Model for Hedge Funds
March 01, 2010

Concern about counterparty risk is driving an increasing number of hedge fund managers to adopt multi-prime business models. Yet, questions remain about this trend. Who is making the move? Are they reaping the benefits they expected? What are the potential pitfalls?

Competition and Convergence: The Evolving Landscape for Hedge Funds
November 06, 2009

Investment managers continue to look to diversify their business lines as they compete with hedge funds in order to create growth for their firms in the current, challenging marketplace. This new competition for assets has pushed some hedge funds into long-only investment strategies and others towards retail distribution.

The Tone at the Top: Your Responsibility for Mitigating Risk
October 27, 2009

Every day, in communities large and small, we are witnessing shocking new revelations of financial malfeasance and malpractice. This crisis goes beyond simple fraud. It represents a general breakdown in risk management.

Fueling Growth: Outsourcing Solutions for Hedge Funds
October 05, 2009

As market conditions and client redemption requests threaten the viability of even the most well-managed hedge funds, many fund managers are taking action by focusing on rebuilding assets and seeking a more efficient operational model with which to achieve additional capacity and improve profitability.

The Broker-Dealer as Fiduciary
October 01, 2009

Broker-dealers are faced with a new market reality: registered investment advisors (RIAs) are changing the landscape of the retail financial services market.

The Case for Objectives-Based Investing: Building a Defensively Oriented Portfolio
September 02, 2009

Lockwood Advisors, Inc.'s (Lockwood) objectives-based approach is designed to help mitigate risk more effectively and reduce mismatch error when developing an investment portfolio to meet an investors needs.

Lessons from 2008: Risks and Opportunities for Investment Professionals
September 02, 2009

Lockwood Capital Management's message remains forward looking: what to expect from a significantly transformed environment and what investors and their advisors can do now.

Financing Options For Advisor Succession
July 15, 2009

Understand the mechanical elements, the choices that buyers, sellers and banks make, and how they contribute to the creation of practical financing options for the acquisition or sale of a financial services practice.

A View from the Top: Trends in Human Capital Management
June 08, 2009

This independent study identifies trends in human capital management and offers critical insights into how registered investment advisory (RIA) firms can better attract, retain, and develop talented professionals.

The Race for Top Talent
June 01, 2009

Uncovers the motivation behind the loyalty of investment professionals and provides best practices to attract and retain talented investment professionals.

The Hedge Fund of Tomorrow: Building an Enduring Firm
May 01, 2009

Discover what leading institutional investors, investment consultants and hedge funds see for the future of the industry as we outline a framework to address key business model challenges.

How to Minimize Risks and Maximize Rewards: A Technology Outsourcing Guide for Financial Services Firms
March 01, 2009

For decades, technology has been an important part of the competitive landscape in the financial services industry. While the rewards can be rich, there are risks with investing in new technologies-sometimes the promised technological "miracles" prove illusory, or poor project oversight minimizes the success.

Talent Acquisition: Strategies for Competing with the Wirehouses
January 20, 2009

Learn strategies and best practices to effectively compete with the wirehouses for top talent.

Risk and Reward: Hedge Funds Changing Views on Counterparty Relationships
December 22, 2008

Explore hedge fund managers' changing views on counterparty relationships and the implications for global capital markets and technology. Pershing Prime Services outlines best practices that have been implemented to help address and mitigate counterparty risk.

Risk and Reward: Hedge Funds Changing Views on Counterparty Relationships
December 22, 2008
Explore hedge fund managers' changing views on counterparty relationships and the implications for global capital markets and technology. Pershing Prime Services outlines best practices that have been implemented to help address and mitigate counterparty risk.
Discover Trends in Human Capital Management
December 05, 2008

Identifies trends in human capital management and offers critical insights into how registered investment advisory (RIA) firms can better attract, retain and develop talented professionals. The report also provides RIAs with benchmarks against Pershing Advisor Solutions' previous human capital study with HNW, Inc., published in 2006.

Equity Management: Determining, Protecting and Maximizing Practice Value
August 28, 2008

Provides broker-dealers with strategies to help their advisors determine the value of their individual practices, establish benchmarks to monitor and grow the value and protect the value by creating short-term continuity plans and long-term succession plans.

Going Paperless: More Than a Green Initiative
June 03, 2008

Addresses how the next generation of document management solutions can help broker-dealers reduce paper, improve client satisfaction, enhance operational efficiencies, and uncover cost savings.

The Broker-Dealer of the Future
May 30, 2008

Provides broker-dealers and investment professionals with insights on emerging products and industry trends that will drive the evolution of the brokerage business.

Long-Short Portfolio Analytics
January 23, 2008

Learn about best practices for aggregating and interpreting performance analytics as institutional investors look to short-enabled strategies to increase efficiency, alpha returns, and transparency.

Resource Allocation in Bank Brokerage Firms
December 03, 2007

Provides an analysis of the resources that bank brokerage firms dedicate to their marketing and technology efforts.

Technology Best Practices in Bank Brokerage Firms
October 01, 2007

Examines how firms with the highest net income differ in their technology investment strategy and how technology impacts financial advisor productivity and profit penetration.

Key Drivers of Financial Advisor Sales Productivity
May 01, 2007

Analyzes the factors that differentiate bank brokerage firms with the highest average annual gross commissions per financial advisor.

The Challenges of Enterprise Portfolio Management
May 01, 2007

Explores the history of portfolio management systems and the next logical step in the development of enterprise portfolio management.

Attributes of Best Practices Bank Brokerage Firms
March 01, 2007

Examines the key factors of success for top-performing bank brokerage firms.

Real Deals 2006: Definitive Information on Mergers and Acquisitions for Registered Investment Advisors
January 15, 2007

Examines 228 mergers and acquisitions deals completed within the advisory marketplace. The study helps advisors understand the mergers and acquisitions boom and how they may capitalize on it as a growth strategy.

A View from the Top: Best Practices in Leveraging Human Capital
January 03, 2007

Provides quantitative data to help investment advisors identify and examine best practices for attracting, hiring, and retaining key employees.

Mission Possible: Finding the Optimal Operations Model for Your Advisory Practice
October 12, 2005
Examines the operational processes within an advisory firm and outlines opportunities to improve and maximize efficiencies.
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