| Becoming a Stronger Wealth Manager
April 04, 2013 For advisors looking for new ways to grow their business, this practical, solutions-packed guidebook provides the tools to become the "go to" people for their investors' comprehensive financial and investment needs. |
| 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. |
| 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. |
| 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. |
| 5 Questions Every IRA Owner Should Ask
June 12, 2012 Pershing's Rob Cirrotti addresses five questions that every client should discuss with their financial advisor to make sure their IRA is running at full throttle. |
| 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 leverage 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? |
| 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. |
| 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. |
| 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? |
| 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. |
| 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. |
| 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. |
| 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. |
| 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. |
| 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. |
| 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. |
| Equity Management: Determining, Protecting and Maximizing Practice Value
August 28, 2008 Provides broker-dealers with strategies to help their investment professionals 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. |
| 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. |
| RIA Complete Advisory Solutions For Brokers-Dealers
April 15, 2009 Pershing's RIA Complete offers a comprehensive solution to help you retain and expand your share of businesswhether fee- or commission-basedwithout limits. |
| 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. |
| 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 29, 2008 Provides broker-dealers with strategies to help their investment professionals 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 Challenges of Enterprise Portfolio Management
June 03, 2008 Explores the history of portfolio management systems and the next logical step in the development of enterprise portfolio management. |
| 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. |
| 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 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. |
| Attributes of Best Practices Bank Brokerage Firms
March 01, 2007 Examines the key factors of success for top-performing bank brokerage firms. |
| Position Your Firm to Succeed
May 20, 2008 Explore insights that can help you plan the future growth of your firm, acquire talent in spite of an acute shortage, and capture your share of the market opportunity in Fast Forward: The Advisor of the Future. |
| Protect Your Business
May 20, 2008 What is a restrictive covenant, and why is it important to understand the impact this agreement may have on your business? Often required when a registered investment advisor (RIA) joins a new firm, a restrictive covenant may be a separate document or a provision within a larger employment or confidentiality agreement. |
| Long-Short Portfolio Analytics
May 20, 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. |
| 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. |