Event Fees

Mutual fund companies, annuity companies, and other solution providers offer marketing support in the form of payments to Pershing (or third parties at Pershing's direction) in connection with educational conferences, events, seminars, and workshops for broker-dealers or investment professionals. These payments may be for the expenses of educational materials or other conference-related expenses. The companies listed below are in order of 2008 gross dollar payments to Pershing from highest to lowest. 

Mutual Funds, ETFs, Annuity Providers

1. State Street Global Advisors

45. Cohen & Steers

2. Invesco Aim

46. Dividend Capital

3. Federated Investors, Inc.

47. Dunham & Associates

4. First Trust

48. Eaton Vance Managed Investments

5. ProShare Advisors

49. FBR Asset Management

6. Barclays Global Investors

50. FundQuest Incorporated

7. Wisdom Tree Asset Management

51. Gabelli Funds

8. Allianz Global Investors

52. Harbor Funds

9. Reich & Tang

53. Heartland Funds

10. Dreyfus Investments

54. Hennessy Funds

11. BlackRock

55. Hodges Funds

12. The Reserve

56. ICON Funds

13. Ameritas Advisor Services

57. Jensen Investment Management

14. Jennison Dryden

58. John Hancock Funds

15. James Advantage Funds

59. Keeley Funds

16. Putnam Investments

60. Lord Abbett & Co.

17. SPA ETFs

61. Metropolitan West Asset Management

18. U.S. Global Investors, Inc.

62. Natixis Global Associates

19. Matthews Asian Funds

63. Northern Trust Investments

20. Evergreen Investments

64. Nuveen

21. Schroders

65. Perritt Funds

22. DWS Scudder Investments

66. Pioneer Investments

23. TIAA-CREF

67. Revenue Shares Investor Services

24. Ameristock Funds

68. Royce & Associates, LLC

25. American Century Investments

69. Russell Investments

26. Aston Asset Management

70. Rydex Investments

27. Guardian Investor Services

71. SBAuer Funds, LLC

28. Janus Capital Group

72. Seascape Capital Management, LLC

29. Prudent Bear Funds

73. Select Sector SPDRs

30. Vanguard

74. SPARX Asia Funds

31. Wells Fargo Advantage Funds

75. TCW Funds, Inc.

32. Oppenheimer Funds

76. The Olstein Funds

33. Permanent Portfolio Family of Funds, Inc.

77. Van Eck Global

34. Calvert

78. William Blair & Company, LLC

35. Morgan Stanley Investment Management

79. X Shares Securities, Inc.

36. Paradigm Capital Management

80. ALPS Advisers

37. Domini Social Investments

81. AFBA 5 Star Funds

38. Artio Investment Management

82. Ave Maria Mutual Funds

39. Aberdeen Asset Management

83. Columbia Management

40. First American Funds

84. Fred Alger Management, Inc.

41. Franklin Templeton

85. MainStay Investments

42. American Beacon Funds

86. Rainier Funds

43. Calamos Investments

87. Thompson Plumb Funds

44. Claymore Securities, Inc.

 

Other Companies and Solution Providers

1. EISI

28. Image Access Corporation

2. Credit Suisse

29. RealAdvance Mortgage Solutions

3. Advent Software, Inc.

30. Redtail Technology

4. Bullrun Financial, Inc.

31. Reliance Trust Company

5. HSBC Bank USA , National Association

32. Tamarac

6. H S A Bank

33. UBS Investment Bank

7. Integrity Life

34. Wilmington Trust Company

8. Millennium Trust Company/Flex H S A

35. Information Builders

9. Morningstar Investment Services

36. Life Management Advisors

10. Penn Treaty Network America

37. Bondwave, LLC

11. PriceMetrix

38. Cambridge Alliance

12. Standard & Poor's

39. Computrade Systems/Market Edge

13. The Bank of New York Mellon DR Division

40. Envestnet

14. Direxion Funds

41. Laser App Software

15. Principal Funds

42. National Compliance Services, Inc.

16. Ascensus

43. Promontory

17. American Endowment Foundation

44. Bloomberg

18. American Express International Dollar Card

45. Boomer Market Advisor

19. American Stock Exchange

46. Financial Advisor Magazine

20. Argus Research Company

47. Highline Media

21. Benefit Street

48. InvestmentNews

22. BNY Jaywalk

49. Lockwood Advisors, Inc./Lockwood Capital Management, Inc.

23. Clark Capital Management

50. Morningstar Inc.

24. Dow Jones

51. On Wall Street/Financial Planning

25. Edelman Financial Services, LLC

52. Registered Rep

26. Genworth Financial

53. Securities Industry and Financial Markets Association (SIFMA)

27. IMCA- Investment Management Consultants Association

54. Bank Insurance & Securities Association