Ideas Without Limits

Pershing LLC � Ideas Without Limits

Ideas Without Limits ^SM

Ideas Without Limits^SM, Pershing's thought leadership program, provides institutional and retail financial organizations, investment professionals, and independent registered investment advisors with strategic insights, ideas, and best practices delivered through independent studies and white papers. It is a component of our unique practice management program designed to help drive growth, optimize human capital, and maximize operational efficiency—going beyond high-level guidance to offer actionable information, personalized consulting, and ready-to-execute solutions.

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Five Trends to Watch in 2010 Making predictions for 2010 would be much simpler if only 2009 were less complex. The year started with accusations of extensive fraud and investor confidence in tatters. Confidence started to return by midyear, as the markets settled down; but autumn brought news of yet another headline-grabbing scandal. Perhaps it is fair to summarize 2009 as a year that began in panophobia�fear of everything�but gradually saw anxieties become much more discriminating. Appetite for investment risk rose; but aversion to fraud and counterparty risk remained. The question is, where should we keep our attention focused in 2010? Jeremy Todd, Director of Pershing Prime Services, discusses five trends to watch in 2010 including managed accounts, risk mitigation and potential regulation.
Real Deals 2009: Definitive Information on Mergers and Acquisitions for Advisors A new independent study published by Pershing Advisor Solutions and FA Insight finds that while merger and acquisition activity slowed during the economic downturn, transactions among independent registered investment advisory firms are poised for resurgence.
50 Insights to Help Fast-Track Business Growth Transform your plans for growing your practice into a reality. 50 Insights to Help Fast Track Business Growth can help you take great strides forward through effective, incremental steps that are based on your specific needs. A few to consider: Improve�or gain�presentation skills - Get an objective opinion, and keep in mind that everyone can benefit from a refresher course in delivering a compelling presentation. Manage yourself, not your time - Learn how to be more efficient and get more done by changing your thinking. Stand out in a crowded market - Differentiate yourself. Understand what your own story really is, and how you offer a unique value proposition.
The Broker-Dealer of the Future 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 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 Broker-dealers are faced with a new market reality: registered investment advisors (RIAs) are changing the landscape of the retail financial services market. Currently, there are 11,200 RIAs registered with the U. S. Securities and Exchange Commission (SEC), and more than 14,500 are registered with individual state securities commissions. Year over year for nearly a decade, the number of RIAs has increased. SEC registered investment advisors manage more than $34 trillion in client assets. Broker-dealers have a unique opportunity to grow their businesses by moving into the fee-based RIA space.
Fueling Growth: Outsourcing Solutions for Hedge Funds 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.
Long Story Short: How Hedge Fund Managers Can Get the Most Out of a Tri-Party Custody Relationship Increased concerns around counterparty risk have prompted hedge fund managers to seek out enhanced ways to mitigate their firm's counterparty risk exposure, including implementing tri-party custody arrangements. Be sure not to miss "Long Story Short: How Hedge Fund Managers Can Get the Most Out of a Tri-Party Custody Relationship," featured in the 2009 Institutional Investor Guide to Custody and Asset Servicing.
Competition and Convergence: The Evolving Landscape for Hedge Funds 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 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.
Risk and Reward: Emerging Industry Trends Jeremy Todd, Director of Pershing Prime Services, is featured in the 2009 Global Hedge Fund Report published by Institutional Investor News in an article discussing emerging industry trends in today's current financial environment, including the importance of strong counterparties, the tri-party account approach and use of separately managed accounts.
Transitioning to Fees: An Investment Professional's Guide This guidebook will discuss the benefits and provide an action plan to convert to a fee-based practice.
Enhance Operational Efficiency For Long Term Success Learn about the operational risks facing the advisory industry and the critical role human capital plays in helping to manage these risks in Mission Possible II: The Link Between Operational Efficiency and Human Capital.
Risk and Reward: Mitigating Counterparty Risk Podcast Listen as Jeremy Todd, Director and Head of Client Relationship Management of Pershing Prime Services, provides a framework to consider when addressing and mitigating counterparty risk, as well as best practices being implemented by some hedge fund managers.
Talent Acquisition: Strategies for Competing with the Wirehouses Learn strategies and best practices to effectively compete with the wirehouses for top talent.
Risk and Reward: Hedge Funds Changing Views on Counterparty Relationships 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 addre ss and mitigate counterparty risk.
Discover Trends in Human Capital Management 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.
Disaster Recovery and Business Continuity Planning Listen to this informative podcast about keeping your hedge fund up and running in the event of a disaster. Mark Kenney, Director of Product Management of Eze Castle Integration, on behalf of Pershing Prime Services, explains why every hedge fund needs a strong business continuity plan and a corresponding IT disaster recovery system.
Equity Management: Determining, Protecting and Maximizing Practice Value 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.
Real Deals 2008: Definitive Information on Mergers and Acquisitions for Advisors Provides an update to our groundbreaking 2006 study with data on the latest transactions. The study evaluates the marketplace and provides guidance on how to best take advantage of the changing mergers and acquisition environment.
The Challenges of Enterprise Portfolio Management Explores the history of portfolio management systems and the next logical step in the development of enterprise portfolio management.
Going Paperless: More Than a Green Initiative 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.
Mission Possible: Finding the Optimal Operations Model for Your Advisory Practice Examines the operational processes within an advisory firm and outlines opportunities to improve and maximize efficiencies.
Real Deals 2006: Definitive Information on Mergers and Acquisitions for Registered Investment Advisors 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 Provides quantitative data to help investment advisors identify and examine best practices for attracting, hiring, and retaining key employees.
Uncharted Waters: Navigating the Forces Shaping the Advisory Industry Provides independent registered investment advisors with an overview of the challenges facing the advisory industry over the next five years, and positions advisors to take advantage of these market forces to become successful "advisors of the future".
Fast Forward: The Advisor of the Future Helps advisors understand the opportunities and challenges around predicting future growth, finding talent, and suggestions to capture additional market share.
Technology Best Practices in Bank Brokerage Firms Examines how firms with the highest net income differ in their technology investment strategy and how technology impacts financial advisor productivity and profit penetration.
Resource Allocation in Bank Brokerage Firms Provides an analysis of the resources that bank brokerage firms dedicate to their marketing and technology efforts.
Attributes of Best Practices Bank Brokerage Firms Examines the key factors of success for top-performing bank brokerage firms.
Key Drivers of Financial Advisor Sales Productivity Analyzes the factors that differentiate bank brokerage firms with the highest average annual gross commissions per financial advisor.
The Race for Top Talent Uncovers the motivation behind the loyalty of investment professionals and provides best practices to attract and retain talented investment professionals.
Dually-Registered Advisors: Opportunity Knocks Analyzes the trends that impact dually-registered advisory firms and suggests how broker-dealers can better serve this market.
Long-Short Portfolio Analytics 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.

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