Ideas Without Limits

Pershing LLC � Ideas Without Limits

Ideas Without Limits®

Ideas Without Limits®, Pershing's thought leadership program, provides institutional and retail financial organizations, investment professionals, independent registered investment advisors and hedge fund managers 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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Creating Growth: The Increased Use of Social Media by Independent Advisors Based on a survey of advisors representing a wide range of demographic profiles, revenue structures and firm sizes, Creating Growth: The Increased Use of Social Media by Independent Advisors explores the business impact of social media. Its findings reveal widespread use of these new networking tools�as well as some potential obstacles to broader adoption. More than 40% of registered investment advisors (RIAs) already use social media to support their businesses Social media may be driving an increase in business among advisors who use them, both through client acquisition and an increased share of wallet among existing clients Advisors who use social media are more optimistic about growth Advisors are tapping social media to play multiple roles in their businesses The chief hurdles to expanding use of social media are regulatory and compliance concerns
Lending and Leverage: The New Securities Finance Model for Hedge Funds *Leverage: The game is back on, but the rules have changed* 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? For a timely, in-depth look at the ongoing transformations sweeping the industry, please download Lending and Leverage: The New Securities Finance Model for Hedge Funds, a new research report produced by independent consultant firm Finadium LLC and commissioned by Pershing Prime Services LLC, a BNY Mellon company. The report reveals a resurgent role for securities lending in the aftermath of the crisis. In addition, it uncovers key findings that illustrate how various players are adapting to this new terrain, including: How using established leverage benchmarks could help build confidence among institutional investors Why it is becoming essential to gain access to lending inventory through retail and institutional channels The implications behind the trend toward transparency in securities lending, driven by electronic marketplaces, synthetic securities loan products and direct borrowing How industry trends could affect large and small hedge funds very differently
Creating Growth: Tuck Ins, Breakaways and Advisor Recruiting Strategies Creating Growth: Tuck Ins, Breakaways and Advisor Recruiting Strategies highlights the tremendous growth opportunity that transitioning advisors represent for existing RIA firms. Developed in partnership with FA Insight, the report provides information on the current state of the market and the strategic opportunity in recruiting wirehouse affiliated advisors as well as guidance on how to develop a recruiting strategy and effectively onboard and integrate advisors into your business. Topics covered in the study include: Determining what is right for your firm Developing a recruiting program Creating compensation models Onboarding and integrating advisors
The Roth IRA Conversion Opportunity � An Investment Professional's Guide During the first decade of this new century, we have endured two recessions, the demise of employer pension plans and ever-growing skepticism about the sustainability of Social Security and Medicare. It is clear that the retirement landscape we knew and understood has irrevocably changed, leaving investors with tremendous uncertainty about their retirement goals and their financial ability to achieve them.
European Fixed Income: Ready for lift off 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. The white paper offers an in-depth analysis of important trends shaping the European investment landscape and provides insight into a wide range of developments that include changes to the structure of the markets, the emergence of new business models and the impact of competition and regulation on institutional clients.
Open Book: Transparency Comes to Securities Lending A Market Emerges from the Shadows
Expansion and Diversification: The Multi-Prime Model for Hedge Funds Leveraging Multiple Prime Brokers: Why It's Happening, and How to Do It Right
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.
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.
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.
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.
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.
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.
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.
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.
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.
Dually-Registered Advisors: Opportunity Knocks Analyzes the trends that impact dually-registered advisory firms and suggests how broker-dealers can better serve this market.
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.
Resource Allocation in Bank Brokerage Firms Provides an analysis of the resources that bank brokerage firms dedicate to their marketing and technology efforts.
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.
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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