Case Study: Elevate Your
High-Net-Worth Approach


This independent broker-dealer wanted their advisors to expand their reach by delivering more than insurance and investment products, focus on higher net-worth clients, and change the clients’ perception of their traditional advisor relationship. The firm wished to reposition themselves with a more complete, comprehensive planning approach, offering all aspects of Wealth Management.


Pershing consultants collaborated with the client’s leadership team on their high-net-worth strategy. Pershing’s Advisor Practice Management hosted a series of webinars that highlighted the opportunities and characteristics of the HNW marketplace. One such webinar featured lending solutions for high-net-worth clients. BNY Mellon Private Banking partners introduced Investment Credit Lines and Jumbo Mortgages. A discussion with an experienced financial advisor affiliated with this broker-dealer offered tips on positioning these solutions to clients and suggestions for incorporating this solution in their business.


  • Outstanding loan value of Investment Credit Lines to over $100 million, representing a 320% YOY increase
  • Clients had outstanding balances of $42.75 million, representing a 340% YOY increase
  • Six Jumbo Mortgages closed during this period, bringing the total mortgages to $9.1 million

The development of this program and its success demonstrates our strong partnership between Pershing and this client.

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Additional Resources


Elevate Your High-Net-Worth Approach

By delivering more than insurance and investment products, focusing on higher net-worth clients and changing the clients’ perception of tradition advisor relationship.


Unlock Growth Through Enhanced Client Discovery

A Broker-Dealer offered technical and basic product training on available investment solutions, yet saw their opportunity to capture assets and differentiate their service was not realized.