Investment Advisory Services and Research

A Wealth of Investment Research

We can help clients outsource all or part of their managed accounts investment process, giving them more time to spend with investors and prospects. Lockwood Advisors, Inc., our affiliated registered investment adviser, offers a comprehensive range of institutional-quality research, experienced portfolio consulting services and professionally managed advisory portfolios designed to help meet the needs across all market segments—from emerging to ultra-high-net-worth investors.

An Experienced Managed Accounts Provider

In 1996, Lockwood introduced its separate accounts platform designed to meet the growing needs of independent advisors and their investors. Today, its innovative solutions are grounded in its long-standing philosophy and investment process that applies a comprehensive, long-term approach to portfolio construction, with an emphasis on downside risk management.

• Access a broad assortment of professionally managed advisory portfolios and models
• Employ a depth of research to help make portfolio and investment decisions^*
• Gain practical insights on how to grow and scale your business, while optimizing cost and productivity efficiencies through hands-on training and education

Specialized Capabilities to Help Support Your Program

From investment manager and program sponsor to platform and research provider, you can access the investment support you need, however you structure your program:

• Investment research: Gain insights across capital markets, asset allocation, manager analysis and due diligence, portfolio design and construction, and monitoring.
• Asset management: Access a diverse suite of managed portfolios, spanning both risk-based and objective-based strategies, with innovative mutual fund and exchange-traded fund (ETF) wrap accounts, separately managed accounts and unified managed accounts, as well as an expansive menu of third-party strategist models.
• Turnkey solution: Scale your business through the Lockwood Managed360^® program through its comprehensive offering that includes professionally advised managed accounts solutions, a powerful suite of integrated sales, research, portfolio management and client experience tools and ongoing advisor education and support.

In-depth Consulting for Advisors

Advisory Consulting services provide holistic investment advice to both firms and their advisors. The Lockwood team works with firms to help them develop and manage an investment advisory offering tailored to investor needs. They also work with advisors on analyzing existing portfolios, creating customized proposals, and assisting them in their client review process. The team is backed by the resources of the Lockwood Investment Team, BNY Mellon, and some of our industry’s best known research providers.

^* In providing these services, Lockwood is not assuming responsibility for the advisory firm’s regulatory compliance or providing advice or recommendations directly to investors. The advisory firm is responsible for independently evaluating the output of these services and determining whether or not to implement any practices suggested as a result thereof.

All third party marks belong to their respective owners.

For professional use only. Not intended for use by the general public. Pershing does not provide investment advice. Professionally managed investment advisory services, if offered, are provided by Lockwood Advisors, Inc. (Lockwood), a Pershing affiliate and an investment adviser registered in the United States under the Investment Advisers Act of 1940. Trademark(s) belong to their respective owners.

Important Disclosures [PDF]  |  SEC Share Class Selection Disclosure [PDF]  |  Trade Away Transactions FAQ [PDF]  |  Trade Away Summary: Q1 2019 [PDF], Q2 2019 [PDF], Q3 2019 [PDF], Q4 2019 [PDF], Q1 2020 [PDF], Q2 2020 [PDF], Q3 2020 [PDF], Q4 2020 [PDF], Q1 2021 [PDF], Q2 2021 [PDF], Q3 2021 [PDF], Q4 2021 [PDF] & Q1 2022 [PDF]  |  Lockwood's Form ADV Part 2 Brochures   |  Lockwood’s Form CRS [PDF]  |  Affiliate Advised/Sub-Advised Fund and Model List