Managed Investments: RIA Solutions

Managed Investments for Registered Independent Advisors

A Solution for Every Business Model

Are you an established wealth manager looking to consolidate asset manager relationships? Would you benefit from outsourcing investment advisory services for a portion of your clients? Do you need to get a new wealth management practice up and running, or are you still weighing a transition to an advisory business model?

However you structure your practice, Pershing Advisor Solutions offers a choice of approaches designed to fit your needs:

  • Maximum in-house control. Interested in keeping manager research, due diligence, performance reporting or other processes in-house? Pershing Advisor Solutions’ Dual Contract Program gives you maximum control.
  • Mixed level of control. Pershing Advisor Solutions’ RIA-Sponsored Program lets you offer managed account products, negotiate fees and account minimums with a customized roster of money managers, and enter into advisory agreements directly with clients with the backing of our affiliate, Lockwood Advisors, Inc. providing program oversight.
  • Fully outsourced solution. Pershing Advisor Solutions’ Turnkey Asset Management Provider (TAMPs) Program lets you choose from Pershing’s select network of TAMPs. Providers include:
    • AssetMark
    • Clark Capital Management Group
    • The Elements Financial Group
    • Envestnet Asset Management
    • FDX Advisors
    • Hanlon Investment Management
    • Independent Portfolio Consultants
    • Lockwood Advisors, Inc.
    • Madison Asset Management
    • Portfolio Design Advisors
    • Portfolio Strategies Inc.
    • Sowell Management Services
    • Sterling Capital Management
    • WBI Investments
Seamless Integration with NetX360®

Pershing Advisor Solutions offers a one-stop solution that provides you access to managed account services and tools that are fully integrated into our NetX360® advisor platform.

Access to a Broad Universe of Strategies

Pershing Advisor Solutions serves advisors and financial organizations exclusively, with no competing retail channel. Rather than trying to steer you into proprietary solutions, Pershing Advisor Solutions gives you the options you need to follow your own independent judgment for your clients.

Investment advisory services are offered through Lockwood Advisors, Inc. (Lockwood), an affiliate of Pershing. Lockwood is an investment adviser registered in the United States under the Investment Advisers Act of 1940, an affiliate of Pershing LLC each wholly-owned subsidiaries of The Bank of New York Mellon Corporation.

Pershing Advisor Solutions LLC, member FINRA, SIPC, is a wholly owned subsidiary of The Bank of New York Mellon Corporation (BNY Mellon). Clearing, custody, or other brokerage services may be provided by Pershing LLC, member FINRA, NYSE, SIPC. Pershing Advisor Solutions relies on its affiliate Pershing LLC to provide execution services. Bank custody and private banking solutions are provided by BNY Mellon, N.A., member FDIC, a wholly owned subsidiary of The Bank of New York Mellon Corporation. Except with respect to uninvested cash held in a bank deposit account chosen by client as part of a sweep election, assets custodied at BNY Mellon, N.A. are segregated from the general assets of BNY Mellon, N.A.

Featured Solutions and Resources