Destination RIA: What to Expect and How to Prepare

This independent study provides wirehouse advisors with a thorough review of the independent registered investment advisor (RIA) model and sets expectations for the experience of working as an RIA. The study also helps raise the wirehouse advisor's comfort level with the decision to move toward the RIA model by providing real world illustrations of successful transition strategies.

In collaboration with:   FA Insight
Business:   Pershing
Publication date:   September 2011

Asset Consolidation: Your Path to Greater Growth and Efficiency

Pershing LLC, in conjunction with FA Insight, a consulting and research firm that works exclusively within the financial services industry, has developed a study that re-examines some of the traditional business practices of an investment professional. It also highlights new technology and efficiency solutions that can help boost productivity, profitability, growth and value. The findings provide a strong argument to encourage investment professionals to analyze their current business practices and to invest the time to fully understand the benefits of conducting business via a consolidated brokerage platform.

In collaboration with:   FA Insight
Business:   Pershing
Publication date:   July 2011

VIDEO: Practice Management - Accelerating Growth and Efficiency

Brian Shea, Pershing's CEO, and Caroline O'Connell, Head of Pershing's Global Marketing, Planning and Product Solutions group, discuss how the right approach to practice management enables financial services firms grow their businesses, optimize human capital, maximize operational efficiency and manage risk.

Authors:   Brian Shea, Caroline O'Connell
Business:   Pershing
Publication date:   July 2011

Human Capitalist

Reprinted with the permission of Investment Advisor Magazine

At Pershing Advisor Solutions, the emphasis is on putting the right people in the right spots to serve high-end advisors. Read more about this successful approach in the March Investment Advisor cover story featuring Pershing Advisor Solutions' CEO, Mark Tibergien.

Business:   Pershing
Publication date:   March 2011

States and Sovereigns: Eurozone and U.S. State Debt Woes

Today, asset managers are gauging the potential consequences of ballooning debt in two diverse markets: U.S. states and the peripheral members of the Eurozone that include Portugal, Ireland, Greece, Spain and, to a lesser extent, Italy. In both cases, governments struggle with debt issued in currencies they do not control. This eliminates devaluation as a solution and raises the specter of potential restructuring. Do U.S. states and Eurozone nations present similar risks?

In collaboration with:   Roubini Global Economics
Business:   Pershing
Publication date:   April 2011

Race for Top Talent II

Attracting, retaining and developing investment professionals is critical to the success of any broker-dealer. With the right approach every broker-dealer has an opportunity to attract and retain productive investment professionals and boost the firm's profits and growth.

In collaboration with:   FA Insight
Business:   Pershing
Publication date:   February 2011

European Equities - Advent of the Virtual Investment Bank

A new independent study published by Pershing Limited and Investance UK investigates the changing service provider landscape and considers the impact these changes and the tightening regulatory climate will have on the European investment banking industry. The white paper offers an in-depth analysis of the drivers for outsourcing different components of the investment banking supply chain, with particular emphasis on research, execution and post trade services.

In collaboration with:   Investance
Business:   Pershing
Publication date:   January 2011

Creating Growth: The Rewards and Challenges of the Multi-Location Model

Multiple-office firms stretching across geographical locations have become increasingly common with 50% of the country's top 50 wealth managers now maintaining offices in multiple locations, according to FA Insight. This recent study by Pershing Advisor Solutions, provides registered investment advisor (RIA) firms with in-depth research and guidance on how they can expand by establishing or acquiring offices in different markets.

Business:   Pershing
Publication date:   November 2010

European Equities - Advent of the Virtual Investment Bank

This independent study published by Pershing Limited and Investance UK investigates the changing service provider landscape and considers the impact these changes and the tightening regulatory climate will have on the European investment banking industry.

In collaboration with:   Investance
Business:   Pershing
Publication date:   November 2010

Portfolio Leverage Ratio

Portfolio leverage can be created through the use of borrowing, through investing the proceeds from short sales or through the use of derivative instruments. Leverage provides investors risk and opportunity. As a leading provider of global risk solutions, many clients are asking BNY Mellon Asset Servicing how we measure leverage as there is no current industry standard. To demystify the concept of leverage, this paper provides a straightforward approach to calculating and monitoring portfolio leverage. Leverage is defined as the creation of exposure greater than the capital invested.

Author:   David Asermely
Business:   Pershing
Publication date:   December 2010