Responding to the growth of dually registered representatives, Pershing LLC introduced April 16 a new service for its affiliated broker/dealer firms called RIA Complete, which provides a range of practice management and business tools for B/Ds, allowing those firms to manage both their fee and commission basis on a single, integrated platform. It will also give those B/Ds the option of serving their RIAs through Pershing's custodial company, Pershing Advisor Solutions. PAS's CEO, Mark Tibergien, called RIA Complete a "highly customizable program which can be turn key, completely integrated, or open architecture."
Digital Transformation and the Advisor: Keeping pace with a rapidly evolving competitive landscape will show you how to take advantage of—rather than feel threatened by—financial...
Secure the future of your business with customers from the largest generation in history.
Part II in a series of articles on working with ultra-high-net-worth clients from IMCA's Investments & Wealth Monitor takes a look at the biggest trends...
Oct 20, 2016
Learn what critical roles document management serves for wealth management firms and their practical operational advice for running a viable business.
Oct 05, 2016
Some broker-dealers have already decided to exit certain lines of business and are sizing up how the rule will impact their IT and compliance budgets....
Sep 13, 2016
Nationwide is providing a deeper look into the rule’s implications and a discussion of decisions firms will need to make in order to comply.