2017
Engagement Opportunity Guide
For investment professional use only.
Not for distribution to the public.
Chapter One
Pershing Business Snapshot
4
The Pershing
Platform
Pershing’s Global Reach
5
Pershing’s Market Position
6
How Pershing Supports Its Clients
7
Pershing Fund Solutions
8
FundVest® 200
10
Managed360™
11
Pershing’s Digital Experience
12
Digital Advice
13
NetX360® Investment Centers
15
Retirement Plan Network
18
Chapter Two
INSITE™ 2017
20
2017
Engagement
Opportunities
Pershing Advisor Solutions Programs
26
Managed Investments Forum Roadshows
28
Albridge Forum
29
Offshore Programs
30
Retirement Programs
31
2016 Pershing Hosted Program Attendance
33
Pershing Advisor Solutions Business Development
34
Pershing Advisor Solutions Relationship Management
35
Pershing Contact List
36
Appendix
2
2017: Engagement Opportunity Guide
Chapter One
The Pershing Platform
2017: Engagement Opportunity Guide
3
Pershing Business Snapshot
Why Pershing?
Strength in Numbers
› Foster deeper relationships with broker-dealers,
› $462 billion in mutual fund assets
registered investment advisory firms, investment
managers and retirement plan specialists,
wealth managers and advisors
› Create awareness for your products and services,
available on the platform
› Drive more activity and increase your firm’s
assets on the Pershing platform
Global Leader
› Provides clearing and custody in more than
70 markets and execution in over 60 markets
globally; Pershing also facilitates the trading and
conversion of more than 50 currencies
› 1,500 clients comprised of global asset
managers, broker-dealers, family offices,
registered investment advisory firms investment
managers and fund managers
› Over 700 broker-dealers and 500 registered
investment advisory firms
› Approximately $1.5 trillion in global client assets
(Pershing LLC and its global affiliates)
› 100,000 professionals using the Pershing
technology platform for broker-dealers
and advisors
› Institutional focused with no direct
retail channel
› Parent company is the Bank of New York Mellon
Corporation (BNY Mellon)
All numbers as of July 31, 2016
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2017: Engagement Opportunity Guide
under custody
› $118 billion in cash management balances
under custody
› $90.6 billion in exchange-traded-fund assets
under custody
› $20.1 billion in offshore fund assets
under custody
› $366 billion in retirement assets under custody
› $156 billion in total assets under custody
(including Bank Custody) for registered
investment advisors
› $291.5 million in average RIA assets under
management (including Bank Custody)
BNY Mellon
› $29.1 trillion in assets under custody
and/or administration
› $1.6 trillion in assets under management
› $372.9 billion in total assets
› $ 38.5 billion in total shareholders’ equity
› $39.7 billion in market capitalization
Pershing’s Global Reach
The Americas
EMEA
› Pershing has offices across the United States
› Pershing provides a broad range of financial
and a dedicated team that services Latin
America; the relationship management and
account management teams are fluent in
Spanish, Portuguese and French
› Client reporting is made available in U.S. dollars,
Mexican pesos, Brazilian realis, Canadian dollars
and other currencies
› Through NetXInvestor®, Pershing’s online
investor platform, clients access consolidated
account information and a Spanish-language
investor website
business solutions to investment banks, broker
dealers, wealth managers, financial planners
and advisers across EMEA
› From offices in London, Liverpool, Manchester,
Channel Islands and Ireland, our multi-asset
class solution combines sophisticated front-end
technology and flexible middle office capabilities
with execution, settlement and custody services
› These are supported by a robust regulatory and
compliance framework with dedicated client
asset experience and expertise
Asia Pacific
› Pershing Securities Singapore Pte Ltd1
provides relationship management and account
management, all well-versed in Mandarin
and Cantonese
› In Australia, Pershing delivers business solutions
through Pershing Securities Australia Pty Ltd.2,
supporting client reporting in U.S. dollars,
Singapore dollars, Hong Kong dollars, Chinese
yuan, Philippine pesos, Thai baht, Australian
dollars and New Zealand dollars
1
Pershing Securities Singapore Pte Ltd, an affiliate of Pershing LLC, is a capital markets services licensed entity regulated by the Monetary
Authority of Singapore.
2
Pershing Securities Australia Pty Ltd (ABN 60 136 184 962) holds an Australian Financial Services Licence (AFSL No 338264) and is a market
participant of the Australian Securities Exchange, Chi-X Australia Pty Ltd and Asia Pacific Stock Exchange Limited and a clearing participant of
the Australian Clearing House.
2017: Engagement Opportunity Guide
5
Pershing’s Market Position
Correspondent Clearing Firms
U.S. Introducing Broker-Dealer Segment Market Share by Number of IBDs Total IBD Firms: 2,004
3.7%
2.5%
Pershing LLC (743)
2.0%
3.6% 0.3%
Fidelity Clearing & Custody Solutions (206)
RBC Correspondent Services (187)
HillTop Securities Inc. (178)
5%
37.1%
5%
Merrill Lynch (143)
COR Clearing LLC (102)
Apex Clearing (100)
5.1%
Wedbush Morgan Securities Inc. (100)
7.1%
Sterne Agee Clearing (50)
Goldman Sachs Execution (75)
8.9%
First Clearing LLC (73)
10.3%
9.3%
Raymond James (41)
LPL Financial (6)
Notes: Other includes: Sterne Agee, Goldman Sachs, First Clearing, Raymond James, LPL.
Number for clients for Merrill Lynch and Goldman Sachs are based on InvestmentNews Clearing Firm Ranking 08/15.
Data not disclosed in 2016
Sources: InvestmentNews Clearing Firm Ranking 08/16, Aite Group Correspondent Clearing and RIA Custody Update 2016.
Registered Investment Advisors Market Share by Assets Total RIA Assets: $2.8 Trillion
8.2%
Schwab (7,025)
4.2%
Fidelity (2,927)
6.5%
37.8%
TD Ameritrade (5,000)
Pershing Advisor Solutions/BNY Mellon (593)
LPL Financial (375)
11.9%
Others (2,600)
Source: Aite Group, Year-end 2015.
Note: Others include State Street, RBC Advisor, Trust Company
of America, Raymond James, Shareholder Services, and others.
31.4%
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2017: Engagement Opportunity Guide
How Pershing Supports Its Clients
Our Solutions
Clearing, Custody and Settlement
Investment Solutions
Prime Services
› Alternative Investment Solutions
› Annuity Solutions
› Cash Management Solutions
› Education and Health Savings
› Fund Solutions
› Lending Solutions
› Wealth Management
› Financing Solutions
› Securities Lending
› Execution Services
› Liquid Alternatives
› Client Service
› Technology
› Value-Added Services
Managed Investments Solutions
Retirement Solutions
› Broker-Dealer Solutions
› RIA Solutions
› SMA Outsourcing
› Managed Investments: Technology
› Individual Retirement Accounts
› Small Business Retirement Plans
› Retirement Plan Network
Marketing and Practice Management
› Programs and Resources
› Strategic Consulting
› Events
› Thought Leadership
› ValueAlliance®
Technology and Enterprise Data
Management
› Advisor Solutions
› Investor Solutions
› Mobile—Anytime, Anywhere
› NetX360® Client Onboarding
› Integration as a Service
› Reporting and Analytics
Trading Services
2017: Engagement Opportunity Guide
7
Pershing Fund Solutions
Pershing’s Expansive Mutual Fund Platform
Fund
Transfer
Dividend
Reinvestment
Prospectus
Fulfillment
AMA, Margin and
Retirement Accounts
Mutual Fund
Only IRA
Systematic
Investments
Consolidated
Reporting
Trading Desk
Portfolio
Evaluation
Service
Statement
Services
Commission
Platform
FundVest®
Mutual Fund
Research
Order Blasting
Wireless Platform
8
2017: Engagement Opportunity Guide
› Mutual fund supermarket
› Access to more than 27,000 funds from more
than 800 fund families
› Consolidated statements
› Research and hypothetical tools online
– Morningstar®
– Standard & Poor’s® (S&P®)
– NaviPlan®
› Seamless account and
portfolio administration
› Available to all Pershing clients
– Ticket charges would apply—referenced in
the Fully Disclosed Clearing Agreement
– Selling agreements needed with
each fund family
– Flexible billing system for transactions
› No-transaction fee platform
– No commission charges
– Various class shares
- No-load
- Class A—load waived at net asset
value (NAV)
- Institutional shares
› Access to over 7,000 funds
› Complements managed account and fee-based
brokerage programs
› Consolidation of assets on the
monthly statements
– Opportunity for e-delivery of statements
› Pershing addendum required for
broker-dealer participation
› Selling agreements with fund
companies required
FundVest 200™ is a research-driven list of no-transaction-fee (NTF) mutual funds
available through Pershing’s FundVest® platform
The list, selected by Lockwood Advisors, Inc. (Lockwood)1 and provided at no additional charge to
Pershing LLC clients, may be a useful tool to help guide you in constructing investor portfolios.
Lockwood works with the BNY Mellon Manager Research Group (MRG) to conduct initial due diligence
and ongoing monitoring of each mutual fund.
1
Lockwood Advisors, Inc. (Lockwood) is an investment advisor registered in the United States under the Investment Advisers Act of 1940.
Lockwood is an affiliate of Pershing LLC (Pershing), and are each wholly owned subsidiaries of The Bank of New York Mellon Corporation
(BNY Mellon). The FundVest 200 list is intended for use by investment professionals and does not constitute investment advice from
Lockwood to individual investors.
2017: Engagement Opportunity Guide
9
FundVest 200®
Research and Monitoring Process
Requests for
Information
Screening
Lockwood
Investment
Committee
Manager
Interviews
MRG Rating
Review
Committee
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2017: Engagement Opportunity Guide
Managed360™
An integrated managed account solution available to Pershing LLC
clients offered through Lockwood Advisors, Inc.
Managed360™ is a managed account solution
available to Pershing LLC clients and offered
through Lockwood Advisors, Inc. (Lockwood)1.
The program offers access to leading thirdparty model providers and delivers mutual fund/
exchange-traded fund (ETF) wrap accounts,
unified managed accounts (UMA) and hundreds
of separate account managers. Managed360
is a scalable managed account solution that is
integrated within NetX360®. Investment selection,
due diligence and portfolio management
recommendations come from Lockwood coupled
with institutional-quality research from the BNY
Mellon Manager Research Group.
Managed360 enables advisors to work efficiently
within our integrated managed investments
platform and keep assets within one overall
technology platform—NetX360. This offering can
be quickly delivered with limited implementation
dependencies.
1
Lockwood is the sponsor of Managed360, a wrap fee program for which
it provides investment advisory and overlay services. Pershing is not a
registered investment adviser and does not offer investment advisory
products, programs or services. Pershing provides wholesaling
support, proposal generation and billing services.
Managed360™
Managed360 Solutions
› Proposal Generation
› Portfolio Analytics
› Performance Reporting
› New Account Opening
› Account Maintenance
› Billing
› Investment Solutions and Research
› Education and Training
Investment solutions
Advisors can potentially meet the needs of all
market segments, from emerging investors
to ultra-high net worth investors through
investment solutions such as:
› Third-party model providers
› Mutual fund/exchange traded fund
(ETF) wrap accounts
- Fixed and flexible allocation models
› Unified managed accounts
› Separately managed accounts (SMA)
2017: Engagement Opportunity Guide
11
Pershing’s Digital Experience
Pershing’s technology is designed for the evolving
needs of the digital age—we help our clients to
adapt their business in order to respond to investor
expectations. Pershing digitally enables the wealth
management experience by:
› Enriching the investor experience
› Supporting the advisor experience
› Providing actionable insights with data
and analytics
› Supporting global wealth management
› Helping clients manage risk
Pershing’s award-winning technology provides
users multi-channel connectivity that seamlessly
links professional users’ business, clients and the
market. Designed for efficiency and ease of use, the
digital experience features a configurable intuitive
interface; seamless integration with leading thirdparty tools and information; and anytime, anywhere
access from your mobile device of choice.
Multi-Channel Experiences
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2017: Engagement Opportunity Guide
Digital Advice
Embrace the Possibilities of Digital Advice
Cerulli projects that the digital advice market will grow to nearly
$500 billion by 2020. With a robust new digital advice solution,
Pershing helps advisory firms connect with investors to tap into
this opportunity.
Investors are becoming increasingly comfortable relying on a combination of
digital and human advice, and Pershing is committed to providing choice for
our clients. Our new digital advice platform is part of our digital enablement
strategy and features a range of digital solutions, including:
› Customizable tools that give advisors the flexibility to capture a greater
share of their clients assets
› Ability to leverage the firm s investing models
› Easy access to solutions via NetX360® for advisors and
NetXInvestor® for clients
Pershing’s digital advice solution is built with an open architecture model
and features non-proprietary, third-party solutions and enhancements that
help advisors grow their business, improve efficiency and gain a sustainable
competitive edge in a rapidly evolving digital marketplace. Digital advice is
another example of how Pershing helps advisors run their businesses more
efficiently and serve their clients more effectively.
Connect with Clients on a New Level
Pershing’s Digital advice solution offers additional benefits.
› Creates scale and efficiency for advisory firms
› Provides choice of digital providers
› Supports the “next generation” of investors
› Potential DOL strategy
› Supports do-it-yourself and tech savvy users of all ages
› Easy to use
Definition
A catchall term applied to
investment services using
technology and online
platforms to empower
the investor with advisory
solutions and enable your
firm to scale effectively
A Strategy of Choice
Turnkey and
Customized Solutions
› White-label capability
› Investor-oriented account
opening and funding
› Risk profiling
› Models, allocation and
rebalancing
› Performance reporting
› Forms and eSignature
› Customer Relationship
Management
› Rebalance/Trading
2017: Engagement Opportunity Guide
13
Core Set of Features Supported by All Vendors
Pershing’s digital advice solution offers additional benefits.
› Risk tolerance questionnaire
› Model flexibility
› Account opening
› Account funding
› Standard and custom fields for account opening
› Tight DocuSign integration
› Integrated with Pershing
— Workflow/Work basket
— NetXInvestor—integration as needed
— NetX360—accounts visible to the advisor and financial institution
› Performance reporting
› Account types
— Individual and joint accounts
— Traditional, Roth and Rollover IRAs
A Choice of Providers to Meet Your Business Needs
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2017: Engagement Opportunity Guide
NetX360® Investment Centers
Alternative Investment Center
Tools and resources to help advisors analyze,
choose and transact alternative investments for
sophisticated clients, including:
Homepage
› Screener tool to view a comprehensive list
of all alternative investments on Pershing’s
platform, including the Alternative Investment
Network and no-fee platforms
› Comparison tool to compare the performance
and fees of up to four non-traded real estate
investment trusts (REITs) side-by-side via Blue
Vault Partners
› Research and education from Morningstar,
Blue Vault Partners and AltX hedge fund
intelligence
Research & Education
› Thought leadership from industry leaders and
investment managers
› Simplified order entry process with enhanced
workflow functionality, improved cost basis
reporting and automatic trade settlement
Screener Tool
2017: Engagement Opportunity Guide
15
ETF Center
› Analyze and invest in 1,800
ETFs and ETNs
› Buy and sell ETFs through a seamless
connection to order entry
› Compare ETFs side by side
› Review premium articles, research
and tools through both Morningstar®
and Lipper
› Read thought leadership content
provided by BNY Mellon and
asset managers
ETF Markets Heat Map
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2017: Engagement Opportunity Guide
ETF Homepage
Mutual Fund Center
Homepage
Features thousands of mutual funds
available from Pershing FundVest 200®
› FundVest 200® quantitative and
qualitative research
› Enhanced screener and
predefined screens › Thought leadership
› Comparison tool
› Link to mutual fund order entry
› Lipper data
FundVest 200®
Thought Leadership
2017: Engagement Opportunity Guide
17
Retirement Plan Network
Pershing’s Retirement Plan Network is an open-architecture platform for the sales,
servicing and custody of retirement plan business. Fully integrated into Pershing’s
NetX360® technology platform, Retirement Plan Network gives advisors one-stop
access to a wide range of tools and solutions to grow their retirement plan business.
Key features
› Built to enhance efficiency in sale and service of retirement plan business
› No cost for advisors or Pershing clients to use the platform
› NetX360® integration with specific core and premium tools
› Entitlement-based access for advisors and firms
Investments
Tools and
Resources
Recordkeepers
Pershing
Custody Solution
Investment
Advisory Services
18
2017: Engagement Opportunity Guide
Chapter Two
2017 Engagement Opportunities
INSITE™ 2017
Pershing Advisor Solutions Programs
Managed Investments Forum Roadshows
Albridge Forum
Offshore Programs
Retirement Programs
2017: Engagement Opportunity Guide
19
7
June 14-16
the Manchester Hyatt-San Diego, California
INSITE is a premiere industry event for success-minded advisors interested in enhancing
client relationships and growing their business. INSITE features an impressive lineup of
world leaders and industry experts, showcases Pershing’s latest solutions, provides access
to an exhibit hall featuring strategic providers and helps financial professionals develop new
business, increase efficiency and differentiate themselves in today’s marketplace.
20
2017: Engagement Opportunity Guide
INSITE 2016 Key Stats
› 2,200 attendees
consisting of 40%
advisory and 60% home
office/hedge fund
› Attendees represent 44
states and 23 countries
(with 10% representing
offshore)
› 30 breakout sessions
(including 7 Unique Elite
Sponsor Hosted) including
143.25 hours of CE credits
approved
› Four keynote speakers:
Amy Cuddy, Jill
Morganthaler, Julia Louis
Dreyfus, Jay Wright
› 169 sponsors networking
with attendees during 15
hours of exhibit hall time
› Solutions from Pershing,
BNY Mellon and industry
third parties showcased in
the Pershing Pavilion
› 64% adoption rate of the
conference app
› 75 media hits
› 360 minutes of live music
during the Block Party
2017: Engagement Opportunity Guide
21
INSITE™ Sponsor Packages
Elite
› Keynote sponsorship
› Ownership of a one-hour
breakout session (non­
repeating)
› Ten conference registrations
› Prominent Exhibit Location
› Invitation to INSITE
Sponsor Reception
› Registration/attendee
lists (opt-in only) for one
pre- or post-conference
communication
› Prominent branding in INSITE
promotion and marketing:
website, app, printed materials
and signage
› Participation in one of
Pershing’s 2017 INSITE
Webcast Series
22
2017: Engagement Opportunity Guide
Platinum
› Ownership of one breakout
session (non-repeating)
› Five conference registrations
› Prominent Exhibit Location
› Invitation to INSITE
Sponsor Reception
› Registration/attendee
lists (opt-in only) for one
pre- or post-conference
communication
› Branding in INSITE promotion
and marketing: website, app,
printed materials and signage
› Participation in one of
Pershing’s 2017 INSITE
Webcast Series
Gold
› Participation in a one hour
breakout session panel with
two additional sponsors
(session repeating)
› Three conference registrations
› Favorable Exhibit Location
› Invitation to INSITE
Sponsor Reception
› Registration/attendee
lists (opt-in only) for one
pre- or post-conference
communication
› Branding in INSITE promotion
and marketing: website, app,
printed materials and signage
› Participation in one of
Pershing’s 2017 INSITE
Webcast Series
INSITE™ Sponsor Packages
Silver
› Two conference registrations
› Exhibit Location
› Registration/attendee lists (opt-in only) for one
pre- or post-conference communication
› Inclusion in INSITE promotion and marketing
Offshore
Please Note: Participation in the offshore
breakout session and or sponsorship of the
offshore attendee dinner requires a minimum
commitment of an INSITE Silver sponsorship.
› Offshore breakout session
› Offshore attendee dinner (no more than four
co-sponsors)
› Branding and attendee list available
Additional INSITE Sponsor Opportunities*
Interested in additional branding exposure and
networking at INSITE 2017? Consider the
following opportunities.
› Attendee Headshots (New)
› Attendee Lanyard
› Block Party (New)
› Charging Stations
› Conference App
› Conference Totebag
› Conference Wi-Fi
› Fitness Activities
› Golf Simulator and Putting Green
› Hotel Room Keycard
› Shoeshine
Please note: A minimum sponsor
commitment at the Silver level is
required in order to take advantage
of these additional sponsor
opportunities. For additional
information or to confirm your
interest, please contact Ted Gullo.
2017: Engagement Opportunity Guide
23
INSITE Block Party
All INSITE attendees will have the opportunity
to participate in the INSITE Block Party in the
Historic Gaslamp Quarter! This year, we will have
exclusive private access to an entire city block
and seven of the hottest restaurants in San Diego
including:
Rockin’ Baja Coastal Cantina
Gaslamp Strip Club
Carne Prima
Cold Beer & Cheeseburgers
Dick’s Last Resort
Union Kitchen & Tap
Café Sevilla
Sponsorship Includes:
› Three conference registrations
› Prominent space in the exhibit hall
› Invitation to INSITE Sponsor Reception
› Registration/attendee lists (opt-in only) for one
pre- and post-conference communication
› Branding in INSITE promotion and marketing
› Participation in one of Pershing’s 2016 INSITE
Webcast Series
› Block Party Welcome from the
Entertainment Stage
› Distribute approved promotional items (provided
by Sponsor) at the Block Party
› Acknowledgment during the General
Session Remarks
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2017: Engagement Opportunity Guide
INSITE Sponsor Level Snapshot
Elite
Platinum
Gold
X
X
Silver
Exhibit Hall
Prominent location with 6’ table and two chairs
X
Favorable placement with 6’ table and two chairs
X
Exhibit space with 6’ table and two chairs
Branding and Promotion
Inclusion in conference advertising and signage
X
One piece of corporate literature included in the
conference tote bag
X
Advertising in the conference app
X
Logo (with hyperlink) on conference website
X
Profile in conference app
X
X
X
X
Listing in conference app
Profile on conference website
X
X
X
Listing on conference website
Onsite Guide Sponsor Profile (logo and corporate descriptor)
X
X
Onsite Guide Corporate Description
X
Conference Participation
Exclusive one-hour breakout session (non-repeating)
X
X
Dedicated breakout session (non-repeating)
X
Participation in one-hour breakout session (repeats twice)
Invitation to Sponsor Reception
X
X
X
Conference registrations*
10
8
3
2
VIP keynote photo opportunity
X
General session VIP seating
X
Pre-conference and post conference attendee lists
X
X
X
X
* Indicates the total number of conference registrations (by level).
2017: Engagement Opportunity Guide
25
Pershing Advisor Solutions Programs
All opportunities host growth-minded advisory firms who have an interest in engaging with Pershing
Advisor Solutions and its platform providers on a range of topics covering investment solutions, practice
management and technology.
All program details are managed by Pershing Advisor Solutions and sponsorship priority and
consideration is given to FundVest®, NetX360® integrated providers and ValueAlliance® members.
Program
Elite
Advisor
Summit
Description
An exclusive invite-only,
two-day program hosting top
advisory firms with a minimum of $1
billion in assets under management.
The agenda provides attendees and
sponsors strategic networking and
intimate knowledge sharing.
Limited to three sponsors per
program. Please contact Ted Gullo
for additional information.
Benefits
Agenda participation (topic and
format to be submitted to Pershing
for review and approval)
› Two program registrations (not to
Date and
Location
February 28March 2, 2017
Turnberry Isle
Aventura, Florida
include agenda speaker)
› Pre-program and post-program
registration/attendee list (includes
opt-in attendees only and for one
time use)
› Company overview in program
materials
› Branding (logo placement) in
program materials
› Opportunity to provide branded
premium item in attendee
welcome bag (item to be
submitted to Pershing for review
and approval)
Regional
Symposium
This program hosts senior
executives from key client and
prospective firms (attendance
ranges from 75 to 150 attendees
based on location).
The agenda provides a mix
of networking and education,
highlighting how Pershing Advisor
Solutions and BNY Mellon can help
drive client engagement, retention
and growth.
Limited to three sponsors
per program.
26
2017: Engagement Opportunity Guide
› Agenda participation (topic to
be mutually agreed upon) or
sponsorship of one networking
opportunity
› Full participation in the two-day
program (one representative from
each sponsor)
› Branding in program
communications and materials/
promotion
› Attendee list
TBA
Pershing Advisor Solutions Programs
Program
INSITE™
Client
Dinner
Description
A networking event hosting over
100 clients of Pershing Advisor
Solutions.
Limited to three sponsors.
Benefits
Date and
Location
› No formal participation
June 14, 2017
› Two representatives from each
Location: TBD,
San Diego
(networking only)
sponsor
› Branding in program
communications and materials/
promotion
› Attendee list
Local Event
An informal networking program
with clients and prospects from
Pershing Advisor Solutions.
Attendance is driven by the
location and nature of the program
(golf, sporting event, networking
lunch, etc.).
Limited to one sponsor per event
(with the exception of the summer
and holiday celebrations).
› One representative
from sponsor
› Audience acquisition strategy
is shared by Pershing Advisor
Solutions and the sponsor
› Branding in program
communications and materials/
promotion
› Attendee list
The dates and
locations for
the 2017 local
events will be
released in
January 2017.
Please contact
Ted Gullo at
tgullo@pershing.
com with
questions.
New in 2017!
Pershing Advisor Solutions is pleased to announce two new programs that will allow you
to connect with clients and prospects. Plan to sponsor the Pershing Advisor Solutions
Technology Forums and the Pershing Advisor Solutions Practice Management Forums.
Details will be released in late 2016.
2017: Engagement Opportunity Guide
27
Managed Investments Forum Roadshows
Gold
› Keynote speaking role at
two events
› Branding in promotional
program communications
› Access to attendee lists*
Silver
Bronze
› Participation in panel at two
events, but can attend all
four events
event, but can attend all four
events
› Branding in promotional
› Branding in promotional
program communications
› Access to attendee lists*
› Participation in panel at one
program communications
› Access to attendee lists*
› Additional Sponsorship
Opportunities available
Additional Opportunities
› Cocktail Reception (Day 1) › Dinner (Day 1)
› Breakfast (Day 2)
› Lunch (Day 2)
› Conference Notebook
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2017: Engagement Opportunity Guide
Dates and locations for the 2017
programs will be released in late
2016 or early 2017. Please contact
Ted Gullo at [email protected].
Albridge Forum
Sponsor Level
Gold Sponsor1
Benefits
› Presenting sponsor; ownership and moderator opportunity for keynote speaker
› One “Integrate15” talk opportunity to all attendees to promote offering
› Exhibit opportunity
› Social media promotion
› Five conference registrations
› Pre- and post-conference attendee lists (opt-in only); lists for pre- or postconference communications
› Branding via the conference website, invitations and during the conference
Silver
Sponsor2
› One “Integrate15” talk opportunity to all attendees to promote offering
› Exhibit opportunity
› Social media promotion
› Four conference registrations
› Pre- and post-conference attendee lists (opt-in only); lists for pre- or postconference communications
› Branding via the conference website, invitations and during the conference
Bronze
Sponsor3
› Exhibit opportunity
› Two conference registrations
› Pre- and post-conference attendee lists (opt-in only)
› Branding via the conference website, invitations and during the conference
› Great networking and access to the Albridge client base
(broker-dealers and registered investment advisors)
› A content-focused agenda:
– Industry and regulatory trends
– Enhancements to the Albridge platform/services
– Engagement with Applink providers and their solutions, with a focus on integration as a whole
Additional Marketing
Opportunities
› Networking event
› Conference attendee book
› Networking break
› Hotel keycard
– Key updates from Albridge senior leaders
› Monday night networking opportunity
1
Available on a first come, first served basis and limited to one sponsor
2
Available on a first come, first served basis and limited to three sponsors
2017: Engagement Opportunity Guide
29
Offshore Programs
All opportunities host Pershing’s non-U.S. client base—growth-minded advisory and broker-dealer
firms from Latin America and EMEA. These engagement opportunities offer strategic networking and
intimate knowledge sharing.
All program details are managed by Pershing.
Program
Offshore
Symposium
Description
An exclusive two day program
hosting Pershing’s top non-U.S.
broker-dealers and advisory firms.
The agenda will host content from
BNY Mellon and Pershing as well as
from sponsors.
Benefits
› Two registrations to the Symposium
› Participation on the agenda (one
Date and
Location
Fall 2017
Lake Mary, FL
breakout session that host two to
three sponsors)
› Sponsorship of one networking
opportunity
› Branding in program
communications and branding
› Attendee list
INSITE™
Offshore
Breakout
Session
Participation in an offshore related
breakout session during the
conference.
› Representation in the breakout
Limited to three sponsors.
› Branding via conference promotion
TBD
along with one to two other
offshore firms
(website, app, onsite)
› Attendee list
INSITE™
Offshore
Dinner
A networking event hosting over 100
clients of Pershing LLC (primarily
from Latin America).
Limited to five sponsors.
› One representative from
each sponsor
› Branding on invitation
› Attendee list
› Program logistics (venue and
audience acquisition is coordinated
by Pershing)
30
2017: Engagement Opportunity Guide
June 12, 2017
(Location and
time: TBD)
Retirement Programs
› All opportunities host clients and prospects of Pershing
› All program details are managed by Pershing
› Sponsorship priority and consideration is given to Retirement Plan Network participants
Program
Advisor
Retirement
Symposium
Description
This day-long program hosts
retirement advisors, including
retirement plan specialists from key
client and prospect firms (50-75
individuals).
The program focuses on how
Pershing strategies and solutions
can help clients and prospects
optimize business and grow assets.
Networking
Opportunities
An informal networking opportunity
with Pershing and BNY Mellon
Retirement clients and prospects,
hosted at a professional sporting
event and/or cultural event. One
sponsor per program.
Date and
Location
Benefits
› Full participation in the program
Spring
and Fall
(two sponsor attendees)
› Opportunity to participate on the
agenda (Top Tier Sponsors only)
› Sponsorship of networking
opportunity
› Branding in program
communications and promotion
› Registration/attendee list
› One sponsor attendee
› Audience acquisition strategy
shared between Pershing and
the sponsor
Various
dates and
locations
› Branding in program
communications and promotion
2017: Engagement Opportunity Guide
31
Appendix
32
2017: Engagement Opportunity Guide
2016 Pershing Hosted
Program Attendance
41%
Broker-Dealer
(includes home office
senior executives,
registered
representatives and
independent
advisors)
32%
Registered
Investment
Advisor
22%
5%
Advisor
Other
2017: Engagement Opportunity Guide
33
Pershing Advisor Solutions
Business Development by Territory
WA
ND
MT
MN
ME
SD
OR
ID
WI
WY
IL
UT
CO
KS
OK
NM
NJ
DE
MD
DC
WV
KY
VA
TN
AR
MS
TX
PA
OH
IN
MO
CA
AZ
NH
MA
CT
RI
NY
IA
NE
NV
VT
MI
AL
NC
SC
GA
LA
AK
FL
HI
PR
Business Development & Relationship Management
Ben Harrison
Managing Director, Head of Business
Development and Relationship Management
201-413-2845
[email protected]
Paula Petragallo
Administrative Assistant, 630-472-6748
[email protected]
West
Pablo Bizjack, Regional Director
415-778-1933, [email protected]
Mid-Eest
Sean Keenan, Regional Director
630-472-6746, [email protected]
Business Development
inquiries and questions
800-445-4467 or http://www.pershing.com/
contact_us/contact_us_ria.html
East
Christopher Gunderson, Regional Director
201-413-3961, [email protected]
Cassia Lee, Administrative Assistant
201-413-2021, [email protected]
Shad Besikof
949-610-5034, [email protected]
Paula Petragallo, Administrative Assistant
201-413-2021, [email protected]
Peter Berg
617-722-3587, [email protected]
TBD
Joe Possley
630-472-7511, [email protected]
Steve Sak
201-413-3602, [email protected]
Gregory Cheng
415-778-1932, [email protected]
Scott Smith
630-472-7519, [email protected]
Gary L. Johnson
201-413-2771, [email protected]
Jonathan Story
704-424-2067, [email protected]
Bill Dalton
201-761-5035, [email protected]
Elizabeth Kigin
630-472-7415, [email protected]
Lila Meng
201-413-2082, [email protected]
Bobby Coster
321-249-4239, [email protected]
Jessica Sweeney
201-413-4312, [email protected]
Bobby Coster
321-249-4239, [email protected]
General inquiries and questions: (800) 445-4467
34
2017: Engagement Opportunity Guide
Pershing Advisor Solutions
Relationship Management by Territory
WA
ND
MT
MN
ME
SD
OR
ID
WI
WY
IL
UT
CO
KS
OK
NM
NJ
DE
MD
DC
WV
KY
VA
TN
AR
MS
TX
PA
OH
IN
MO
CA
AZ
NH
MA
CT
RI
NY
IA
NE
NV
VT
MI
AL
NC
SC
GA
LA
AK
FL
HI
PR
Business Development & Relationship Management
Gabriel Garcia
Relationship Management Director
201-413-3762, [email protected]
Relationship Management
Cassia Lee
Administrative Assistant, 201-413-3860,
[email protected]
West
Technology Consultants
Paul Rojek, Regional VP,
201-413-2904, [email protected]
William E. Sullivan, VP,
617-750-9866, [email protected]
East
Gabriel Garcia, Relationship Management
Director, 201-413-3762
[email protected]
Carsen Donn
Regional Director
303-486-1222, [email protected]
Frank Bub, Regional Director
617-769-4228
[email protected]
Frank Bub
Regional Director (East)
617-769-4228, [email protected]
Dave Nadelson
National -TAMP’s & Corp RIA’s / Strategic
303-486-1232, [email protected]
Tony Fruci, New England
617-769-4210
[email protected]
Carsen Donn
Regional Director (West)
303-486-1222, [email protected]
Michael Abramowicz
Great Lakes/MW, 630-472-7406
[email protected]
Jen Gadd, NY Metro
201-413-4529
[email protected]
Dan McCarron
Sr. RM & National Bank Custody
201-761-5237
[email protected]
Derek Purdo
Great Lakes/MW
630-472-6740, [email protected]
Adam Verchinski, NY Metro/PA
201-413-3640
[email protected]
Lisa Collins, West
415-778-1930, [email protected]
Kevin Brandenburg
Southeast and Tennessee Valley
704-424-2050, [email protected]
Thomas Kindle, South West
602-953-6625, [email protected]
Lisa Crafford
Southeast & Mid Atlantic
321-249-4224, [email protected]
Seamus O’Brien, National,
201-413-3222, [email protected]
Ashley Webster, National
321-249-4683, [email protected]
As of 09/14/2015
2017: Engagement Opportunity Guide
35
Pershing Contact List
Albridge
Marc Butler
Managing Director
Product Management and
Development
(609) 512-3347
[email protected]
Albridge Analytics
Brad Moore
Product Management and
Business Analytics
(302) 791-1312
[email protected]
Client Service Delivery
Marc Caras
Director
Retirement Solutions
(201) 413-3196
[email protected]
Global Client
Relationships
Robert Cirrotti
Managing Director
Investment Solutions
(201) 413-4487
[email protected]
Michael Row
Managing Director
Relationship Management
(201) 413-2259
[email protected]
Global Strategy, Marketing
and Communications
Mark Swenarton
Managing Director
(201) 413-4227
[email protected]
Maureen Duff
Managing Director
(201) 413-3649
[email protected]
Michael Doyle
Managing Director
Mutual Fund and Cash
Management Operations
(201) 413-4561
[email protected]
Rebecca Bales
Director
Product and Services
Marketing
(201) 413-4527
[email protected]
Brendan Sullivan
Director
Mutual Fund and Annuity
Operations
(321) 249-4308
[email protected]
Ted Gullo
Vice President
Platform Engagement
(201) 413-3774
[email protected]
Laurence Fried
Vice President
Mutual Fund Support
(201) 413-3648
[email protected]
Thomas Sholes
Managing Director
(848) 801-8706
[email protected]
Howard Jacobs
Vice President
Mutual Fund Contract
Management
(201) 413-3619
[email protected]
36
Daniel Brunell
Vice President
Mutual Fund Support
(321) 249-4187
[email protected]
2017: Engagement Opportunity Guide
Financial Solutions
Richard Calvario
Vice President
FundVest Product
Management and
529 Product Management
(201) 413-2459
[email protected]
Justin Fay
Vice President
Alternative Investment
Network and
ETF Center Product
Management
(201) 413-2707
[email protected]
Michael S. Partnow
Financial Solutions
(201) 413-3190
[email protected]
Barbara Smith
Vice President
Subscribe Product Manager
(201) 413-3112
[email protected]
Mutual Fund Trading
(800) 266-1864
Pershing Advisor
Solutions
Benjamin Harrison
Managing Director
Business Development and
Relationship Management
(201) 413-2845
[email protected]
Gabriel Garcia
Managing Director
Relationship Management
(201) 413-3762
[email protected]
Pershing Managed
Investments
Joel Hempel
Chief Operating Officer
(484) 801-8828
[email protected]
Patricia O’Connor
Vice President
Money Manager
Relationship Management
(484) 801-8168
[email protected]
Pershing Prime Services
Mark Aldoroty
Managing Director
Prime Services, Collateral
Funding and Trading Services
(201) 413-4445
[email protected]
Important Disclosures
©2016 Pershing LLC. Pershing LLC, member FINRA, NYSE, SIPC, is a
wholly owned subsidiary of The Bank of New York Mellon Corporation
(BNY Mellon). Trademark(s) belong to their respective owners. For
professional use only. Not for distribution to the public. The information
contained herein, including any attachments, is proprietary to,
and constitutes confidential information of Pershing. It may not be
reproduced, retransmitted or redistributed in any manner without the
express written consent of Pershing LLC.
©2016 Pershing Advisor Solutions LLC. 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 LL
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.
Trademark(s) belong to their respective owners. For professional use
only. Not for distribution to the public. The information contained herein,
including any attachments, is proprietary to, and constitutes confidential
information of Pershing Advisor Solutions LLC. It may not be reproduced,
retransmitted or redistributed in any manner without the express written
consent of Pershing Advisor Solutions LLC.
©2016 Albridge Solutions, Inc. Albridge Solutions, Inc. is an affiliate of
Pershing LLC, member FINRA, NYSE, SIPC, a wholly owned subsidiary
of The Bank of New York Mellon Corporation (BNY Mellon).Trademark(s)
belong to their respective owners. For professional use only. Not for
distribution to the public. The information contained herein, including
any attachments, is proprietary to, and constitutes confidential
information of Albridge Solutions, Inc. It may not be reproduced,
retransmitted or redistributed in any manner without the express
written consent of Albridge.
FundVest 200 funds are selected by Lockwood Advisors, Inc. (Lockwood)
based upon the data available at the time of publication and are subject
to change at any time without notice.
Lockwood receives certain research services from the Manager Research
Group of The Bank of New York Mellon Corporation (BNY Mellon) in the
manager research, due diligence, ongoing monitoring, creation and
preparation of this report. Lockwood is an affiliate of Pershing LLC, both
wholly owned subsidiaries of BNY Mellon. Pershing LLC, member FINRA,
NYSE, SIPC.
The investment manager acting as adviser to the mutual funds shown
herein may provide investment advice and/or related services to BNY
Mellon and/or other of its subsidiaries and affiliates. Affiliates of these
investment managers may have contractual relationships with BNY
Mellon and/or other of its affiliates and subsidiaries. In preparing this
report, Lockwood does NOT take into consideration any contractual
arrangement that any investment manager (or any of its affiliates or
subsidiaries) may have with Lockwood's affiliates.
Mutual fund companies which comprise the universe of mutual funds
considered for FundVest 200 may hire subsidiaries and affiliates of BNY
Mellon for advice and service related to the management of their mutual
fund. The existence of these relationships, and the economic impact
of these arrangements to BNY Mellon, were not a factor considered by
Lockwood when selecting mutual funds for the FundVest 200 list.
In preparing this report, Lockwood and BNY Mellon rely in part on
information provided by the fund managers on a periodic basis.
Depending upon the timing of the receipt of any fund manager's
information, the text of this report may not be current. The funds which
comprise FundVest 200 are selected from predefined funds and fund
families chosen by Pershing LLC.
Pershing LLC may receive servicing fees from the mutual fund
companies which comprise the universe of mutual funds considered
for FundVest 200. These fees may be considered revenue sharing and
are a significant source of revenue for Pershing LLC. Pershing LLC may
share these fees with firms using FundVest 200. Purchase minimums
and holding periods may apply to qualify for certain fee considerations
in a FundVest mutual fund trade and vary by firm. Pershing LLC reserves
the right to discontinue the FundVest programs at any time, at its sole
discretion. Pershing and/or its affiliates may also receive fees from
the investment company for services provided which are unrelated to
FundVest or FundVest 200.
FundVest 200 is provided for informational purposes only and is not
intended to meet the objectives or suitability requirements of any
specific individual or account. Investment needs should be assessed
based on an investor's specific financial circumstances and investment
objectives. Neither the information nor any opinions expressed herein
should be construed as a solicitation or a recommendation by Lockwood,
Pershing LLC, BNY Mellon or any affiliated company to buy or sell any
securities or investments.
Risks are inherent in any investment, and there is no assurance that any
mutual fund, asset class, style or index will provide positive performance
over time.
Investors should carefully consider the investment objectives, risks,
charges, fees and expenses of any mutual fund before investing. This and
other important information can be found in the fund prospectus and, if
available, the summary prospectus, which may be obtained by calling the
fund or by visiting the fund's website. Please read each fund's prospectus
and, if available, the summary prospectus carefully before investing.
Mutual funds available through the FundVest 200 program are eligible
for a waiver of sales charges and can be purchased without a transaction
fee. Mutual fund shares acquired without a transaction fee must be
held for a period of up to six months in order to be eligible for a nofee
redemption. Any redemption made prior to the shares' six month
anniversary, in any program, will incur a short-term redemption fee
(unless specified otherwise by your firm; please contact your home office
for additional information).
©2016 Lockwood Advisors, Inc. (Lockwood) is an investment advisor
registered in the United States under the Investment Advisers Act of
1940, an affiliate of Pershing LLC and a wholly owned subsidiary of The
Bank of New York Mellon Corporation (BNY Mellon). Trademark(s) belong
to their respective owners. For investment professional use only. Not for
distribution to the public. The information contained herein, including
any attachments, is proprietary to, and constitutes confidential
information of Lockwood Advisors. It may not be reproduced,
retransmitted or redistributed in any manner without the express
written consent of Lockwood.
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