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Apex Fintech Solutions Acquires AdvisorArch

March 19, 2024 by Eugene Grygo

Apex Fintech Solutions Acquires AdvisorArch

Apex Fintech Solutions intends to strengthen its RIA Custody and Execution Platform with digital advice tools that will be added as a result of Apex’s acquisition of AdvisorArch, a portfolio management and rebalancer provider, officials say. Apex will not be disclosing the financial details of the acquisition, which is expected to be final on April… Read More >>

Filed Under: Derivatives Operations, Derivatives Processing, Securities Operations, Affirmation, Allocation & Confirmation, Back Office, Buy-Side, Industry News, Middle-Office, Operational Risk, Ops Automation, Digital Asset Custody, Digital Transformation, FinTech Startups, FinTech Trends, Back-Office, Integration Tagged With: AdvisorArch, Apex Fintech solutions, automation, custody, execution, financial advisors, registered investment advisor, RIA

T. Rowe Price’s RIA to Launch in March 2022

August 10, 2021 by FTF News

T. Rowe Price’s RIA to Launch in March 2022

New RIA to Be Independent of T. Rowe Price T. Rowe Price officials report that the firm’s funds’ board added a new subadviser — T. Rowe Price Investment Management (TRPIM) — the firm’s own SEC-registered and fully independent investment adviser. Late last year, T. Rowe Price Group, Inc. announced that it would establish TRPIM as a… Read More >>

Filed Under: Derivatives Operations, Collateral & Margin Management, Derivatives Processing, Securities Operations, Buy-Side, Clearing, Corporate Actions, Data Management, Industry News, Middle-Office, Ops Automation, Outsourcing, Reconciliation & Exceptions, Risk Management, Settlement, Digital Transformation, Back-Office, Integration, Standards, Performance Measurement, Regulatory Compliance, Industry News Tagged With: automation, back office, CDS, data management, DTCC, operations, registered investment advisor, SEC, Securities Operations, settlement, T. Rowe Price, wall street

Pershing Offers RIAs New Bridge to Alternatives

August 28, 2020 by FTF News

Pershing Offers RIAs New Bridge to Alternatives

Pershing’s API Links to CAIS & iCapital Network Clearing and custody services provider BNY Mellon Pershing has just launched enterprise-wide, application programming interface (API) capabilities to two alternative investment sponsors, CAIS and iCapital Network, underscoring Pershing’s efforts to help registered investment advisors (RIAs) connect to the alternative investments space, officials say. CAIS and startup iCapital… Read More >>

Filed Under: Securities Operations, Buy-Side, Corporate Actions, Data Management, Industry News, Middle-Office, Operational Risk, Ops Automation, Outsourcing, Reconciliation & Exceptions, Risk Management, Settlement, Governance, FinTech Trends, Back-Office, Blockchain/DLT, Integration, Standards, Performance Measurement, Regulation & Compliance Tagged With: alternatives, automation, back office, blockchain, BNY Mellon, BNY Mellon Pershing, Cameron and Tyler Winklevoss, corporate bonds, cryptocurrency trading, registered investment advisor, Zoom

Black Diamond Upgrades Links to Schwab’s Custodial Platform

August 18, 2020 by Eugene Grygo

Black Diamond Upgrades Links to Schwab’s Custodial Platform

SS&C Advent’s Black Diamond Wealth Platform is offering more digital access to the Schwab Advisor Center custodial platform via IT integration links that help end-users eliminate paper-based processes, save time, improve accuracy, and move faster toward digitizing their workflows, officials say. Schwab and SS&C’s Advent have been serving mutual clients “for more than 30 years,”… Read More >>

Filed Under: Securities Operations, Buy-Side, Corporate Actions, Data Management, Industry News, Middle-Office, Operational Risk, Ops Automation, Outsourcing, Reconciliation & Exceptions, Settlement, General Interest, Governance, FinTech Trends, Back-Office, Integration, Standards, Performance Measurement, KYC, Industry News Tagged With: automation, back office, Black Diamond Wealth Platform, broker dealers, Charles Schwab, data management, operations, registered investment advisor, SS&C Advent

RNC Genter Deploys Single-Point Access to Fiserv Network

September 13, 2016 by Eugene Grygo

Firm to Use Fiserv’s Asset Manager Connect Asset manager RNC Genter Capital Management is using Asset Manager Connect from Fiserv to “increase access to managed account sponsors and grow their client base,” officials say. The Asset Manager Connect links lets firms easily communicate with managed-account sponsors across the Wealth Management Network from Fiserv, officials say…. Read More >>

Filed Under: FTF Bull Run Blog, Derivatives Operations, Securities Operations, Buy-Side, Data Management, Ops Automation, Reconciliation & Exceptions, FinTech Trends, Regulation & Compliance, Derivatives, Regulatory Compliance Tagged With: Asset Manager Connect, Babson Capital, Barings Corporate Investors, CFTC, data aggregation, data management, Fiserv, reconciliation, registered investment advisor, RNC Genter Capital Management, Separately Managed Accounts, wealth management

SEC Hits WL Ross with $2.3M Penalty

August 31, 2016 by Louis Chunovic

SEC officials report that WL Ross & Co. LLC, a New York-based private equity fund adviser, founded and chaired by investor Wilbur L. Ross, will pay a civil penalty of $2.3 million, plus reimbursements, to settle charges that it failed to disclose its fee allocation practices to the WLR Funds and their investors, resulting in… Read More >>

Filed Under: General Interest, Governance, AML/Fraud/Financial Crime, Regulation & Compliance, Industry News Tagged With: Advisers Act and Rule 206(4)-8, compliance, Donald Trump, Invesco, limited partnership agreement (LPA), management fees, private equity, registered investment advisor, SEC, The New York Times, Wilbur L. Ross, WL Ross, WL Ross & Co. LLC, WLR Funds

Ladenburg Thalmann Finishes SSN Addition

January 6, 2015 by Louis Chunovic

Miami-based Ladenburg Thalmann Financial Services Inc., a publicly traded financial services company, reports that it has completed its previously announced acquisition of Securities Service Network, Inc., a broker-dealer, registered investment advisor and insurance agency, based in Knoxville, Tennessee. SSN, founded in 1983, has approximately 450 financial advisors, registered representatives and insurance agents around the country… Read More >>

Filed Under: General Interest, Industry News Tagged With: broker-dealer, mergers, registered investment advisor

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