© 2012 albridge solutions, inc. albridge solutions, inc. is an affiliate of pershing llc. pershing...

© 2012 Albridge Solutions, Inc. Albridge Solutions, Inc. is an affiliate of Pershing LLC. Pershing LLC, member FINRA, NYSE, SIPC, is a subsidiary of The Bank of New York Mellon Corporation. Trademark(s) belong to their respective owners. For professional use only. Not for distribution to the public.

Albridge -Optimizing the Performanceof Financial Services FirmsTechLeaders ConferenceThe Omni Mandalay Hotel at Las Colinas – Irving, Texas

Patrick YipDirector of Enterprise Solutions March 19-21, 2012


Agenda

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> Overview

> Albridge Products and Services

> Q&A

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© 2012 Albridge Solutions, Inc. Albridge Solutions, Inc. is an affiliate of Pershing LLC. Pershing LLC, member FINRA, NYSE, SIPC, is a subsidiary of The Bank of New York Mellon Corporation. Trademark(s) belong to their respective owners. For professional use only. Not for distribution to the public. 3

Overview


A Powerful Combination

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> Compliance management

> Data warehousing

> Document management

> Custom development

> Enterprise data management

> Performance reporting

> Interoperability

> Service and operations excellence

> Account-level performance reporting

> Business intelligence solutions


Mission

“To be the trusted and

innovative provider of

enterprise data and

wealth management

solutions that deliver

measurable value to

financial institutions,

financial professionals

and clients”

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Integrated Solutions

© 2012 Albridge Solutions, Inc. Albridge Solutions, Inc. is an affiliate of Pershing LLC. Pershing LLC, member FINRA, NYSE, SIPC, is a subsidiary of The Bank of New York Mellon Corporation. Trademark(s) belong to their respective owners. For professional use only. Not for distribution to the public. 7

Albridge Products and Services


“Providing performance information is the single

most critical factor investors look for in their statements*”

The Industry’s Best Performance Reporting Practices

> Albridge Wealth Reporting™– Web-based client reporting solution– 150 financial institution customers– 60 million accounts and $1.5 trillion in assets processed daily– Users

45,000 financial professionals Three million+ investors

> Albridge Wealth Reporting is ranked the number one portfolio management system

in Financial Planning magazine’s Technology Survey

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*DALBAR Inc. 12th Annual Trends and Best Practices in Investor Statements: Brokerage

57% of U.S. households with at least $10M in investible assets are working

with five or more financial professionals

44% of wealthy households had changed their primary financial

professional over the past 12 months

57%44%


Albridge Applink Partners

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Applink


Compliance Management

> Driven by competition, compressed profit margins and increased compliance challenges

> Identified five areas that broker-dealers consider top challenges

> Responded to challenges in diverse ways—from implementing best practices to keeping pace with changes

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Broker-Dealer Perspective – Beacon Strategies, LLC

Top Five Challenges % Mentioning

Sales practice monitoring 79%

Regulatory change 73%

Suitability review 71%

Product education 64%

Operational processes 54%

Source: Albridge and Beacon Strategies whitepaper “Broker-Dealer Sales Practices Oversight: Secrets of Their Success” (October 2010)


Compliance Tools

> Rules-based compliance monitoring

> Multi-custodial monitoring

> Flexible workflow

> Better compliance with smaller staff

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Sales Practices Monitoring


Sales Practices Surveillance Automation Drives ROI

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Daily Time Commitment to Review Trade Blotters With and Without an Automated Solution

330 Minutes

45 Minutes

Without With

Source: “Broker-Dealer Sales Practices Oversight: Secrets of Their Success” whitepaper (October 2010)

70%

Time spent reviewing trade blotters with an automated solution was 2 ¾ hours or 78% lower than without one


Operations Consulting – Characteristics of Highly Efficient Firms

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More Productive Employees and Better Deployment of Technology Give Top Performers a Significant Competitive Edge

Source: iNautix – Moss-Adams Independent Study: The Art of Efficiency A Holistic Approach to Operations (April 2009)


Paperless Environment Strategy

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60.0%

20.0%

Not-In-Good-Order Rate Without Not-In-Good-Order Rate With

Document Management and Workflow Drives Real Business Value

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NIGO Rates With and Without Document Management and Workflow for Annuity Processing

Source: Large Midwestern Bank Broker-Dealer (2010)

66%

The not-in-good-order rate with document management and workflow was 40 percentage points or 66% lower


Data Warehouse and Business Intelligence Products

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Data Warehouse

The Albridge Data Warehouse is a packaged turnkey data warehouse/ business intelligence product that allows a broker-dealer to have access to the key information about its business that is timely, accurate and actionable > Albridge-hosted solution> Custom data warehouse> Includes a business intelligence tool

Coates Analytics

Coates Analytics> Management reports> Dashboards> Subadvisor certification and due diligence tools


Integrated Solutions

© 2012 albridge solutions, inc. albridge solutions, inc. is an affiliate of pershing llc. pershing...

Documents

albridge solutions

affiliate of pershing

integrated solutions

wealth management solutions

member finra

respective owners

professional use

overview albridge products