You can trust our Financial Intermediary department to service your intermediary relationships efficiently and effectively.
As your trusted liaison between banks, brokerage firms, and third-party administrators, our Financial Intermediary department provides a wide range of services and support to Registered Investment Advisers, supermarkets, broker-dealers, 401(k) administrators, insurance companies, banks, and trust companies.
Our comprehensive suite of services includes monitoring trading through the DTCCs automated services, including Fund/SERV, Networking, DCC&S, ToRA, Payment aXis, and ACATS.
Our team of experts provides manual 401(k) trading, dealer agreement setup and maintenance, processing and ongoing review of share aging, payment of commissions, and billing of dealer loss reclaims. A specialized team focuses on servicing additional investment products such as closed-end mutual funds, exchange traded funds, and fund-of-funds processing. The Financial Intermediary team also supports all dealer and industry events including firm name changes, mergers and omnibus conversions.