Engagement Opportunity Guide - Global Financial Solutions · a capital markets license to meet the needs ... An integrated managed account solution available to Pershing LLC clients

For investment professional use only. Not for distribution to the public.

2018Engagement Opportunity Guide

2

The Pershing PlatformBusiness Snapshot 6

Global Reach 8

Market Position 10

Client Support 12

Fund Center 14

FundVest 200® 16

ETFs and FundVest ETFs 18

Managed360™ 20

WealthStart 22

Digital Experience 24

Digital Advice 26

NetX360® Investment Centers 28

Retirement Plan Network 30

2018 Engagement OpportunitiesINSITE™ 2018 34

Advisor Solutions 40

Albridge Forum 42

Managed Investments 44

Offshore Programs 46

Retirement Programs 48

2018: Engagement Opportunity Guide 3

AppendixAdvisor Solutions Business Development 52

Advisor Solutions Relationship Management 53

Contact List 54

The Pershing Platform

6

Why Pershing? y Foster deeper relationships with broker-dealers, registered investment advisory firms, investment managers and retirement plan specialists, wealth managers and advisors

y Create awareness for your products and services

y Drive more activity and increase your firm’s assets

Global Leader y Provides clearing and custody in more than 65 markets and execution in over 60 markets globally; Pershing also facilitates the trading and conversion of more than 50 currencies

y 1,400 clients comprised of global asset managers, broker-dealers, family offices, registered investment advisory firms investment managers and fund managers

y Over 700 broker-dealers and 500 registered investment advisory firms

y Approximately $1.7 trillion in global client assets (Pershing LLC and its global affiliates)

y More than 7 million investor accounts globally

y Over 100,000 professionals using the Pershing technology platform for broker-dealers and advisors

y Institutional focus with no direct retail channel

y Parent company is The Bank of New York Mellon Corporation (BNY Mellon)

Business Snapshot

Back to TOC


Strength in Numbers y $503.6 billion in mutual fund assets under custody

y $95.9 billion in cash management balances under custody

y $128.1 billion in exchange-traded fund assets under custody

y $22 billion in offshore fund assets under custody

y $433 billion in retirement assets under custody

y $185 billion in total assets under custody (including Bank Custody) for registered investment advisors

y On average, $750 million in assets under management for RIA clients on the Pershing platform

BNY Mellon y $32.2 trillion in assets under custody and/or administration

y $1.8 trillion in assets under management

y $37.2 billion in total shareholders’ equity

y $54.78 billion in market capitalization

Business Snapshot

As of 9/30/2017

8

The Americas y Pershing has offices across the United States and a dedicated team that services Latin America

y Client reporting is made available in U.S. dollars, Mexican pesos, Brazilian realis, Canadian dollars and other currencies

y Through NetXInvestor®, Pershing’s online investor platform, clients access consolidated account information and a Spanish-language investor website

Asia Pacific y Pershing Securities Singapore Pte Ltd1 holds a capital markets license to meet the needs of Singapore wealth managers, independent advisors and financial intermediaries

y In Australia, Pershing delivers business solutions through Pershing Securities Australia Pty Ltd2, supporting client reporting in U.S. dollars, Singapore dollars, Hong Kong dollars, Chinese yuan, Philippine pesos, Thai baht, Australian dollars and New Zealand dollars

EMEA y Pershing provides a broad range of financial business solutions to investment banks, broker dealers, wealth managers, financial planners and advisers across EMEA

y 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

y These are supported by a robust regulatory and compliance framework with dedicated client asset experience and expertise

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.

Global Reach

Back to TOC


Global Reach

10

Market Position

Back to TOC

36.8%

12.8%9.2%

9.2%

7.2%

5.2%

4.4%

4.1%

3.6%

2.2%2.9%

2.0% 0.4%

Correspondent Clearing Firms U.S. Introducing Broker-Dealer Segment—Market Share by Number of IBDsTotal FINRA Broker Dealer Firms: 3795

Sources: InvestmentNews Top Clearing Firm Ranking, 08/17

* Pershing a/o 12/16

** LaRoche Database 08/17

Pershing LLC* (714) Fidelity Clearing &Custody Solutions** (248)

RBC CorrespondentServices (178)

HillTop SecuritiesInc. (178)

Merrill Lynch** (140) Wedbush MorganSecurities Inc. (100)

Goldman SachsExecution** (85)

COR ClearingLLC (80)

First Clearing LLC (69) Apex Clearing** (56) INTL FCStone Financial (45) Raymond James (39)

LPL Financial** (7)


The Custodian of Choice for Elite AdvisorsPercentage Change in RIA Assets Custodied (2011-2016)

Data from 2011-2016

Source: Financial Planning

Pershing Fidelity Schwab

0

20

40

60

80

100

120

140

160

180

200

190%

133%

30%

Market Position

12

Clearing, Custody and SettlementInvestment Solutions y Alternative Investments

y Annuities

y Cash Management

y Education and Health Savings

y Exchange-Traded Funds

y High Net Worth

y Lending Strategies

y Mutual Funds

y Wealth Management

Client SupportManaged Investments Solutions y Broker-Dealer

y Managed Investments: Technology

y Registered Investment Adviser

y SMA Outsourcing

Marketing and Practice Management y Events

y Programs and Resources

y Strategic Consulting

y Thought Leadership

y ValueAlliance®

Back to TOC


Prime Services y Client Service

y Execution Services

y Financing Solutions

y Liquid Alternatives

y Securities Lending

y Technology

y Value-Added Services

Retirement Solutions y Individual Retirement Accounts

y Retirement Plan Network

y Small Business Retirement Plans

Trading Services y Access to Market Specialists

y Financing Solutions

y Fixed Income Analytics for Advisors

y Global Execution

y Open Architecture Technology

y Reporting Tools for Senior Management

y Securities Lending

y Self-service and Guided Solutions

Technology and Enterprise Data Management y Advisor Solutions

y Integration as a Service

y Investor Solutions

y Mobile—Anytime, Anywhere

y NetX360® Client Onboarding

y Reporting and Analytics

Client Support

14

Fund Transfer

Trading Desk

CommissionPlatform

Systematic Investments

ProspectusFulfillment

AMA, Margin andRetirement Accounts

Mutual Fund Research

Order Blasting

Wireless Platform

FundVest®

Mutual FundOnly IRA

PortfolioEvaluation Service

Statement Services

ConsolidatedReporting

DividendReinvestment

FundCenter®

y Mutual fund supermarket

y Access to more than 28,000 mutual funds from more than 800 fund families

y Consolidated statements

y Research and hypothetical tools online– Morningstar®

– Standard & Poor’s® (S&P®)– NaviPlan®

y Seamless account and portfolio administration

y 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

Back to TOC


FundVest®

Fund Center

y No-transaction fee platform– No commission charges – Various class shares

- No-load- Class A—load waived at net asset

value (NAV)- Institutional shares

y Access to over 7,500 no-transaction-fee (NTF) mutual funds from more than 300 fund families

y Complements managed account and fee-based brokerage programs

y Consolidation of assets on the monthly statements– Opportunity for e-delivery of statements

y Pershing addendum required for broker-dealer participation

y Selling agreements with fund companies required

y Fund companies participating in FundVest are provided complimentary access to the Mutual Fund Dashboard which includes timely information on broker-dealer trade and position details through the Intraday Reporting feature

16

FundVest 200®

Requestsfor

Information

ManagerInterviews

MRG RatingReview Committee

LockwoodInvestmentCommittee

Screening

Research and Monitoring Process

Back to TOC


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, is provided at no additional charge to Pershing LLC clients and 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 Investment advisory services with respect to this list are provided to Pershing, LLC (Pershing) by Lockwood Advisors, Inc. (Lockwood), an affiliate of Pershing. Pershing is not a registered investment adviser and does not offer investment advisory products, programs or services. Lockwood is an SEC Registered Investment Adviser registered in the United States under the Investment Advisers Act of 1940. Pershing and Lockwood are each subsidiaries of The Bank of New York Mellon Corporation. Pershing LLC, member FINRA, NYSE, SIPC.

Fund Center

18

ETFs and FundVest ETFsExchange-Traded FundsPershing provides a comprehensive and robust exchange-traded fund (ETF) platform enhanced by our affiliation with BNY Mellon Capital Markets. We have over 4.3 million ETF positions and more than $90 billion in exchange-traded product assets under custody.

FundVest ETFPershing provides access to more than 140 NTF-ETFs covering a diverse range of strategies and asset classes. In addition to offering a robust list of prominent asset managers, FundVest ETF features:

y No transaction fees

y No purchase minimums

y No holding period

Back to TOC


ETFs and FundVest ETFs

ETF Center y Analyze and invest in over 2,000 ETFs and ETNs, including more than 140 NTF-ETFs

y Buy and sell ETFs through a seamless connection to order entry

y Compare ETFs side by side

y Review premium articles, research and tools through both Morningstar® and Lipper

y Read thought leadership content provided by BNY Mellon and asset managers

20

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.

An integrated managed account solution available to Pershing LLC clients and offered through BNY Mellon’s Lockwood Advisors, Inc (Lockwood)1.

The program offers access to leading third-party 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.

Managed360®

Features y Account Maintenance

y Billing

y Education and Training

y Investment Solutions and Research

y New Account Opening

y Performance Reporting

y Portfolio Analytics

y Proposal Generation

Investment SolutionsAdvisors can potentially meet the needs of all market segments, from emerging investors to ultra-high net worth investors through:

y Mutual fund/exchange-traded fund (ETF) wrap accounts– Fixed and flexible allocation models

y Third-party model providers

y Separately managed accounts (SMA)

y Unified managed accounts

Back to TOC


Managed360

22

WealthStart™

Lockwood’s WealthStart Portfolios for the Emerging and Mass-Affluent InvestorLockwood’s WealthStart™ Portfolios (WealthStart) are mutual fund and/or exchange-traded fund (ETF) accounts that seek to assist emerging and mass-affluent investors to grow their wealth. Lockwood, serving as the portfolio manager, allocates investor assets across multiple asset classes and styles via mutual funds and/or ETFs in one account. WealthStart offers six models with traditional and non-traditional asset classes. Tax-aware versions of each model are also available.

Investor suitability

WealthStart may be suitable for investors seeking the potential benefits of a professionally managed portfolio who desire:

y Advice-based account structure with an entry minimum at $10,000

y Tax-aware investment strategies

Back to TOC


WealthStart

WealthStart models

WealthStart offers six models with traditional and non-traditional asset classes. Tax aware versions, which include municipal bond funds in the fixed income allocation of each model, are also available.

■ Core Fixed Income ■ Short Term Fixed Income ■ Inflation Protection ■ Emerging Markets

■ U.S. Equity ■ Gold ■ International Equity

Model I3% Equity

97% Fixed Income

Model II20% Equity

80% Fixed Income

Model III40% Equity

60% Fixed Income

Model IV60% Equity

40% Fixed Income

Model V80% Equity

20% Fixed Income

Model VI100% Equity

0% Fixed Income

As of December 31, 2016

24

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:

y Enriching the investor experience

y Supporting the advisor experience

y Providing actionable insights with data and analytics

y Supporting global wealth management

y Helping clients manage risk

Digital Experience

Back to TOC


Multi-Channel ExperiencesPershing’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 third-party tools and information; and anytime, anywhere access from your mobile device of choice.

Digital Experience

26

Digital AdviceEmbrace the PossibilitiesPershing is committed to offering clients digital advice solutions based on their needs—technology sophistication, strategies and business models. Between the best-of-breed vendors already available—incluidng Marstone, Jemstep, and AdvisorEngine—and Pershing’s new Digital Portfolios, our digital advice strategy includes solutions for the wide variety of firms we serve.

Investors are becoming increasingly comfortable relying on a combination of digital and human advice, and Pershing is committed to providing you with options to best suit your firm’s needs. Our digital advice platform is part of our digital enablement strategy and features a range of digital solutions, including:

y Customizable tools that give advisors the flexibility to maintain ownership of their clients’ assets

y Ability to leverage their own investing models

y Easy access to solutions via NetX360® for advisors and NetXInvestor® for clients

Pershing’s digital advice solution is built with an open architecture model for maximum flexibility and is another example of how Pershing helps advisors run their businesses more efficiently and serve their clients more effectively.

Back to TOC


Did You Know?Cerulli projects that the digital advice market will grow to nearly $500 billion by 2020.

A strategy of choice

When it comes to digital advice, you have a choice:

The Vendor Solution—featuring leading providers like Marstone, Jemstep and AdvisorEngine

The Do-it-Yourself Solution—featuring proprietary integrations through the NetXServices API Store, powered by NEXEN.

Pershing’s Prorpetary Solution—Pershing’s Digital Portfolios™

Digital Advice

28

NetX360® Investment CentersMutual Fund CenterFeatures thousands of mutual funds available from Pershing’s FundCenter platform

y Quantitative and qualitative research

y Enhanced screener and predefined screens

y Thought leadership

y Comparison tool

y Link to mutual fund order entry

y Lipper data

Back to TOC


NetX360®

Investment Centers

Tools and resources to help advisors analyze, choose and transact alternative investments for sophisticated clients, including:

y Screener tool to view a comprehensive list of all alternative investments on Pershing’s platform, including the Alternative Investment Network and no-fee platforms

y 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

Alternative Investment Center y Research and education from Morningstar, Blue Vault Partners and AltX hedge fund intelligence

y Thought leadership from industry leaders and investment managers

y Simplified order entry process with enhanced workflow functionality, improved cost basis reporting and automatic trade settlement

30

Key Features y Built to enhance efficiency in sale and service of retirement plan business

y No cost for advisors or Pershing clients to use the platform

y NetX360® integration with specific core and premium tools

y Entitlement-based access for advisors and firms

PershingCustody Solution

Tools andResources

InvestmentAdvisory Services

RecordKeepers

Investments

Retirement Plan Network

Back to TOC


Retirement Plan Network

32

2018 Engagement Opportunities


34

Back to TOC

June 6-8 Hyatt Regency-Orlando, Florida

INSITE is a premier 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 offerings, 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.


iNSITE18

INSITE 2017 Key Stats

y Over 2,000 attendees consisting of 52% advisory and 48% home office/hedge fund

y Attendees represent 46 states and 15 countries (10% representing offshore)

y 30 unique breakouts including Elite Sponsor-hosted sessions and 17 live-streamed sessions.

y Four General Sessions including: Jack Lew, Rana el Kaliouby, Alexis Ohanian, Oscar Salazar Gaitan, Platon Antoniou and Aaron Rodgers

y 169 sponsors networking with attendees during 15 hours of exhibit hall time

y BNY Mellon and industry third parties showcased in the Pavilion

y 70% adoption rate of the conference app

y 120 pieces of earned media coverage

36

INSITE 5K Fun Run & Walk y Sponsorship of a popular conference event with over 100 participating attendees

y Brand recognition on race bib as well as within conference promotion (conference app, signage, onsite guide, etc.)

y Opportunity to serve as race starter and medal presenter

y Preferred location in the INSITE Exhibit Hall

INSITE Attendee Totebag y Brand opportunity with distribution to over 2,000 conference attendees

y Sponsor logo is prominently displayed on bag

y Opportunity to include one piece of corporate marketing material in the bag


INSITE Block Party y Premier conference networking event at Pointe Orlando

y Brand recognition in conference app, on program signage and within conference onsite guide

y VIP space at designated block party venues

y Branding on corn hole games

y Branding on any premium items distributed at block party (drinking cups, etc.); sponsor has the option to

provide branded premium item

y Important Note: This sponsorship includes Silver Level conference sponsorship (with preferred exhibit space location in the exhibit hall)

INSITE Exhibit Hall Café y A popular attraction at the conference where attendees can grab a specialty coffee, network and relax; hours of operations coincide with exhibit hall hours

y Staff has the opportunity to wear sponsor-branded shirts during operation (shirt provided by the sponsor)

y Prominent brand recognition on signage and cups and sponsorship noted in conference materials


INSITE Conference App y A popular feature of conference attendees - in 2017, 70% of attendees downloaded the conference app

y Brand recognition

y Two push notifications daily, limited to 120 characters (a total of six notifications during the conference)

y Analytics on those attendees who download the conference app, opt-in only attendees

y Preferred location in INSITE Exhibit Hall

INSITE Conference App Push Notifications y A quick (and easy) way to communicate to conference attendees

y One push notification daily (a total of three notifications during the conference)

y Each notification is limited to 120 characters and will be reviewed and approved by BNY Mellon’s Pershing prior to the conference

y Limited to five conference sponsors

INSITE Golf Simulator y A popular attraction with conference attendees

y The simulator is co-sponsored with Wilson Sporting Goods and is staffed with golfing professionals

y Sponsor logo prominently displayed on the outside of the simulator as well as on the leaderboards; in addition, sponsor is listed in all promotion in conference materials (app and onsite guide)

y Exclusive opportunity to capture qualified leads (sponsor to manage the registration process)


INSITE Hotel Room Keycard y A highly-visible branding opportunity with conference attendees

y Sponsor logo prominently displayed on the card


Additional Sponsor OpportunitiesFor a small additional investment, increase your brand presence at INSITE.

Sold

Sold


INSITE Lanyard y A highly-visible branding opportunity for conference attendees

y All attendees are required to wear a name badge during the conference (over 2,000 people)

y Sponsor logo is prominently displayed on the lanyard (one color imprint)

y Sponsor is offered a preferred location in the

INSITE Exhibit Hall

INSITE Onsite Guide y A resource for conference attendees that contains the agenda, conference map and other conference highlights

y Copies of the Guide are distributed to all attendees

y Sponsor logo prominently displayed on the cover of the Guide

y Sponsor is offered a preferred location in

INSITE Exhibit Hall

INSITE Photo Package y Sponsor logo prominently displayed on any post photo emails and prints


INSITE Exhibit Hall

INSITE Shoeshine Station y A popular conference offering

y Sponsor logo on all signage

y Staff has the opportunity to wear sponsor-branded shirts (provided by the sponsor)


INSITE Wi-Fi y Conference attendees take advantage of wi-fi available in all conference areas (general session, exhibit hall, breakout sessions, etc.)

y Sponsor logo prominently displayed on welcome/splash page

y Sponsor name incorporated into wi-fi password


INSITE Exhibit Hall

Important 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.

Hotel Room Keycard

Conference Bag

Conference Lanyard

Onsite Guide

38

Sponsor Packages

Elite Platinum Gold

y Keynote sponsorship

y Ownership of a one-hour breakout session (non-repeating)

y Ten conference registrations

y Prominent exhibit location

y Invitation to INSITE sponsor event

y Registration/attendee lists (opt-in only) for one pre- or post-conference communication

y Prominent branding in INSITE promotion and marketing: website, app, printed materials and signage

y Participation in one webcast from Pershing’s Webcast Series

y Ownership of one breakout session (non-repeating)

y Five conference registrations (additional registrations are $500 per registration)

y Prominent exhibit location



y Branding in INSITE promotion and marketing: website, app, printed materials and signage


y Participation in a one-hour breakout session panel with two additional sponsors (session repeating)

y Three conference registrations (additional registrations are $600 per registration)

y Favorable exhibit location



y Branding in INSITE promotion and marketing: website, app, printed materials and signage


Silver Bronze Offshore

y Two conference registrations (additional registrations are $1,100 per registration)

y Exhibit location


y Inclusion in INSITE promotion and marketing

Please note: Participation as an INSITE Bronze Sponsor is afforded only to current ValueAlliance® members.

y The opportunity to host three to five private meetings with targeted conference attendees


y Inclusion in INSITE promotion and marketing

y Two conference registrations

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.

y Offshore breakout session: $7,500

y Offshore attendee dinner: $6,000 (no more than four co-sponsors)

y Branding and attendee list available

Back to TOC


Elite Platinum Gold Silver Bronze

Exhibit Hall

Prominent location with 6’ table and two chairs X

Favorable placement with 6’ table and two chairs X X

Exhibit space with 6’ table and two chairs X

Branding and Promotion

Inclusion in conference advertising and signage X 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

Listing in conference app X X X X X

Profile on conference website X X

Listing on conference website X X X X X

Onsite Guide Sponsor Profile (logo and corporate descriptor)

X

Onsite Guide Corporate Description X X

Conference Participation

Exclusive one-hour breakout session (non-repeating)

X

Dedicated breakout session (non-repeating) X

Participation in one-hour breakout session X

Invitation to Sponsor Reception X X X

Conference registrations* 10 5 3 2 2

VIP keynote photo opportunity X

General session VIP seating X

Pre-conference and post-conference attendee lists X X X X X

* Indicates the total number of conference registrations (by level).

Sponsor Level Snapshot

iNSITE18

40

Advisor SolutionsAll 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 Description Benefits Date and Location

Elite Advisor Summit

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 [email protected] for additional information.

y Agenda participation (topic and format to be submitted to Pershing for review and approval)

y Two program registrations (not to include agenda speaker)

y Pre-program and post-program registration/attendee list (includes opt-in attendees only and for one time use)

y Company overview in program materials

y Branding (logo placement) in program materials

y Opportunity to provide branded premium item in attendee welcome bag (item to be submitted to Pershing for review and approval)

March 7-9, 2018

The Ritz Carlton, Laguna Nigel, CA

RIA 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.

y Agenda participation (topic to be mutually agreed upon) or sponsorship of one networking opportunity

y Full participation in the two-day program (one representative from each sponsor)

y Branding in program communications and materials/promotion

y Attendee list

The dates and locations will be available in early 2018.

Back to TOC


Advisor Solutions


INSITE™ Client Dinner

A networking event hosting over 100 clients of Pershing Advisor Solutions.

Limited to three sponsors.

y No formal participation (networking only)

y Two representatives from each sponsor


y Attendee list

June 6-8, 2018

Orlando, Florida

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).

y One representative from sponsor

y Audience acquisition strategy is shared by Pershing Advisor Solutions and the sponsor


y Attendee list

The dates and locations will be available in early 2018.

42

Albridge ForumThe Albridge Forum provides great networking and access to the Albridge client base—broker-dealers and registered investment advisors.

Sponsor Level Benefits

Gold Sponsor1

y Presenting sponsor; ownership and moderator opportunity for keynote speaker

y Exhibit opportunity

y Social media promotion

y Three conference registrations

y Pre- and post-conference attendee lists (opt-in only); lists for pre- or post-conference communications

y Branding via the conference website, invitations and during the conference

Silver Sponsor2


y Social media promotion

y Two conference registrations

y Pre- and post-conference attendee lists (opt-in only); lists for pre- or post-conference communications


Bronze Sponsor


y One conference registration

y Pre- and post-conference attendee lists (opt-in only)


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.

Back to TOC

y 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- Key updates from Albridge senior leaders

y Opening night networking opportunity

Additional Marketing Opportunities

y Conference attendee book

y Hotel keycard

y Networking event

y Networking break


Albridge Forum

44

Managed InvestmentsThe Lockwood Symposiums are half-day programs that host advisors and senior executives from key client relationships and prospective firms of Pershing Managed Investments and Lockwood Advisors. The agenda offers a mix of both networking and education.

Program Description Date and Location

Premium Sponsorship

y Participation in one panel discussion at two regional events

y Two firm registrations in addition to speaker per event

y Branding in promotional program communications

y Access to attendee lists

y Branding in marketing information distributed to all attendees

TBA

Additional Opportunities y Participation in one panel discussion at two regional events

y Two firm registrations in addition to speaker per event

y Branding in promotional program communications

y Branding in marketing information distributed to all attendees

Back to TOC


Managed Investments

46

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.


Offshore Symposium

An exclusive two-day program hosting Pershing’s top non-U.S. broker-dealers and advisory firms. The agenda will feature content from BNY Mellon and Pershing as well as from sponsors.

y Two registrations to the Symposium

y Participation on the agenda (one breakout session that host two to three sponsors)

y Sponsorship of one networking opportunity

y Branding in program communications

y Attendee list

September 24-25, 2018

Miami, FL

INSITE Offshore Breakout Session

Participation in an offshore related breakout session during the conference.

Limited to two sponsors.

y Representation in the breakout along with one additional sponsor

y Branding via conference promotion (website, app, onsite)

y Attendee list

June 6-8, 2018

Orlando, FL

INSITE Offshore Dinner

A networking event hosting over 100 clients of Pershing LLC (primarily from Latin America).

Limited to five sponsors.

y One representative from each sponsor

y Branding on invitation

y Attendee list

y Program logistics (venue and audience acquisition is coordinated by Pershing)

June 6, 2018

Orlando, FL

Offshore Programs

Back to TOC


Offshore Programs

48

Retirement ProgramsAll Retirement Plan Network opportunities host clients and prospects of Pershing. Sponsorship priority and consideration is given to Retirement Plan Network participants.


Retirement Advisor Symposium

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.

y Full participation in the program (two sponsor attendees)

y Opportunity to participate on the agenda (Top Tier Sponsors only)

y Sponsorship of networking opportunity

y Branding in program communications and promotion

y Registration/attendee list

TBA

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.

y One sponsor attendee

y Audience acquisition strategy shared between Pershing and the sponsor

y Branding in program communications and promotion

Various dates and locations

INSITE Client Dinner

A networking event hosting over 100 clients of Pershing Advisor Solutions.

Limited to three sponsors

y No formal participation (networking only)

y Two represenatives from each sponsor


y Attendee list

June 6, 2018

Orlando, FL

Back to TOC


Retirement Programs

50

Appendix


52

C CA

RI

MN WI

MI PA

NY

ME

KS

OK

CO UT

NV

AZ NM

IA

MO

AR

LA

IL IN OH

KY

TN

MS AL GA

FL

SC

NC

VA DE MD

NJ

CT

MA NH

VT

WA

ID

MT ND

WY SD

NE

OR

TX HI

PR

NYC

AK

WV So CA

No CA

General inquiries and questions: (800) 445-4467

As of 07/11/2017

*Business Development Associate

Advisor SolutionsBusiness Development by Territory

Back to TOC

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]

Business Development inquiries and questions 800-445-4467

West Midwest East

Pablo Bizjack, Regional Director 415-778-1933, [email protected]

Sean Keenan, Regional Director 630-472-6746, [email protected]

Christopher Gunderson, Regional Director 201-413-3961, [email protected]

Cassia Lee, Administrative Assistant 201-413-2021, [email protected]

TBD Joe Possley 630-472-7511, [email protected]

Gary L. Johnson 201-413-2771, [email protected]

David Hansen 415-778-1931, [email protected]

Scott Smith 630-472-7519, [email protected]

Bill Dalton 201-761-5035, [email protected]

Gregory Cheng 415-778-1932, [email protected]

Jonathan Story 704-424-2067, [email protected]

Lila Meng 201-413-2082, [email protected]

Joel Marcus 303-486-1211, [email protected]

Elizabeth Kigin 630-472-7415, [email protected]

Jessica Sweeney 201-413-4312, [email protected]

*BDA Peter Elia 303-486-1201, [email protected]

Bobby Coster 321-249-4239, [email protected]

Kane Kennon 973-360-2583, [email protected]

Joe Finn 617-769-4221, [email protected]

*BDA – Kayla Flaten 201-413-4563, [email protected]


Relationship Management by Territory

C CA

RI

MN WI

MI PA

NY

ME

KS

OK

CO UT

NV

AZ NM

IA

MO

AR

LA

IL IN OH

KY

TN

MS AL GA

FL

SC

NC

VA DE MD

NJ

CT

MA NH

VT

WA

ID

MT ND

WY SD

NE

OR

TX HI

PR

NYC

AK

WV So CA

No CA

As of 07/11/2017

Advisor Solutions

Business Development & Relationship Management Technology Consultants

Gabriel Garcia, Managing Director Relationship Management 201-413-3762, [email protected]

Cassia Lee, Administrative Assistant, 201-413-3860 [email protected]

Paul Rojek, Regional VP 201-413-2904, [email protected]

William E. Sullivan, VP 617-750-9866 [email protected]

Relationship Management West East

Frank Bub, Regional Director (East) 617-769-4228, [email protected]

Dave Nadelson, National–Strategic/Institutional 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 and Mid Atlantic 321-249-4224, [email protected]

Seamus O’Brien, NY Metro/PA 201-413-3222, [email protected]

Ashley Webster, National 321-249-4683, [email protected]

54

AlbridgeMarc ButlerManaging DirectorProduct Management and Development(609) [email protected]

Albridge AnalyticsBrad MooreDirector Product Management and Business Analytics(302) [email protected]

Client Service DeliveryBrendan SullivanDirectorMutual Fund and Annuity Operations(321) [email protected]

Claire SantielloManaging Director(201) [email protected]

Daniel BrunellVice PresidentMutual Fund Support(321) [email protected]

Howard JacobsVice PresidentMutual Fund Contract Management(201) [email protected]

Mark SwenartonManaging Director(201) [email protected]

Michael DoyleManaging DirectorMutual Fund and CashManagement Operations(201) [email protected]

Laurence FriedVice PresidentMutual Fund Support(201) [email protected]

Financial SolutionsJustin FayDirectorAlternative Investment Network andETF Center Product Management(201) [email protected]

Marc CarasDirectorRetirement Solutions(201) [email protected]

Michael S. PartnowDirector Financial Solutions (201) 413-3190 [email protected]

Richard CalvarioDirectorFundVest Product Management and529 Product Management(201) [email protected]

Robert CirrottiManaging DirectorInvestment Solutions(201) [email protected]

Contact List


Thomas SholesManaging Director(484) [email protected]

Global Client RelationshipsMichael RowManaging DirectorRelationship Management(201) [email protected]

Global Strategy, Marketing and CommunicationsMaureen DuffManaging Director(201) [email protected]

Rebecca BalesDirectorProduct and Services Marketing(201) [email protected]

Ted GulloVice PresidentPlatform Engagement(201) [email protected]

Mutual Fund Trading(800) 266-1864

Pershing Advisor SolutionsBenjamin HarrisonManaging DirectorBusiness Development and Relationship Management(201) [email protected]

Gabriel GarciaManaging DirectorRelationship Management(201) [email protected]

Pershing Managed InvestmentsJoel HempelChief Operating Officer(484) [email protected]

Patricia O’ConnorVice PresidentMoney ManagerRelationship Management(484) [email protected]

Pershing Prime ServicesMark AldorotyManaging Director Prime Services, Collateral Funding and Trading Services (201) 413-4445 [email protected]

Important Disclosures

©2017 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.

©2017 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 LLC 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.

©2017 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 no-fee 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).

©2017 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.

One Pershing Plaza, Jersey City, NJ 07399BD-EOG-NP-MG-11-17

pershing.com

Documents

Engagement Opportunity Guide - Global Financial Solutions · a capital markets license to meet the needs ... An integrated managed account solution available to Pershing LLC clients