2019 Guide Sponsorship - BNY Mellon | Pershing

[Pages:40]2019 Sponsorship Guide

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

Table of Contents

Strength in Numbers

4

Global Reach

6

Client Support

7

Market Position

8

FundCenter?

10

FundVest 200?

12

ETFs and FundVest? ETFs

14

Managed360?

15

Wealth Solutions

16

WealthStart?

17

Annuity Solutions

18

Retirement Plan Network

20

NetX360? Investment Centers

21

Integration Experience

22

Digital Advice

23

2

2019 Sponsorship Opportunities

INSITETM 2019

24

Non-U.S. Client Base (Offshore) Programs

29

Advisor Solutions

30

Albridge Forum

32

Lockwood Symposiums

34

Retirement Programs

35

Appendix

Advisor Solutions Business Development

36

Advisor Solutions Relationship Management

37

Contact List

38

2019 Sponsorship Guide3

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Strength in Numbers

BNY Mellon

$34.5TR

Assets under custody and/or administration

$1.8TR

Assets under management

$41.5B

Total shareholders' equity

$53.9B

Market capitalization

Pershing

$527.3B

Mutual fund assets under custody

$25B

Offshore mutual fund assets under custody

$90B

Cash management balances under custody

$400B

Retirement assets under custody

$813M

Average fiduciary assets under custody

$159B

Exchange-traded fund assets under custody

$611B

Fiduciary assets under custody

Why Pershing?

Foster deeper relationships with broker-dealers, registered investment advisory firms, investment managers and retirement plan specialists, wealth managers and advisors. Create awareness for your products and services. Drive more activity and increase your firm's assets.

4

Global Leader

65

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

1,400

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

700

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

$1.8TR

Approximately $1.8 trillion in global client assets (Pershing LLC and its global affiliates)

Institutional focus with no direct retail channel

100,000

Over 100,000 professionals using the Pershing technology platform for brokerdealers and advisors*

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

7M

Approximately 7 million investor accounts globally

As of September 30, 2018 *As of December 31, 2017

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Global Reach

The Americas yyPershing has offices across the United States and a dedicated

team that services Latin America

yyClient reporting is made available in U.S. dollars, Mexican

pesos, Brazilian realis, Canadian dollars and other currencies

yyThrough NetXInvestor?, Pershing's online investor platform,

clients access consolidated account information and a Spanish-language investor website

Asia Pacific yyPershing Securities Singapore Pte Ltd1 holds a capital

markets license to meet the needs of Singapore wealth managers, independent advisors and financial intermediaries

yyIn 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 yyPershing provides a broad range of financial business

solutions to investment banks, broker dealers, wealth managers, financial planners and advisors across EMEA

yyFrom offices in London, Liverpool, Manchester, Jersey and

Dublin, our multi-asset class solution combines sophisticated front-end technology and flexible middle office capabilities with execution, settlement and custody services

yyThese 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.

6

Client Support

Clearing, Custody and Settlement

Investment Solutions

Managed Accounts Solutions

Marketing and Practice Management

yyAnnuities yyAlternative Investments yyAsset Management Account yyCash Management yyEducation and

Health Savings

yyExchange-Traded Funds yyMutual Funds yyWealth Management

yyBroker-Dealer yyManaged Accounts

Technology

yyRegistered

Investment Advisor

yyEvents yyPrograms and

Resources

yyStrategic Consulting yyThought Leadership yyValueAlliance?

Prime Services

yyClient Services yyExecution Services yyFinancing

Solutions

yyLiquid Alternatives yySecurities Lending yyTechnology yyValue-Added

Services

Retirement Solutions

yyIndividual Retirement

Accounts

yyEmployer-Sponsored

Retirement Plans

-Retirement Plan Network

-Employer-Sponsored Brokerage Accounts

Trading Services

Technology and Enterprise

Data Management

Wealth Solutions

yyAccess to Market

Specialists

yyFinancing Solutions yyFixed Income Analytics

for Advisors

yyGlobal Execution yyOpen Architecture

Technology

yyReporting Tools for

Senior Management

yySecurities Lending yySelf-Service and

Guided Solutions

yyAdvisor Solutions yyIntegration as a

Service

yyInvestor Solutions yyMobile--Anytime,

Anywhere

yyNetX360? Client

Onboarding

yyReporting and

Analytics

yyFully Paid

Securities Lending

yyInsurance yyLending yyPhilanthropic yyPrivate Banking yyTrust

2019 Sponsorship Guide7

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Market Position

Correspondent Clearing Firms

U.S. Introducing Broker-Dealer Segment--Market Share by Number of IBDs Total IBD Firms: 1,813

2.3% 3.2%

0.4%

3.4%

3.8%

3.9%

4.1%

36.1%

4.5%

7.1%

8.4%

10.5%

12.3%

Pershing LLC Merrill Lynch First Clearing LLC LPL Financial

Fidelity Clearing & Custody Solutions

Wedbush Morgan Securities Inc.

INTL FCStone Financial Inc.

RBC Correspondent Services

Goldman Sachs Execution

Apex Clearing

HillTop Securities Inc. COR Clearing LLC Raymond James

Sources: InvestmentNews Clearing Firm Ranking Aug 2018, LaRoche database Aug 10, 2018

Number of clients for Fidelity, Merrill Lynch, Wedbush Morgan, Goldman Sachs, INTL FCStone and LPL are based on data from LaRoche database extracted on Aug 28, 2018. InvestmentNews data is as of May 31.

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