Where Your Firm’s Data Does More

You’ve captured the data that drives your business.

Now capture it’s potential. Don’t let the sheer volume of information, disparate systems, siloed data, multiple formats and inefficient process overwhelm you and paralyze your growth.

Sycamore can help.

Solution: Sycamore

Sycamore Company delivers the data, functionality and efficient user experience retail and institutional broker-dealers and advisory firms need to recruit, manage and pay advisors, meet compliance and audit requirements and keep advisors connected – all within the Salesforce ecosystem.

Serve Your Advisors, Create Operational Efficiencies, Drive Business Growth On A Single, Native-Salesforce Platform … With Sycamore

We Solve Real Problems

what can we do for you?

DATA MANAGEMENT

Equip your stakeholders to access and share clean, high-quality data when and where they need it to operate, analyze and conduct business activities, meet compliance requirements and ensure timely payouts.

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Each morning, your operations, compliance and advisor teams have the most current and accurate data at their fingertips to conduct their day’s work with precision and efficiency.
Firm leadership has instant access to the analysis and reports that drive decisions.
We automate the entire data loading process – from file retrieval across all possible sources to loading and status reporting.

COMPLIANCE - SUPERVISION & SURVEILLANCE

Heightened regulatory scrutiny demands comprehensive, real-time solutions to protect your business and your clients. Sycamore’s end-to-end solutions offer support you can count on.

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Efficient online interactions and workflows optimize supervision and AML capabilities. Access, track and route documents, and manage information between advisors, compliance and registration officers.
Manage all interactions with advisors, prospects and clients, while keeping your information consolidated and organized.
Deploy tailored business rules, configurable alerts and workflows to your firm’s specific supervisory/surveillance controls and capture valuable insights that drive improvements across the compliance function.
Mitigate reputational, regulatory and operational risk with configurable surveillance alerts and analysis that: connect advisors and their teams to the supervision process; encompass both branch and regional levels; collect and normalize data from multiple sources into a consistent format.

COMPENSATION MANAGEMENT

Generate unlimited advisor compensation or payout scenarios for multiple lines of business within your firm – including investment, advisory and insurance Give advisors real-time visibility into their historical and pending payouts

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Compensation functionality includes:

Integrated fee billing
Trade and check blotter monitoring
Real-time views of commission details
Regulatory change adjustments
Estimated expected commissions
Reconciliation against actual commissions received
Commission statements, history and payables, and client information

ADVISOR MANAGEMENT

We integrate with FINRA CRD, allowing you to check for securities, licenses and registrations, track data and submit requests.

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We equip you to recruit, onboard and manage the industry’s most elite advisors

Rep/Branch oversight
Document tracking
Insurance licenses and appointments
Secure online advisor communication
Advisor reporting and dashboards

To help you keep advisors efficient and satisfied, we provide automated tools that drive data transparency and paperless office environments, including:

Compliance submission status
Integrated marketing, including advertising, letterhead/ business card approvals
Outside business activity (OBA) tracking
Personal investment transactions/private security transactions
Quarterly and annual questionnaires/advisor attestations/state registrations
Gift and gratuity tracking

CLIENT MANAGEMENT

Sycamore’s marketing and client management solution elevates your advisors’ ability to attract, engage and onboard prospects while servicing the ongoing needs of current clients. .

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We provide advisors with 24/7 access and visibility into their clients’ activities and positions, and we increase productivity through integrations to streamline processes and reduce paper-intensive work.

Customer relationship management
Online and remote new account opening

we love them

what our clients have to say

"'Sycamore’s expertise in modernizing how firms manage advisor commissions and compliance – all within the Salesforce platform – is helping our growing financial advisor community increase efficiencies and adapt to business and industry changes, by digitally transforming their processes across paper-intensive front and back offices."

Casey CottonCTO, Arete Wealth

"Sycamore effectively supports our diverse business operations and handles our need to implement and manage highly complex commission schedules in one central location. It also provides the transparency our reps and managers require, which resulted in a $18,000 cost reduction in state registration fees."

Jeff SamsDirector, Head of Portfolio Services, Northland Securities, Inc

“We partnered with Sycamore Company to provide an overlay to Salesforce for financial services. They bring not only the technology, but the industry expertise as well. We knew this combination was the right direction to empower our entire firm to work smarter, be more efficient, and be future-proof and future-thinking.”

Marco GalvanManager of IT, Prospera Financial Services

Meet Our Partners

They Count On Us

Our curated partnerships include leading financial services data enterprises, consulting firms and application providers. When you work with Sycamore, you expand your possibilities, opening the door to meaningful and transformative relationships: