Solving the Prevalent Operational Challenges
of Broker-Dealer and RIA Executives.
Data ownership, accessibility
and portability issues
Acquire and normalize the right data to meet your multiple compliance, operational and advisor requirements.
Cost and risk of SEC/FINRA compliance and exams/audits
Efficiently and accurately meet regulatory reporting requirements and respond quickly to audit or exam requests.
Stagnant profitability, business growth and ability to scale
Attract, retain and manage advisors while providing tools that help them produce and grow – no matter where they are.
Integrated Compliance, Advisor and Practice Management Solutions for Broker-Dealers and RIAs
Sycamore delivers all the data and functionality a retail or institutional advisory firm needs to recruit, manage and pay advisors, meet compliance and audit requirements, and keep advisors connected – all within the Salesforce ecosystem.
Play Video
Your Firm’s Hub of Efficiency.
Your Firm’s Hub of Efficiency.
Client Management
Data & Analytics
Compliance & Audits
Compensation Management
Advisor Management
“What Our Clients 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 Cotton
Chief Technology Officer
Madison Avenue Securities, LLC
"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 Sams
Director, 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 Galvan
Manager of IT
Prospera Financial Services
“What Our Clients 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 Cotton
Chief Technology Officer
Madison Avenue Securities, LLC
"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 Sams
Director, Head of Portfolio Services
Northland Securities, Inc
