At Sycamore Company, we believe our service offering extends beyond the tangible operational support we provide to clients. Delivering resources, insights and educational materials that inform your work, elevate your experience working with us and expand your knowledge of the financial services industry and its best practices – this is central to what partnership means to us. We invite you to explore our curated libraries by accessing the links below.
Intervest Increases Operations, Compliance and Advisor Efficiencies with Sycamore
Disparate in-house systems created numerous inefficiencies for its reps and home-office staff, and increased operational risk for the firm.
Intervest uses Sycamore’s integrated compensation, compliance and supervision capabilities and workflows to manage reps’ new business blottering, from onboarding document management and client management, to home-office compliance approvals, commission payouts, and custom reporting.
Sycamore’s cohesive, efficient workflows enhance Intervest’s ability to attract, onboard, and retain new agents and advisors; increase efficiencies across multiple business functions; reduce operational risk; and improve data transparency and insights.
Madison Avenue Securities Digitally Transforms Advisor Onboarding, Compensation, Compliance and New Account Opening with Sycamore
In order to continuously meet the needs of its growing network of financial advisors, the firm knew it needed to keep pace with increasing advisor, compliance and scalability requirements by adopting a platform that was consistent with its progressive company mission and fast-moving culture.
Madison Avenue Securities uses Sycamore Company’s full operations platform to manage advisor recruiting, onboarding and compensation; compliance with OFAC, FinCEN and FINRA RegBI capabilities; client relationship management and new account opening – and gain valuable insights via Einstein Analytics.
Sycamore helps the firm accelerate processes, leverages Finity360 to ease the paperwork burden on the firm’s financial advisors, deliver insights on trends, and reduce compliance risk with the flexibility to evolve and scale with business growth and sophistication.
Northland Securities Gains Efficiency, Transparency and Scalability of Complex Commissions Across Business Lines
With a vast range of different business types, the firm’s compensation process increased the risk of errors, delays and unnecessary costs.
Northland Securities uses Sycamore’s Compensation Management to meet the specific compensation processes of different business lines while significantly reducing complexity, staff time, and risk of cost and errors.
Sycamore’s Compensation Management provided complex calculations while increasing efficiency and business continuity with reduced reliance on spreadsheets, as well as gave reps greater transparency into commissions and managers insight into production by state – saving the firm $18,000 in state registration fees.
Northwest Investment Advisors Reduces Compliance and Audit Risk with Sycamore’s Compliance Management
Ineffective submission of new business from the field and disparate client data made it difficult to quickly access data and run reports to meet FINRA audit requests.
Northwest Investment Advisors uses Sycamore’s Compliance Management integrated with Cirrus Data Solutions and Advisor Exchange to consolidate data, and Sycamore’s custom Salesforce compliance tools for efficiently submitting and approving new business, automatically flagging non-compliant transactions, and running instantaneous FINRA reports.
Sycamore’s Compliance Management provides complete views of all client holdings and transactions, ensures full compliance with all trading activity, and reduces the likelihood of FINRA warnings and/or fines
Master’s Advisors Gives Client Experience and Team Efficiency a Boost with Sycamore’s Client Management
Accessing client balance sheet data, preparing for client reviews, and tracking RMDs became inefficient and labor-intensive.
Master’s Advisors uses Sycamore’s Client Management integrated with Albridge and other platforms to alert the team to upcoming client reviews, assign staff to specific client service tasks, and automatically calculate RMD factors using IRS tables.
Sycamore is helping Master’s Advisors to increase data accuracy and team productivity by eliminating redundant data entry – leading to better client experiences and outcomes.
The Sycamore Company has been established as a Salesforce OEM, ISV, and Consulting Partner for over 12 years. The company has been instrumental in solving the operational and compliance challenges of broker-dealer and RIA home offices out-of-the-box, providing simple and quick installation, configuration, and use.
Alternative Investment Exchange (AIX), the platform making it easy to buy, own, and sell alternative investments, is integrating with The Sycamore Company (“Sycamore”) to put efficient alternative investing
Obviously, not all new generation solutions offer the same breadth or sophistication of features. To deliver the full value for money that next generation technology
Since the advent of first generation of automated surveillance solutions, the foundational data architecture of enterprise wealth management organizations has evolved from a set of
Game changing trends in both enterprise wealth management’s business model and regulatory regimen have been underway for the last few years. Legacy compliance solutions, both
Sycamore Data Hub dramatically increases firms’ data quality, speed and control to feed multiple operations and advisor workflows Sycamore normalizes and delivers millions of records
Three key data management challenges are threatening the ability for IBDs and wealth managers to grow, profit and retain the best reps. What are they, and what’s the solution?
Sycamore’s integration with the National Insurance Producer Registry (NIPR) provides faster and more transparent advisor license and carrier information The integration expands Sycamore’s Advisor Manager
Compensation management is still a big back-office pain point for independent broker-dealers (IBDs). What is the source of this pain, and what can be done about it?
The enhancements enable chief operating officers, compensation managers, and other executives to prevent common errors and manual effort through data, analytics and automated steps that also improve connectivity with advisors and multiple operations workflows.
