Manage and Supervise Advisors,
New Business, and More
With Sycamore, you can manage your agents, advisors and their support staff from the prospective advisor stage all the way through
to onboarding and beyond. Advisors can login to our portal to add or update state licenses and registrations, insurance licenses and
carrier appointments and recurring fees, as well as track their continuing education along with initial, annual and ongoing
questionnaires and attestations. All home office requests are available out of the box and configurable.
Sycamore also allows you to manage client relationships from the moment they become a prospect through client meetings, related
tasks, activities and events, and onboarded with new account forms or client agreements, transactions, processing fees and
commissions. From there, Sycamore manages the life of the client relationship from tracking appointments and delivery of Form
CRS, to 17a3 Notices and 36 Month Letters as well as suitability documentation during transaction reviews to comply with Reg BI. All
compliance approvals are available out of the box and configurable.
Sycamore Data and Analytics Powered by Salesforce
As you know, your ability to meet regulatory requirements is often directly related to transparency and
accessibility of your data. First, you must be confident that you have the necessary data. Second, you must be able to access the right data at any time to ensure client, transaction, commission and fee records can be flagged to support your system
of supervision, while meeting various evolving mandates and responding to audit or examinations requests.
Sycamore provides you with many opportunities to review, analyze and report on your data through list views, reports and
dashboards. We also enable your staff to analyze your data on a multitude of filters using Sycamore Analytics powered by
SEC and FINRA Compliant
Sycamore is fully compliant with SEC and FINRA regulations, including Reg BI and 17a3. And it’s cloud-based, enabling you to support remote workforces indefinitely without having to change how your firm processes or approves submissions and other
communications throughout the firm.
Reduce compliance risk and cost by efficiently and accurately meeting regulatory reporting requirements and responding to
exam/audit requests. Sycamore lets you:
Manage all data and interactions with your advisors, prospects and clients
Automate business reviews and submissions to streamline your business while staying consolidated and organized