Build Success on Our Best-in-Class Technology Platforms.

With Royal Alliance, you’ll have access to technologies on par with the superior level of performance you demand from your business. Our robust, evolving platforms include the latest advisor-specific tools to help you minimize paper flow, maximize office efficiencies, reduce software costs and ultimately provide better service and advice to your clients.

We integrate the following solutions into a single, easy-to-use online package, to provide you with a full range of investment management and administrative services:

Advisor Office Automation Suite 

How would you like to spend more time with your best clients and top prospects? While we can’t create more hours in the day, we can help you take back some of the time you currently spend on activities that don’t build your business. This powerful resource will deliver a new level of efficiency to your account management activities, and includes:

Electronic Forms Library – Pre-fill forms

The electronic forms library, featuring more than 20,000 forms, is being provided by Laser App. Since this library is integrated into our backend systems, you can populate documents with client information from a common source, eliminating much duplication. This service is integrated into your Advisor Portal and is available for FREE. You can also choose to maintain an existing desktop software subscription you already have with Laser App and enjoy our negotiated 40% discount on your current subscription rate.

E-signature capability – Get the signature

One of the most exciting parts of our Automation Suite is E-Signature capability, which allows you to capture and apply client signatures to electronic forms.

Electronic Document Management and Storage – File and manage completed forms

You’ve populated the client forms using the Electronic Forms Library, held your meeting, and captured and applied the signatures using a signature pad. You can now store, manage, and view these completed documents in your “electronic filing cabinet”. Broker-dealer related files, which will likely represent a majority of your document storage, will not incur any charges.

AllData® for Financial Advisors

CashEdge's account aggregation service, AllData® for Financial Advisors, greatly improves the opportunity to capture an increased share of assets from clients. AllData offers advisors a convenient, secure and cost-effective way to see a holistic view of client assets and liabilities. Key features include:

• The Widest and Deepest Aggregation Coverage Available: Offers easy consolidation of account information, including banking, investment, retirement, insurance, credit card, mortgage and loans without the expense of dealing with duplicate client statements
• Unmatched Security: Leverages the same technology that is used by the world's leading financial institutions to safeguard internet banking and investing portals, so advisors and clients can be sure their data is safe
• Reliable Data: Supplies detailed and accurate data on investment positions and transaction information that is updated daily and that advisors can count on
• Easy Access to Institutional Custodians: Aggregates an advisor's entire book of business from an advisor portal, including mutual funds, annuities and insurance data
• Simple Investor Set-Up: Enables fast and simple account setup with a positive experience for investors and advisors
• Integrated with Leading Advisor Applications: Integrates with leading wealth management platforms, such as Albridge, eMoney Advisor and MoneyGuidePro

A Suite of Advisory Models

• Advisor serves as portfolio manager
• Several multi-manager portfolio options
• Third-party platform offering 100 strategies overseen by 50 third-party money managers (assets backed by Prudential and held in custody at Pershing, LLC)
• Third-party money manager programs offered through our partnerships with the industry’s leading firms

Client Central: Your Solution for Account Management

• Single sign-on access to client accounts 24/7
• Multiple tools for fee- and commission-based business
• Manage accounts in a paperless environment using e-forms, online document storage and signature capability
• Real-time account opening feature
• Client-level agreements and creation of multiple accounts with ONE signature
• Compliance tools integrated into account management workflow

Commission Report Center

The Commission Report Center is an enhanced commission reporting resource that consolidates advisors' commission information into one easy-to-access tool. The Commission Report Center: – Includes statements, 12B-1 information, and a line of business summary – Allows access to view commission information from a high level summary down to details – Can export information to an Excel spreadsheet or to a PDF – Gives OSJ managers access to their own information and their supervised downlines – Contains commission statements for a rolling six-month period

Customizable Reporting

• Online consolidated portfolio and performance reporting solution
• On-demand commission and performance reports
• Account data aggregation from clearing, fund firms AND outside assets including bank accounts and credit cards
• Export client and transaction data for clearing and direct business
• Automatically reconcile client accounts
• Online statements and confirmation delivery

E-mail Encryption

This e-mail encryption service for all e-mail communications service gives advisors the ability to manually encrypt e-mails containing confidential information that they send to clients, ensuring they are sent in a secured fashion. This service is provided at no additional charge.

Forefield Marketing Library

The industry's leading provider of marketing content for financial advisors features a library containing over 3,000 pre-approved resources, including FINRA-reviewed content such as seminar presentations, concept pieces, website resources and newsletters. The library is constantly updated with the most current material to provide to clients and prospects and is fully customizable.

Laser App Enterprise for Transition

The Laser App software allows advisors to populate forms needed to transition their book of business. The technology also integrates with many popular CRM systems.

MyNotifications Email Alert System 

The MyNotifications system gives our advisors the option to sign up for proactive email alerts on a variety of topics. From account activities such as outgoing ACAT notifications to home office communications, you can choose the information you want to be alerted to, and can sign up other members of your office to receive them as well.

NetX360™ Brokerage Account Platform 

• Pershing’s leading-edge brokerage account management system
• Comprehensive suite of technology tools and information
• Powerful trading engine
• Intra-day account information
• Full range of quote/market research services
• Account summaries integrated into main Client Central system

OneView

OneView is a web-based consolidated portfolio accounting and performance reporting system that enables advisors to:

• Run reports on clients' entire portfolios, including brokerage accounts, V2A accounts, and accounts held directly at product sponsors
• View information across households
• Analyze entire books of business
• Generate automatic batch processing of reports

Online Registration Center

The Online Registration Center was created to facilitate the recruiting process for both OSJs and potential recruits. This one-stop, web-based system significantly streamlines the on-boarding process, guiding recruits through the necessary steps and keeping OSJs up-todate on the status of each registration.

Redtail's Customer Relationship Management (CRM)

Redtail is a customer database used for managing client relationships and data, prospecting new clients, and using an interactive calendar with reminders. The software was created to streamline an advisor's office to allow focus on the important details necessary for an efficient business. This technology is specifically designed to eliminate wasted processes and promises to be easy to use while giving you access from anywhere in the world on its web-based format.

RegEd

This system is used to complete compliance questionnaires and certification. It enables users to:

• Maintain records of all compliance requirements from one secure website
• Complete several compliance requirements in ondemand format

ServiceNet Online Service Request System 

ServiceNet is an online system that accepts and tracks all advisor inquiries including processing requests. Whether submitted online, via fax or over the phone, you can track the status of your requests through a convenient custom view displaying progress on all of your tickets.

Social Media Dashboard

Advisors can now access the three predominant social media sites (Facebook, LinkedIn and Twitter) through the social media dashboard. This easy-to-use application allows advisors to post certain content direct to the sites through the dashboard or send content to the home office for review and approval. Features include:

• Single sign-on
• Ability to view all social media feeds
• Ease of submission progress

Streamlined Compliance Tools

Transaction Review

• Online review and approval of client transactions
• Interfaces with account management system to produce comprehensive blotters
• Electronic download of all brokerage/non-brokerage business
• No need to physically match and initial order tickets and confirmations
• Electronic retention of trade tickets, confirmations, clearing statements and transaction logs
• Auto-population of all compliance transaction reports

Transaction Review Supervision

• Web-based application to review brokerage/non-brokerage trades in a paperless environment
• Enables supervision of all trades processed through Transaction Review
• Filters transactions through compliance rules
• Codes transactions with flags to indicate suitability (or non-suitability) for the client
• Allows transaction communications to be viewed by a branch manager, advisor, regional manager and compliance

VISION2020 Advisor Portal

Our VISION2020 Advisor Portal integrates all of our online resources into one cohesive environment. This dynamic resource aggregates the information and tools you, as a financial professional, need to provide the highest levels of service to your clients, and maximize your operational efficiency. The Advisor Portal's powerful features include:

• A personalized dashboard providing "one click" access to your frequently-used resources
• A suite integrating all client and account management tools in one location
• A broad palette of information and tools for daily office management needs
• A robust product suite packaging everything you need to identify and sell the most suitable products and services to your clients
• An advisory services area focused on the many fee-based resources our platform offers
• A collection of programs and services dedicated to business development
• Access to online self-service tools ensuring our home office is accountable to your needs...and much more

The VISION2020 Advisor Portal consolidates our resources into a convenient online experience, adapts to your work style and allows you to leverage your strengths to focus on your clients, and build your business.