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

TechnologyWith 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:

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

VISION2020 Advisor Portal is a collection of sub-systems, each of which has been designed to accomplish specific tasks. The sub-systems include:

  • Office Automation Suite Tools
  • Supervision/Compliance Tools
  • Client Management and Service Solutions
  • Business Tools

Advisor Office Automation Suite Tools Watch Demo

Managing - and growing - your book of business is demanding. Our Office Automation Suite includes a CRM solution, an e-Forms library, e-signature capabilities and a document management system, all of which can be used either individually or as a package, depending upon your needs. The Suite’s goal is to ease the administrative burdens associated with conducting your day-to-day activities. How?

  • Log on once.
  • Enter data once.
  • Pre-populate electronic forms with existing data.
  • Have clients sign documents using eSignature

The Office Automation Suite features tools that can be implemented individually, or integrated together, to form the foundation of an automated office:

Salesforce CRM (Customer Relationship Management)

Salesforce, our cloud-based CRM solution, consolidates information on your clients and prospects and is available to you directly from Advisor Portal. Manage activities including letters, emails, and meetings and maintain notes from all client discussions and meetings with the integrated CRM platform. Salesforce integrates with our document management offering, allowing advisors to view client documents. In addition, Salesforce synchs with Outlook.

An eForms library

An electronic library of more than 20,000 easy-to-find forms from your broker-dealer, clearing firm and partner companies is available. But the eForms Library is more than a repository of forms. It’s a time-saving tool that allows you to retrieve the data you need to populate sections of the form - with a mere click of your mouse. Because the eForms library is integrated with Salesforce and Advisor Portal, forms can be populated with information you’ve previously input.

Electronic Forms Library: Adobe Lite

eForms Adobe Lite is a version of eForms Library that allows the ability to gather and complete forms without having to depend on Adobe to launch the form. This solution allows you to:

Populate forms using client data from Client Central and/or access blank forms
Fill out forms on the go, using mobile devices (tablets and smart phones)
Save forms as a work in progress

Digital Signature

Developed by Signix, Digital eSignature enables individuals to digitally sign documents online. Digital eSignature requires no hardware installation or software downloads. Files document directly to Document Management before routing it electronically to the Home Office for processing.

Electronic Document Signature Using ePad

Developed by Topaz Systems, eSignature enables advisors to capture and apply required signatures to eForms using a signature pad when meeting with a client face-to-face. Files document directly to Document Management before routing it electronically to the Home Office for processing.

eSignature capabilities

The process of capturing client signatures can also be automated with the Advisor Office Automation Suite through the use of eSignatures. The Suite offers two options for capturing eSignatures on eForms: digital and electronic.

Document Management

Capturing. Organizing. Routing. Retrieval… Simplified. Our SEC/FINRA compliant paperless processing system is an imaging and document repository system that can be accessed by multiple people in your office from any location at any time.

Client Central: Your Solution for Account Management

Client Central is a one-stop repository for your client and account information. Input clients into the system, open and close commission-based accounts, update client and account information, and print account documents.

  • Client-based recordkeeping
  • Client signs the W9 and customer agreement only once
  • Performs real-time error checking
  • Enter only the pertinent details of the account; the system assembles the registration wording automatically
  • Syncs client data with Salesforce

Supervision/Compliance Tools


  • This system is only available to the FLS
  • It is here that the FLS will review emails that have been sent by, or to, their FAs
  • The system also functions as a searchable email archive

Transaction Review Preparation (TR Prep)

  • Link external accounts (i.e., non-brokerage accounts) to a corresponding Client Central account (the system will identify instances where this is required)
  • Suppress external accounts that should not be reporting trade details
  • Provide missing information about trades within complete details on file (the system will identify instances where this is required)
  • Update client and account records as requested by the system

Transaction Review Supervision (TRS)

  • FLS should inspect this system on a daily basis to review their FAs’ trades
  • FLS will approve and reject trades in this system, and can leave questions and instructions for their FAs
  • Advisors should inspect this system on a daily basis to respond to questions and carry out instructions that have been left for them by the FLS

Client Management and Service Solutions

Morningstar Advisor Workstation

Morningstar Advisor Workstation is a web-based investment planning platform that contains capabilities for research, portfolio analysis, goal planning, and sales presentations.

The platform makes sharing insights with clients and prospects easy with compelling, FINRA reviewed reports. Best of all, it helps minimize the time spent on client data management through integration with VISION2020 Advisor Portal, MoneyGuideProTM, and eMoney AdvisorTM.

Benefits Include:

  • Single Sign-on from the Advisor Portal
  • Integrated client and account data from OneView
  • Comprehensive investment research with in-depth portfolio analysis
  • Efficiently analyze investments and portfolios to give recommendations using reports and information that your clients can understand

My Profile

  • FAs can view their licensing profile; FLS can view the licensing profile for all FAs under their supervision
  • Submit and track updates - initial form U4, form U4 updates, form U5, and annual renewals
  • Add state licenses
  • Add insurance licenses and appointments


Subscribe to email notifications of your choosing
Customize each notification to be delivered to specific email addresses
Archive copies of notifications that have been sent to your email


MySubscriptions gives advisors ownership and control over the subscription services offered by the Home Office. With MySubscriptions, advisors have the ability to view, process, control and manage their subscription services within Advisor Portal. Advisors can see the pricing for available services, enroll in services, and track enrollment history. And, the FLS can view and manage services for their downlines.

NetX360® Overview

NetX360® is Pershing’s brokerage workstation. This system provides real-time information about your clients’ brokerage accounts. It also enables you to submit account instructions and requests such as trades, federal fund wires, systematic reinvestment instructions, and much more. You can also view market information such as quotes, news, charts, and analyst reports (some of which may require a subscription).


Generate reports for your clients’ entire portfolios, including brokerage accounts, Advisor Managed Portfolios accounts, and non-brokerage accounts held directly at product sponsors

  • View information across households
  • Analyze your entire book of business
  • Generate automatic batch processing of reports

- CashEdge
Our partnership with CashEdge allows us to offer a powerful new account aggregation service called AllData, available through OneView. AllData allows you to pull “external” financial information into OneView. Enjoy a holistic view of your clients’ financial picture.

- OneView Filters
Within OneView, OSJs can run branch-level reports with any filters that they establish. Filters provide the ability to include or exclude information on reports.

- OneView Web Services
Add optional web services enhancements - including NaviPlan, Junxure-I, Laser App, ACT4Advisor, and Morningstar Advisor Workstation - to the OneView platform.


  • Submit service requests to the Home Office
  • Track the status of your requests
  • Attach notes and comments to requests
  • Respond to Home Office questions
  • Close out items when they are completed to your satisfaction

Streetscape® Overview

Streetscape® is the National Financial® brokerage workstation. The system provides real-time information about your clients’ brokerage accounts. It also enables you to submit account instructions and requests such as trades, federal fund wires, systematic reinvestment instructions, and much more. View and print National Financial® account statements, trade confirmations and tax statements/resources via Streetscape®.

You can also view market information such as quotes, third-party news, charts, and analyst reports (some of which may require a subscription). Access Streetscape’s Report Manager which provides access to management data or use Streetscape® Alert Manager to subscribe for notification of events related to accounts, asset and money movement, corporate actions, and trades.

Wealth Management Platform

An intuitive investment advisory platform featuring: multiple investment solutions, robust proposals, in-depth research, a client-facing website and aggregated reporting.

Advisor Managed Portfolios on the Wealth Management Platform

  • Create Proposal through five-step guided Proposal System
  • Access suggested modeling features
  • Utilize advanced and robust Trading System
  • Rebalance using various options
  • Customize blended benchmarks
  • Aggregate Quarterly Performance Reporting
  • Produce various On Demand Reports
  • Allow access to Client Website

Business Tools

Business Analytics Reporting

This Advisor Portal-based tool allows advisors to extrapolate relevant data and run reports that separate their business assets at multiple levels. Calculating and displaying such information enables advisors to analyze clients and accounts by:

  • Product type
  • Multiple demographics including age ranges, gender, investment experience
  • Geographic disbursement
  • Brokerage versus Retail
  • Total Client Assets
  • Accounts & Positions
  • Geography
  • Profitability

These reports provide the means to creating an actionable business plan with real time client information. Details on Total Client Assets for Retail and Investment Advisory business can be viewed on both summary and detail levels. Advanced data analysis capabilities allow advisors to streamline data flows and create reports to spotlight inefficiencies, validate resource expenditures, or conduct cost/benefit studies.

Business Value Calculators

Developed by Succession Planning Consultants these succession planning tools assist advisors in valuing their own practice, or one they are looking to buy. Four calculators are available to help advisors establish a data-driven value for a practice. (For a description of these calculators, see page 4 of this brochure.)

Client Management

  • Create Investment Transfer (IT) forms when required
  • Log in checks and securities that are received by your office
  • Log non-brokerage transactions into the Direct Order screens when required>
  • Log in items that have been stamped with a Signature Guarantee stamp
  • Log in Regional Banking entries Commission Report Center

The Commission Report Center

The Commission Report Center (CRC) is a sub-section of Advisor Portal that enables advisors to view their commission statements and other related activities in a multi-dimensional view.

The CRC allows you to:

  • Monitor and better understand commission-related activities
  • Analyze and share information in a timely, effective way
  • Create accurate commission reports
  • Access data in a secure environment

Email Encryption

In an effort to enhance the security of your information, our encryption functionality will help emailed content to be securely delivered to the recipient without being intercepted, accessed, or read by unauthorized persons.

Email Services

Two approved email services vendors are compliant with firm regulations and archiving requirements and are available for our advisors’ business-related email communications. These vendors are: Redtail and Smarsh.

Forefield Marketing Resources

At Royal Alliance, we provide you with access to Forefield’s online library of marketing materials free of charge. Forefield has developed more than 3,000 pre-approved educational and sales resources including client presentations and seminars, concept pieces, newsletters and market commentaries.

My Profile

  • FAs can view their licensing profile; FLS can view the licensing profile for all FAs under their supervision
  • Submit and track updates - initial form U4, form U4 updates, form U5, and annual renewals
  • Add state licenses
  • Add insurance licenses and appointments

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-to-date on the status of each registration.


RegEd is a web-based system used to complete compliance questionnaires and certifications. This includes new affiliate certifications, annual requirements such as Firm Element and Annual Compliance Questionnaires, and ongoing requirements such as the Outside Business Activities Questionnaire (OBAQ). RegEd is also a supervisory tool, enabling the FLS to view the submissions of advisors under their supervision.

Social Media Dashboard

Advisors can 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 directly 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 process

The third party service providers mentioned herein are independent companies, unaffiliated with Fidelity Investments. The third party products mentioned herein are the property of their respective owners.

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© Royal Alliance Associates, Inc. 2015

Securities and investment advisory services offered through Royal Alliance Associates, Inc., member FINRA, SIPC and registered investment adviser.

Securities may lose value. Not FDIC/ NCUA insured. Not Bank or Credit Union guaranteed.

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