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Fixed Income > Operations

  • We want to be your turn-key partner.  Trade settlement is an extremely important part of our interaction and is where other members of your support staff get involved.  Our goal is to make trade settlement extremely seamless.  We give your team members access to our internal operations department should the occasional settlement issue arise, similar to if you had your own trade settlement department on staff. 

  • We liaison with all of the major RIA custodians for trade settlement

    • TD/Schwab, Fidelity/NFS, Raymond James, LPL, SSG, and others

    • Bank Trusts

    • All major clearing firms

  • All Trades are settled in a seamless fashion via DVP (Delivery-Versus-Payment) depending on custodian. If you are not familiar, it is a very widely used settlement process. Trades are typically settled in two ways:

    • Tradeaway – Direct settlement into your clients custodial with approval by your staff.

    • Prime Broker – Settlement into an Institutional custodial account and allocations then move settled bonds into individual client accounts.

  • Our operations department handles all trade settlement issues and interacts directly with your custodian.  As You maintain discretion, custodians may occasionally want verification from you as the Advisory firm, and we will coordinate and facilitate any needed conversations.

  • Most importantly, this approval/trade settlement process allows you to stay in control as no transactions can settle without direct approval.

  • This creates a very easy way to offload the fixed income trading and allocation resources to us and allow you more time for client interaction.

Construction Crane Operation

How Does Our Operations Department Enhance Your Team's Efficiency?

Schedule A Meeting With Our Fixed Income Team!

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