Davis Janowski's Guide to Technology Solutions
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Overall User Rating
By Artisan Software Inc.
7676 Hazard Center Drive, Suite 1540
San Diego, CA 92108
Contact
Mark Sandler (senior vice president of sales & marketing)
(619) 725-1350 ext. 5201
| Custodial platforms | Charles Schwab Advisor Services, TD Ameritrade Institutional, Fidelity Institutional Wealth Services, Pershing Advisor Solutions LLC, RBC Advisor Services |
| Types of software and/or technology services included | Document management, Compliance, Account aggregation |
| Description of product/services | Artisan Software offers very cost effective, robust & flexible, user controlled commission & compliance processing software on a unified technology platform that in addition provides: • Commission Processing – Flexible, user controlled • Compliance – 26-point rule checking, OFAC, FinCEN • Suitability – customer, product, & trade level • Account Document Workflow – Rep/OSJ Account Opening & Trade Entry, Multi-Tier Approvals, Approval Audit Trail • Document Imaging – complies with 17a-4 • Intuitive User Interface for Transaction Processing – No batch processing • Data Aggregation – Combine Direct and Clearing Firm Accounts by Account Type/SSN • Licensing & Carrier Appt. Tracking – Web CRD Interface, Rep Renewals • User Customizable Reporting & Ad-hoc Query Capabilities – extract, filter, & group data in a myriad of possibilities for FINRA audits • Customized Commission Statements • Rep Web Portal – view commission statements, customers, trades, scan documents, etc. • Hosted Solution – No server or hardware required • Electronic Interfaces to Clearing Firms, Funds, DTCC, IPS, & Custodians |
Integration information for each product was directly provided by its vendor. Rankings were determined from the results of the InvestmentNews Adviser Technology Satisfaction Survey featured in the Aug. 22, 2011 issue of InvestmentNews. Rankings will be updated annually.
To be included in the directory, submit your product here. For questions, please contact the InvestmentNews Data team at IN-data@investmentnews.com.
For information about an enhanced product listing, please contact Whitney Man at (212) 210-0451 or wman@investmentnews.com.
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