The Solution Provider Directory lists companies that have provided a value-add solution to one or more of our participants.
Solution providers are an integral part of insurance carrier, broker/dealer, and DTCC Insurance & Retirement Services straight-through-processing initiatives. As a solution source and central connection for the industry, we partner with many service bureaus and vendors that provide solutions to facilitate the use of our services. In this section of our website, we list Solution Providers that have provided a value-add solution to one or more of our participants. Within the Solution Provider Directory, you will find a description of the services the company offers, a link to their website, and a contact name if you have additional questions.
While we remain a vendor-neutral organization, please know that the companies listed have been validated by an existing I&RS participant(s). If you have any questions about the Directory or about becoming a Solution Provider partner, please contact Client Support, 1-888-382-2721, Option 5 then Option 4 or firstname.lastname@example.org.
Live: AAP, FAR, PVF
Albridge Solutions provides enterprise wealth management services to 150 financial institutions, more than 100,000 financial advisors and millions of investors that enables advisors to deliver an accurate, single view of all of their clients' assets. Using patent-pending technology, Albridge's enterprise wealth management technology provides unparalleled scalability in consolidating client account information from hundreds of data sources, including banking, brokerage, insurance, and more. Combined with the firm's open architecture approach to development and compatibility with a range of third-party applications, Albridge's portfolio management system, Albridge Wealth Reporting, serves as the cornerstone of any wealth management platform.
800.218.4135; ext. 464
Artisan Software was formed in 1998 for one reason: to build the best commission system and automation platform on the market. Maestro and Repertoire provide small and large firms a modern system that is cost effective, robust, and flexible. In addition to unparalleled comprehensive user-controlled commission processing, Artisan Software provides: Intuitive User Interface for Real-Time Transaction Processing
- Hosted Solution
- Books and Records Processing
- Licensing & Carrier Appointment Tracking
- Document Imaging
- Compliance/Suitability Checks and Reporting
- User Customizable Reporting and Ad-hoc Query Capabilities
- Customized Commission Statements
- Rep Web Portal
- Empower your Reps and Improve Efficiency in the Back-Office!
Contact: Jerry Moseley
619.725.1350 Option 2 for Sales
iPipeline is a leading provider of cloud-based software solutions for the insurance and financial services industry. Through our SaaS solutions, we accelerate and simplify insurance sales, compliance, operations and support. We provide process automation and seamless integration between every participant in the life insurance industry including carriers, agents (such as financial advisors and independent insurance agents), distributors (such as banks, broker-dealers and general agencies) and consumers. Our innovative solutions enable automated processing for pre-sales, point-of-sale execution of applications, post-sale support, reporting, consumer delivery and agency management.
iPipeline provides the process automation and seamless integration needed on a global basis to make a sale by aggregating more than 120 carriers, 875 distributors and financial institutions, and their producers and licensed advisors in a cloud-based environment. With headquarters in Exton, Pennsylvania, iPipeline has locations in San Francisco, Fort Lauderdale, Charlotte, Philadelphia, Atlanta, Salt Lake City, Tokyo, Cheltenham (UK), and Vancouver.
Live: PVF, PNF, PFF, PRP and FAR
With more than 40 years of experience, Broadridge is a leading provider of technology-based outsourcing solutions to the financial services industry. Broadridge offers solutions to support the entire investment lifecycle, including solutions for investor communications, global securities processing, and securities clearing and operations outsourcing solutions. Outsourcing to Broadridge enables our clients to reduce their capital investments in operations infrastructure, thereby allowing them to increase their focus on core business activities.
Contact: Lori R. Vanderford | Broadridge Financial Solutions | Product Design
116 East Berry Street, Suite 490
Fort Wayne, IN 46802
866.209.2440 x249 p
C5 Commission and Compliance Software
C5 Commission and Compliance Software Solutions by Techmate does not provide for every aspect of technology needed by a broker dealer, we just provide the critical elements of Commission Management, Compliance Management, Imaging and E-signatures, Customer Data Aggregation for administrative purposes, Continuity Planning through consistency of systems and training, and Consulting services. C5 Commission and Compliance Software Solutions might be the solution for your Broker Dealer.
PO Box 749
866.209.2440 x249 p
Morrison, CO 80465
Live: AAP, PFF, PVF, SUB, COM
Solutions for Distributors EbixExchange is the leading eApplication solution provider in the Life and Annuity marketplace. In 2010, AnnuityNet processed over 394,000 eApps, totaling over $33 billion in premium.
1441 West Ute Blvd
Park City, UT 84098
800.682.5202 and press 6
EAI Information Systems
Live: AAP, LNA, FAR, POV, COM
EAI Information Systems' complete Internet/Intranet solution helps financial services firms to more efficiently and profitably manage their retail investment and insurance programs. EAI's Web-based system fully integrates customer profile, account aggregation and transaction data, providing functionality to track fee income sales, improve relationship management and cross-selling, and produce timely, accurate reports. Ten modules support complex sales and operations functions including mutual fund & securities, annuity and life insurance sales; compliance surveillance; commissions; rep contact management; referral management; rep licensing management; electronic forms; and account aggregation. EAI's scalable, affordable technology solutions are delivered with the most responsive service in the industry.
Contact: Kwame Essieh
503.644.3057 Ext. 232
Live: AAP, FAR, POV
Envestnet's Advisor Solutions Platform SM provides the widest range of investment products and practice management solutions for independent financial advisors. The Company's innovative technology empowers the fiduciary process by unifying financial planning, proposal generation, portfolio/account implementation, management and trading, as well as reporting and ongoing portfolio monitoring.
Envestnet is headquartered in Chicago with offices in New York, Denver, Silicon Valley and Trivandrum, India. As of 12/31/2009, the firm has over $89 billion in total assets served (this includes assets under management, administration and licensing agreements) and more than 685,000 investor accounts.
Contact: Lisa Erickson | Product Manager
direct - 303.824.8170
Financial Database Services
Financial Database Services is a respected leader in providing innovative front and back office automation tools to Broker/Dealers. The CAESAR Enterprise Solution is a comprehensive product line designed to meet the operational needs of the Broker/Dealer community. CAESAR automates various back office operations; client account maintenance, transaction processing, commission accounting and compliance review and enhanced reporting. CAESAR Registrar guides representatives through an on-line wizard to complete their U4 and Broker/Dealer forms. Field CAESAR provides reps with powerful web based technology so they can view detailed information on clients, transactions and commissions. CAESAR Imaging is an effective document workflow management and image archival system that accelerates document review process. Whether you are looking for automated compliance solutions, robust commission accounting capabilities, or field tools for your representatives. All Roads Lead to CAESAR!
Contact: Jenni Holloway | Sales and Marketing Manager
Live: AAP, APP/SUB, POV, FAR, IFT, ACATS, LNA, IAT, FTR
HCL is a $5.5 billion leading global technology and IT enterprise comprising two companies listed in India - HCL Technologies and HCL Infosystems. Founded in 1976, HCL is one of India's original IT garage start-ups. A pioneer of modern computing, HCL is a global transformational enterprise today. Its range of offerings includes product engineering, custom & package applications, BPO, IT infrastructure services, IT hardware, systems integration, and distribution of information and communications technology (ICT) products across a wide range of focused industry verticals. The HCL team consists of over 77,000 professionals of diverse nationalities, who operate from 29 countries including over 500 points of presence in India. HCL has partnerships with several leading Global 1000 firms, including leading IT and technology firms.
Contact: Mrigendra Sinha | Senior Account Manager
Live: APP and Attachments
Insurance Technologies is a premier provider of innovative sales and regulatory automation solutions to the insurance and financial services industries. Insurance Technologies product suite supplies the accurate tools to automate and accelerate the sales process allowing more time to develop new sales opportunities. ForeSight™ is a mobile point-of-sale illustration platform that supports all aspects of the insurance sales process for multiple lines of business across diverse distribution channels with customized user experience and content branding options. FireLight® is a device-agnostic, user-friendly, easy to deploy e-application business fulfillment platform that automates any existing sales process across all lines of business facilitating straight-through processing.
Contact: David Fenimore | EVP, Engineering & CIO
Live: RPL, APP, POV, FTR
Intellect SEEC, a Polaris Group Company, provides insurance solutions that improve business process efficiency in sales, underwriting, claims and customer service. Our solutions leverage the Intellect SEEC Advantage Library and effectively utilize portal technology, process choreography and ACORD standards to drive efficiency and business growth. Industry leaders in the LAH and P&C markets, rely on SEEC to increase productivity, drive innovation and growth, and enhance customer experience. Intellect SEEC received the prestigious IBM award for innovative SOA solutions and the ACORD award for SOA excellence in 2009.
Contact: Blake Gabriel
Live: AAP, FAR, PFF, PVF
Investigo® Corporation, a subsidiary of Broadridge Financial Solutions, Inc. (NYSE:BR), is the most comprehensive enterprise practice management system in the financial services industry. The web-based system integrates a broad range of applications – including data aggregation, reporting, CRM, compliance and online document management – and includes proprietary screens to accommodate the unique attributes of insurance products. Investigo saves advisors time and money and improves their client service. Clients include hundreds of major financial institutions and their advisors, such as broker/dealers, clearing firms, institutional custodians, money managers and insurance carriers. Investigo aggregates millions of accounts, representing hundreds of billions in assets under management.
Contact: Lori R. Vanderford | Broadridge Financial Solutions | Product Design
116 East Berry Street, Suite 490 Fort Wayne, IN 46802
Live: COM, PVF
jaccomo is a core processing solution that provides a unified and complete view of client information plus automates revenue-essential front and back-office processes. Since it tracks every accountable activity and transaction, jaccomo provides highly accurate commission accounting and compliance surveillance. To assure a quick and non-disruptive adoption in the organization, jaccomo complements the current services that you already receive from other internal or third party systems.
Contact: Robert McGill | CEO
Live: POV, FAR
Lansare is the premier on-demand solution for annuity and life product reporting and analytics. Lansare provides flexible permission based reporting and analytics for sales, marketing, finance and compliance. Our solution is quickly customized to a financial institution's workflow and integrates with legacy and 3rd party data systems. Lansare offers the lowest cost solution for retaining and growing a financial institution's annuity and life business and protecting its goodwill. On a daily basis, Lansare manages almost $30B US of annuity and life data.
Live: COM, LNA
McCamish Systems PMACS® (Producer Management and Compensation System) can manage your sales force, process compensation, provide license and appointment management, support complex producer hierarchies, and maintain compliance requirements and reporting functions in a single platform. Fully integrated with DTCC's COM and LNA processes, PMACS® pioneered working with carriers and trading partners through the DTCC processes. PMACS® is a flexible, multi-tiered, browser based application that is scalable, data source independent and supports all life and annuity products.
Contact: Barbara Grissom
Miningham & Oellerich’s
Miningham & Oellerich’s Serve Me! Suite is an integrated set of business solutions specifically designed for the financial services industry. The Serve Me! Suite consists of functionality for Point of Sale, Books & Records, Supervision & Compliance, Commissions & Compensation, Financial & Accounting, and Reporting & Queries, with all data stored in the Central InfoMart. These comprehensive solutions answer front, middle, and back-office needs. Built on a Microsoft platform, designed for quick installation (ASP) and configurable to meet unique client requirements. M&O enables firms to improve performance, meet regulatory requirements, attract talent, gain transparency into business and empower sales force. This all adds up to One View...limited Opportunities.
Live: POV, COM, FAR
Orcas Net, Inc. is dedicated to providing CUSO Financial Services, L.P., and Sorrento Pacific, LLC with state-of-the-art data management tools. A key component of our system is the organization of position and commission balances. DTCC provides critical data linkage to enable us to successfully meet the reporting needs of our customers.
Contact: Bill Wulff
Orion Advisor Services, LLC
Live: AAP,FAR, POV
Orion Advisor Services, LLC empowers advisors with a comprehensive portfolio accounting service bureau. We liberate you from their back office so you can devote more time to client relationships and enjoy your business again. Orion offers the customization, scale and integration advisors need to build a better business. Process-driven solutions bring efficiencies to new account set up, trading, reconciliation, fee billing, and performance statement generation. Our innovative use of mobile apps, video commentary, seamless CRM integration and eSignature technology support the advisor-client relationship like no other service bureau. Orion was founded by an advisor for advisors.
Contact: Robin Danahy
RegEd is a leading provider of technology solutions for compliance and risk management serving over 800 enterprise clients including 80 of the top 100 financial service firms. Established in 1994 by former regulators, the company is a recognized industry authority and has created the standard of excellence for rule-based compliance automation for broker-dealers, investment advisors, insurance companies and their distributors. Our client-driven solutions deliver superior operational efficiency and enable firms to cost-effectively comply with state and FINRA regulations while mitigating risks before they occur. For more information, please visit our website at: www.reged.com.
SE2, an Eldridge Industries portfolio company, is a leading technology and third party administration company focused on the North American life and annuity insurance industry. SE2 has an unmatched track record in optimizing back-office operations to future-proof insurance companies. Born out of Security Benefit Life insurance, SE2 combines their peerless insurance industry domain knowledge with their leading-edge end to end technology platform Aurum to help clients accelerate product innovation, launch products rapidly, expand into new market segments, streamline efficiencies, shift to a variable cost model and maximize profits while simplifying compliance and dramatically improving the customers’ experience.
SE2 supports more than 20 direct clients, represents more than 35 carriers in North America and services more than 1,000 life and annuity products. SE2 has approximately $100 billion in assets under administration and has been recognized as an industry-leading innovator. In May 2017, SE2 was recognized as one of the “20 Most Promising Insurance Technology Solution Providers” by CIOReview. Visit SE2 at www.SE2.com or at LinkedIn to learn more.
SIGNiX's patented digital signature solution delivered via SaaS leverages Public Key Infrastructure (PKI) to provide companies and their customers with the ability to simply "sign" electronic documents online without the costs or delays of paper processing. SIGNiX offers the numerous technological advantages of PKI, broadly considered to be the "gold standard" among e-signature alternatives due to its higher level of trust and security, but with no hardware or software for the company or end user to install. As the only solution certified by the annuity industry, SIGNiX supports automated, high volume and paperless processes for leading broker/dealers and insurance carriers.
Contact: Brian Felker | Director, Business Development
Live: AAP, COM, FAR, PFF, PVF
When Terrapin Technologies introduced Pandia in 1995, it became one of the first software companies to provide a web-based application designed specifically for bank broker-dealers. Pandia provides a suite of integrated services including management reporting, scheduling & referral tracking, suitability & trade compliance, commission tracking & payout, General Ledger integration and more. Pandia also aggregates all bank broker-dealer data, helping them consolidate information from disparate business lines (such as clearing brokerages, fixed and variable annuities, mutual funds, and insurance policies) and produce customized reports. The necessary tools for managing bank broker-dealer success are yours - with Pandia.
615 First Ave NE, Suite 200
Minneapolis, MN 55413
612-244-2300 (main line)
Thomson Transaction Services
Live: AAP, APP, COM, FAR, IFT (ACATS), POV
Thomson Transaction Services, a division of Thomson Financial, is one of the largest securities data-processing firms in the country. Headquartered in Milwaukee, Wisconsin — with 500 employees and offices in New York, San Francisco, London and Hong Kong — we provide our customers with the tools they need to succeed in the ever-evolving brokerage industry. What truly sets Thomson Transaction Services apart from other securities data processing providers is a collective wisdom: our real brokerage experience and sophisticated computer processing expertise mean practical solutions designed to fit the way our customers do business. It’s the reason we’ve been able to offer services that excel in real-world environments, such as the Internet.
Contact: Paul D. Berenson | Chief Marketing Officer | Thomson Transaction Services
350 N. Sunny Slope Road
Brookfield, WI 53005
Vertafore Producer Lifecycle Management
As new regulations are adding new hassles, are your agents and representatives able to stay focused on selling to their customers? Carriers and agencies use Vertafore's Producer Lifecycle Management license and registration services to improve the rep experience and reduce the cost of keeping those reps authorized to sell. Our experts are trusted by more than 20 state regulators and have helped process millions of transactions. We are ready to help you to avoid the cost and embarrassment of a failed market conduct exam.
1500 Abbot Rd. Ste. 100
East Lansing, MI 48823
Live: AAP, APP, COM, FAR, IFT, LNA, PFF, PVF, SUB
VERTEX, Incorporated is a provider of professional services and technical solutions to the financial services industries. VERTEX automates business processes by utilizing new business straight through processing strategies and partnering with technology solution providers. Since 2000, VERTEX has been a specialist in implementing and maintaining DTCC Insurance & Retirement Services products for numerous DTCC member companies. VERTEX has recently been named DTCC's testing partner for its Access platform transactions. VERTEX has a deep understanding of the Carrier and Broker/Dealer infrastructure, DTCC's record formats, and the business use of the data being transmitted among partners. VERTEX possesses unmatched intellectual capital that assures successful technical implementations with DTCC.
860-827-9090; ext. 112
Xtiva’s business performance management portal is the first industry-integrated approach to compensation management, sales performance measurement, and business policy management. Xtiva’s tools support today’s need for a managed solution to meet a wide range of business, operational, finance, and technology needs. The Xtiva portal combines Xtiva’s next generation data consolidation, calculation, and business rules engines integrated with MicroStrategy’s leadership in business intelligence in one seamless Xtiva hosted suite of products. Xtiva’s Business Management Portal delivers the industry’s most comprehensive and flexible reporting and analytics capabilities; providing Xtiva clients with the advanced tools they need to manage their businesses.
Contact: Rick Scearbo | VP Sales