Category Archives: AltsTech Profiles

AI Insight

AI Insight

February 21, 2020

AI Insight is the industry’s online go-to resource for alternative investment research, training and compliance support. Join the thousands of advisors and financial firms who have increased their knowledge and confidence with new product offerings on the AI Insight platform.

AI Insight covers over 200 non-traded alternative investment funds representing $33 billion in assets, and over 80 alternative strategy mutual funds, representing nearly 80% of the AUM of the alternative strategy mutual fund market.

AI Insight is known as the independent source for alternative investment research, training and compliance documentation. Clients use AI Insight’s comprehensive platform to monitor performance of hundreds of alternative investments, including alternative mutual funds.

Product, Sector/Structure and Continuing Education Training

Product-specific training on the features, risks and suitability for hundreds of offerings. Facilitate your firm’s Annual Compliance Meeting and Firm Element requirements with AI Insight’s extensive course library.

Due Diligence and Research Tools

Create efficiencies in due diligence review process using AI Insight’s robust database to source new products as well as analyze and compare hundreds of alternative investment programs, including alternative mutual funds.

Ongoing Monitoring

Access performance summaries, generate financial charts and create customizable alerts for performance parameters for non-traded REITs, BDCs and Closed-End Interval Funds. Review performance information from financial filings during and after the offering period.

Industry Reporting

Review historical data for non-traded REITs, BDCs, Closed-End Interval Funds, Private Placements and Alternative Mutual Funds. Keep watch on trends using AI Insight’s extensive review of available programs providing key financial statistics for each industry and program, such as distributions and coverage ratios, sector allocations, capital raise, leverage ratios and more. 

Consulting Relationships

Many financial firms find themselves lacking resources or expertise on all types of Alternative Investments. AI Insight’s team has extensive industry experience to provide a firm with complimentary or additional support for their due diligence team. 

Compliance Documentation

Demonstrate what a firm is doing to support its regulatory requirements in a transparent way. AI Insight captures all the activity firm members complete within the platform including training modules, offering document reviews and research conducted.

The Entrust Group

The Entrust Group

February 18, 2020

For nearly 40 years, The Entrust Group has provided account administration services for self-directed retirement accounts and tax-advantaged plans. Entrust can assist investors in purchasing alternative investments with retirement funds, and administer the buying and selling of assets that are typically unavailable through banks and brokerage firms. These assets include residential and commercial real estate, secured and unsecured notes, limited liability corporations, precious metals, mortgages and more.

As an administrator and record keeper, Entrust works to provide investors with more time and freedom to determine their financial future through a wide array of tax-deferred or tax-free options. Entrust does not promote any investments. Rather, Entrust provides the administration, information, and tools to make self-direction straightforward and compliant.

Entrust Group’s Learning Center strives to educate investors about the portfolio diversification options available to self-directed investors. Through live webinars and in-person educational events, as well as blogs and newsletters, Entrust empowers investors to take charge of their retirement through the use of self-directed IRAs.

Educational Tools

Entrust helps clients and professionals understand the broad spectrum of alternative investment options, including industry tips and strategies, as well as the benefits of self-directed investing.

Helping Advisors Grow Their Business

Entrust can help advisors grow their business through the Entrust B2B Program, which is dedicated to educating advisors and their clients about the benefits of portfolio diversification through alternative investments.

Industry Leader in Self-Direction

Entrust is the premier provider of account administration services for self-directed IRAs and other tax-advantaged, self-directed savings accounts. For nearly 40 years, Entrust has been an acknowledged authority in self-direction.

Personal Service

Entrust’s team of professionals understands the self-direction process first-hand, and they are here to help investors explore their options. Entrust professionals are regularly examined to ensure compliance with current state and federal banking requirements, as well as industry best practices. To serve clients in their areas, Entrust has more office locations than any other self-directed IRA administrator.

Entrust’s Founder, Hubert Bromma

Hubert Bromma is a well-recognized pioneer in the field of alternative investments in tax-free and tax-deferred environments. Since 1967, Mr. Bromma has had a long and distinguished career in banking, financial institution consulting, mergers and acquisitions, and real estate investing.

In 1981, Mr. Bromma developed the first truly “Self-Directed IRA” for a number of banks. In 1993, he consolidated a banking and pension management practice that he had owned since 1981 into Entrust. He then began to build what is now the only national network of local branded offices providing account administration and education services for self-directed retirement plans.



February 18, 2020

Centersky is led by Gary Davi, an innovation award winning Capital Markets/Alt Sponsor CTO, and his team of Salesforce Administrators and Developers that have each individually been involved directly in the Capital Markets business for 10+ years.

Information Technology, specifically utilizing a CRM platform, is no longer “optional.” It’s deeply embedded in every business process and is a key component that a company relies on to track activity (or non activity) and sales (or lack of sales) on a day-to-day basis.

The problem is that the traditional IT Department is more focused on break/fix or other priorities and not built to serve in a way that moves the needle for the Capital Markets business.

Gary believes that the successful firms of the future will seek to partner with CRM “technology platform specialists” that have deep experience, constantly collaborating, and innovating within the Capital Markets Business Value Chain.  This type of synergy is absent from the traditional IT Department and in the tech-world is commonly referred to as “DevOps.”

Enter Centersky…

By entrusting a business’s CRM platform to Centersky, the client can bypass the need to hire, train, re-hire, and re-train full-time employees who may have less Capital Markets experience resulting in a lower level of service. The team at Centersky saves overhead and provides an innovative boost to businesses resulting in more sales and increased market share.

Capital Markets Technology Solutions

Centersky’s team provides clients with knowledgeable Capital Markets focused staff specializing in alert centric solutions, cutting costs, and removing manual processes throughout the entire organization.  Do you have the tech to compete?

It has become vital to operationalize data, the wholesaler’s most valuable asset, into actionable insights. These insights can meaningfully impact multiple functions, processes, teams, and the entire ecosystem of the Capital Markets Business Value Chain.

The Centersky DevOps team quickly levels the playing field for sponsors, distributors, and capital markets firms. Centersky can help maximize ROI with a fully integrated, managed and day-to-day supported Salesforce solution.

For more information, visit:



February 11, 2020

Docupace is a technology company built for the financial services and wealth management industry. For over 15 years, they’ve dedicated their resources to solving the most frustrating and time-consuming problems that advisors, broker-dealers, and RIAs face on a daily basis.

Docupace is based in Los Angeles with a team built from a diverse set of talents: software developers, technology leaders, compliance and security specialists, mathematicians, management experts, financial professionals, client services geniuses—all coming together to make Docupace the leading universal workflow and document management automation software choice for financial service and wealth management firms and their advisors everywhere.

The Docupace Platform simplifies the way firms process information, increasing efficiency, productivity, and profit. It is a comprehensive, customizable solution for digitizing wealth management operations. By eliminating transactional paperwork and its associated costs, Docupace makes work easier for financial services professionals, and increase profit for their firms.

Their cloud-based, end-to-end software solution contains a suite of tools, workflows, integrations, and APIs that improve compliance, simplify audits, smooth personnel transitions, and more.

They also protect their clients from cyber security risks, with a full suite of security services tailored to the needs of financial services firms.

The Docupace Platform:

• Client Onboarding:  New account opening and maintenance is simple with automatic data synchronization and compliance checks.

• Document Management:  Store records with a secure, cloud-based document management solution and always be prepared for an audit.

• Advisor Transitions:  Digital workflows make it possible to transition incoming advisors’ books of business in as 30 days.

• Advisor Onboarding:  Onboard new advisors quickly and ensure the accuracy of onboarding forms using automated workflows.

• Alternative Investments:  Take advantage of the new wave of investments fearlessly with compliant alternative investment processing.

• Advertising Review:  Quickly review advertisements for SEC and FINRA compliance and speed up marketing efforts.

For more information and to schedule a demo, visit:

Riskalyze Provides Tools to Align Client Goals and Risk Tolerance with Portfolio Design

Riskalyze Provides Tools to Align Client Goals and Risk Tolerance with Portfolio Design

February 11, 2020

How much investment risk should clients take on?  Riskalyze uses leading scientific theory to objectively pinpoint an investor’s “Risk Number.” Using the investor’s Risk Number and that of their current portfolio, Riskalyze can empower the advisor to make investment decisions that demonstrate alignment to clients and prospects.

Advisors need to be able to explain and demonstrate how much risk their clients need to take to reach their financial goals. Rather than guessing, the advisor can use Riskalyze to calculate the probability of success and build a map to achieve it.

Due Diligence and Alignment

The Riskalyze tools not only help advisors to act in the best interest of their clients, they document and showcase alignment between portfolio construction, risk tolerance and risk capacity. Using the Risk Number, the advisor can correct a misaligned portfolio. Powerful risk analytics can also be applied to a prospect’s outside holdings and help generate new client relationships.

Risk assessments that use real dollar amounts that are relevant to the investor give the advisor and client a common language, eliminating confusing exercises full of subjective questions. Riskalyze questionnaires can be time-stamped and archived, giving the advisor confidence that he knows the client and can prove it quantitatively.

Using Data to Map Risk

Riskalyze analyzes the risk of over a quarter-million securities, products and strategies to see how accounts roll up into a portfolio-wide risk number. The 95% Probability Range illustrates the potential gains or losses a portfolio might experience over a six-month period. Although there’s 5% that can never be quantified, investors make better decisions when they understand what is “normal” for their portfolio.  Advisors can use this data to keep their clients from making bad, short-term decisions that can kill long-term goals.

Riskalyze provides tools to create “Retirement Maps” that illustrate the bigger picture and serve as a great precursor to a comprehensive financial plan. When advisors can display investment risk with a wider lens, clients just “get it.” Client portfolios can be run through a market timeline to illustrate a stress test for a variety of stock and bond market scenarios. These scenarios illustrate hypotheticals for the client. They can be a game changer to reinforce how the advisor can set a client’s expectations. 

Why Blue Vault Partners with Riskalyze

At Blue Vault, we believe understanding the difference between data and information is a key to creating value. We are inundated with data, but only the data that improves our decision-making is worthy of being called information. To be informed and to make good decisions, we need to know how to analyze data to get to the information we really need. Riskalyze is a company that uniquely analyzes risk tolerance to better align investor preferences and portfolio decisions.

CNB Custody

CNB Custody

February 10, 2020

Community National Bank (CNB) was founded in 1984 as a traditional bank by a group of individuals in Nemaha County, Kansas on a philosophy of diverse local ownership with decisions made on a local level. The bank now has four locations to serve Seneca, Sabetha, Tonganoxie, and Basehor, Kansas.

In 1985, CNB’s Retirement Plans Division began as an American small town success story; from the first account, it has grown through business acquisitions and providing excellent customer service. It is now a nationwide business with IRA accountholders in all 50 states. Although CNB has grown significantly in the past 30 years, they still stay true to their values of serving their customers. All calls will be answered by one of their excellent service staff during their hours of operation.

CNB is known for their expertise, responsiveness and reliability. CNB Custody is advisor-focused – providing administration and custody services for alternative and traditional investments in Roth IRAs, Traditional IRAs and Simplified Employee Pension (SEP) plans as well as many types of non-qualified accounts.

CNB Custody Advantages

• Reasonable Fees

• Fast Turnaround

• Accuracy and Reliability

• Experienced Staff

• Real People Answering your Phone Call

• Experts in IRA Rules and Regulations

• Innovative Service

CNB also can help investors navigate the process of adding gold, silver, platinum or palladium to their IRA accounts.

As a nationally chartered bank, CNB is regulated by the Office of the Comptroller of the Currency, an independent bureau of the U.S. Department of the Treasury.

For more information, see

Envision Financial Systems

Envision Financial Systems

February 5, 2020

Envision Financial Systems recently celebrated 25 years as a company and has grown its business by delivering innovative, tailored solutions for brokerage houses and mutual fund companies that provide shareholder accounting systems built on open technologies.

Envision Financial Systems (“Envision”) provides real-time shareholder accounting and servicing technologies for mutual funds, asset managers, transfer agents and 529 program providers. Their products allow firms to increase efficiency and improve customer satisfaction, while enabling their emerging business needs. Using industry standard open technologies, along with a modular design, an intuitive interface and configurable rules, Envision’s clients can introduce new features, functions and product capabilities to the market faster, easier and more cost effectively.

Envision believes that technology should:

• Enable firms to optimize efficiency and provide superior customer service

• Integrate easily with other enterprise solutions to maximize data value

• Empower users to make informed decisions with real-time access to information

Envision provides flexible, high-quality, cost effective solutions that let firms meet their changing business needs by:

• Reducing operating costs through business process automation

• Enabling businesses to innovate and differentiate by providing configurable technology that the client controls rather than having it control the client

• Allowing the client to access and leverage data in real-time

Envision’s clients include:

• Large mutual funds with captive transfer agents

• Mutual fund transfer agent service providers

• Direct and Advisor sold college savings plans

• ABLE Act Program Managers and Administrators

• National pre-paid 529 college savings plan

• Global banking institutions

• REIT service providers

• Local Government Investment Pool recordkeepers

For more information about Envision Financial Systems see



February 5, 2020

WealthForge provides technology solutions developed by regulatory experts to streamline investments into alternative securities. Altigo, the straight through processing technology platform from WealthForge, improves the alternative investment experience for financial professionals and investors. It provides transparency into the investment process, significantly reduces error rates, eliminates the need for mailing documents, and speeds up the overall process.

Altigo enables financial professionals to access offerings, automate subscriptions, and track investments across multiple sponsors, serving as a hub for their alternative investment business. A single-sponsor version of Altigo is also available to advisors at no cost through sponsors who license Altigo.

“The poor experience related to investing in alternative assets is a limiting factor in the ability for these products to gain traction among advisors and their high net worth clients. Altigo provides an opportunity to knock down those barriers and change the way people think about alternative investments,” says Bill Robbins, CEO of WealthForge.

Compared to paper-based processes, using Altigo can result in a 90 percent reduction in the time it takes to complete an investment*, saving financial professionals hours of administrative work creating a better experience for their investor clients. Altigo currently supports various popular alternative investment products, including 1031 Exchange DSTs, Qualified Opportunity Zone Funds, NAV REITs, and BDCs. 

*Based on internal estimates.

How Altigo Enhances the Subscription Process

• Improved Accuracy

Investments can be completed online through a simple information collection workflow that may significantly reduce NIGO error rates.

• Accessibility

Convenient dashboards display available offerings in one place, making it easier for advisors to access, review, and invest on behalf of clients.

• Transparency

Sponsors and advisors can view and upload documents, make changes, and track the status of subscriptions throughout the entire process.

• Speed

While manual subscriptions may take weeks to complete, a paperless process can be completed in minutes, saving time and reducing costs.

For more information about WealthForge, please visit

DTCC: The Depository Trust & Clearing Corporation

DTCC: The Depository Trust & Clearing Corporation 

February 4, 2020

The Depository Trust Company (DTC) was created in 1973 in response to Wall Street’s “paperwork crisis” brought on by a sharp increase in securities trading and the growing number of trades that failed to settle. In 1976, National Securities Clearing Corporation (NSCC) began operations in a move to centralize the clearing and settlement of listed and OTC securities transactions. In 1999, the Depository Trust & Clearing Corporation (DTCC) is created with the affiliation of DTC and NSCC under the single DTCC corporate umbrella. At the center of securities trading activity, DTCC has a unique vantage point to anticipate and lead change to protect and shape the future of the capital markets.

DTCC Capabilities

DTCC, through its subsidiaries, advances industry-leading solutions that help secure and shape the future growth and development of the global financial marketplace. Today, DTCC is processing trillions of dollars of securities transactions on a daily basis.

The DTCC Promise

As a global financial services leader, DTCC proactively develops solutions to secure today’s marketplace, while shaping the future of the industry. DTCC promises to stand at the forefront of innovation to mitigate risk, create market efficiencies and reduce costs.

Institutional Trade Processing

DTCC’s Institutional Trade Processing (ITP) service suite has its origins in the set of trade processing solutions that constituted the Omgeo business. Combining DTCC’s global solution for legal entity identifiers and its settlement capabilities with the formerly Omgeo-branded pre-trade and matching services, ITP offers buy-side, sell-side and custodian firms an end-to-end straight-through-processing solution for their trading activity.

Clearing Services

DTCC subsidiaries National Securities Clearing Corporation (NSCC) and Fixed Income Clearing Corporation (FICC) deliver highly efficient clearing services across the U.S. equities and fixed income markets, reducing risk and cost for clients, while ensuring safety and reliability in the marketplace.

Settlement & Asset Services

The Depository Trust Company (DTC), DTCC’s central securities depository subsidiary, provides settlement services for virtually all equity, corporate and municipal debt trades and Money Market Instruments in the U.S.

Wealth Management Services

Wealth Management Services (WMS) includes three of DTCC’s business lines: Mutual Fund Services, Alternative Investment Product Services and Insurance & Retirement Services. These businesses drive centralized, automated processing and information services for the mutual funds, alternative investment, insurance and retirement markets.

Other Services

• Collateral Management

• Repository & Derivative Services

• Risk & Regulatory Compliance

• Announcement and Security Reference

• Liquidity & Benchmark Analytics

For more information see

AIX: Alternative Investment Exchange

AIX: Alternative Investment Exchange

February 4, 2020 

AIX is a digital platform built to improve the process of investing in alternatives and enable growth for the broader industry. AIX was built by an experienced team with years of proven success servicing alternatives throughout the full lifecycle.

This expertise comes from supporting legal, regulatory and operational aspects of retail alternative accounts across multiple asset classes, structures and product types. AIX believes that establishing an industry standard supported by world-class technology will create value for the entire asset management industry.

According to AIX, four challenges block the growth of alternatives in the retail market:

• Nontransparency

   Lack of industry standards and paper-based processes make it difficult to track transactions and performance.

• Elevated Risk

   Enhanced regulation, including state suitability requirements and broker-dealer policies, mean increased liability.

• Lack of Access

   Administrative complexities and operational challenges result in decreased access and availability of alternatives.

• Higher Cost

   Manual processes and duplicative data entry result in higher rates of human errors and additional costs.

AIX creates a better investing experience by making the entire process easier for advisors, broker-dealers, custodians, asset managers and their agents:

• Connectivity with external data sources pre-fills information across required paperwork.

• Systematic checks evaluate suitability requirements, e-signature preferences and unique business rules to minimize errors.

• Data is captured and distributed across the network of stakeholders to populate order entry systems directly and reduce manual processes.

• Changes to investor account information are entered once and populated across required paperwork.

SS&C Technologies Inc. to Attend Blue Vault Bowman Alts Summit 2020

SS&C Technologies Inc. to Attend Blue Vault Bowman Alts Summit 2020

January 15, 2020 | Staff Writer | Blue Vault

Blue Vault is very pleased to have SS&C Technologies Inc. (SS&C) commit to attend its sixth annual “Blue Vault Bowman Alts Summit 2020” (the Summit) March 10-12 in Atlanta as a bronze level event sponsor.

The alternative investments market demands exceptional agility, timely and informed decisions, flawless execution and strict compliance with complex regulations. SS&C’s unique combination of technology, services, and expertise provides the support needed to master this challenging arena. 

As investment firms are making the strategic decision to focus on their core business and outsource some or all of their technology and operations, SS&C offers the full spectrum of options: from secure, cloud-based technology hosting, to co-sourcing specific workflows, to full outsourcing of operational processes. Their experts will tailor the right combination of outsourced solutions and services to suit any business strategy and budget.

SS&C employs a disciplined and highly focused acquisition strategy to increase the breadth and depth of its products and services, and capitalize on evolving market opportunities.

Since 1995, SS&C has acquired 50+ businesses with products, services, and technologies in existing or complementary vertical markets with more than 22,000 employees worldwide. SS&C Technologies placed 10th on Fortune’s 2019 100 Fastest-Growing Companies list. For more information, visit


At the Summit, registered investment advisors and independent broker-dealers alike will hear from the industry’s top asset managers, gain insight from due diligence experts, and new this year, learn about the latest alts-focused technology from fintech firms attending the Summit’s AltsTech Forum.

SS&C and other fintech providers will give presentations and demonstrations March 11 about how their technology platforms are delivering real results, making efficiency a top priority. There will be panel discussions to address current issues and challenges needing solutions. Additionally, providers will showcase their products at the Forum and answer questions about how to integrate their products and services into an advisory practice. Follow the latest event happenings via hashtag #AltsSummit2020. For more information on the Summit, visit