Sponsorship Fees

Mutual fund companies, annuity companies, and other investment solution providers offer marketing support in the form of sponsorship fee payments to Pershing (or third parties at Pershing's direction) in connection with educational conferences, events, seminars, and workshops for broker-dealers or investment professionals. These payments may be for the expenses of educational materials or other conference-related expenses. The companies listed below provided sponsorship fees to Pershing in 2011.

  • Advanced Regulatory Compliance, Inc.
  • Advent Software, Inc.
  • AdvisorShares
  • The Advisory Trust Company of Delaware
  • Allianz Global Investors
  • ALPS Distributors, Inc.
  • American Beacon Advisors, Inc.
  • American Century Investments
  • American Funds
  • Appleseed Fund
  • AQR Capital Management
  • Argus Research Company
  • Ave Maria Mutual Funds
  • Baron Funds
  • Black Diamond Performance Reporting
  • BlackRock
  • Bloomberg
  • BMO Capital Markets
  • BNP Paribas
  • BondWave LLC
  • Brandes Investment Partners, L.P.
  • CAISfunds
  • Calamos Investments
  • Cannon Financial Institute
  • Center Coast MLP Focus Fund
  • Citi Global Transaction Services
  • Citigroup Global Markets
  • ClearBridge Advisors, LLC
  • Cohen & Steers
  • Columbia Management
  • Convergex
  • Credit Suisse
  • Croft Funds Corporation
  • Cushing MLP Asset Management, LP
  • Direxion Funds
  • Dividend Capital
  • Dow Jones and Company
  • Dreyfus
  • DWS Investments
  • Eagle Investment Systems LLC
  • Eaton Vance Investment Managers
  • EISI
  • Envestnet Asset Management, Inc.
  • ETF Securities
  • FBR Asset Management
  • Federated Investors, Inc.
  • First Trust Portfolios L.P.
  • Folio Dynamix
  • Fortigent, LLC
  • Forward Management
  • Franklin Templeton Investments
  • FundQuest Incorporated
  • Gabelli Funds
  • Genworth Financial Wealth Management, Inc.
  • Gotham Asset Management, LLC
  • Guggenheim Fund Distributors, Inc.
  • GWG Life
  • The Hartford Mutual Funds
  • Heartland Advisors, Inc.
  • Hodges Capital Management
  • ICON Funds
  • Insured Retirement Institute
  • Interactive Data Corporation
  • Invesco
  • Investment Management Consultants Association
  • iShares
  • Janus Capital Group Inc.
  • Jaywalk
  • J.P. Morgan Asset Management
  • John Hancock Funds, LLC
  • Junxure
  • Kenmar Preferred Global Asset Management LLC
  • Laser App Software
  • Legend Advisory
  • Legg Mason Global Asset Management
  • Markel Cambridge Alliance
  • Matthews Asia Funds
  • MFS Investment Management
  • Millennium Trust Company, LLC
  • Mirae Asset Management
  • MoneyGuidePro
  • Morningstar, Inc.
  • National Compliance Services, Inc.
  • Natixis Global Associates
  • Neuberger Berman LLC
  • Newtek Business Services, Inc.
  • Nomura Asset Management U.S.A. Inc.
  • Northern Lights Fund Trust
  • Nuveen Investments
  • The Olstein Funds
  • OppenheimerFunds, Inc.
  • Orion Advisor Services LLC
  • Paradigm Capital Management, Inc.
  • Permanent Portfolio Family of Funds
  • Pioneer Investments
  • Portfolio Pathway
  • ProShares
  • Promontory Interfinancial Network, LLC
  • Prudential Annuities
  • Putnam Investments
  • Rainier Investment Management, Inc.
  • Redi2Technologies
  • Redtail Technology
  • Reich & Tang Funds
  • Reliance Trust Company
  • RemitPro
  • Royal Bank of Scotland
  • Royce Funds
  • Russell Investments
  • Rydex|SGI
  • SBAuer Funds LLC
  • Scout Investments
  • Security Benefit
  • Sierra Core Retirement Fund
  • SIFMA
  • Standard & Poor's
  • Starkweather & Shepley Insurance Brokerage
  • State Street Global Advisors
  • Steben & Company
  • Sterling Trust
  • Theodore Liftman Insurance, Inc.
  • TIAA-CREF
  • Transparent Value
  • T. Rowe Price
  • United States Commodity Funds LLC
  • Van Eck Global
  • Vanguard
  • W&S Financial Group Distributors
  • William Blair & Company
  • WisdomTree Investments, Inc.