What is a broker-dealer executive?

A broker-dealer executive is a senior professional responsible for overseeing the operations of a brokerage firm that buys and sells securities on behalf of clients. They manage trading activities, ensure regulatory compliance, and develop strategies to enhance the firm’s profitability.

What insights can broker-dealer executives provide to banks?

Broker-dealer executives can offer valuable insights into market trends, trading strategies, risk management, and regulatory compliance. Their expertise helps banks make informed decisions regarding investments, risk exposure, and client services.

How do broker-dealer executives contribute to risk management in banks?

They apply their knowledge of market dynamics and risk assessment techniques to help banks identify potential financial risks, implement effective risk mitigation strategies, and ensure compliance with regulatory requirements.

What qualifications do broker-dealer executives typically have?

Broker-dealer executives usually hold advanced degrees in finance, business, or related fields, along with relevant certifications such as FINRA licenses. They often have significant experience in trading, compliance, or financial analysis.

How do broker-dealer executives impact a bank's profitability?

By providing strategic insights into trading operations and investment strategies, broker-dealer executives can help banks optimize their investment portfolios, reduce operational costs, and increase revenue from trading activities.

What challenges do broker-dealer executives face in banking?

They may encounter challenges such as adapting to the banking industry's regulatory landscape, balancing short-term trading strategies with long-term banking goals, and managing potential conflicts of interest between brokerage and banking services.

Are broker-dealer executives involved in compliance and regulatory matters?

Yes, broker-dealer executives play a critical role in ensuring that their firms comply with financial regulations, industry standards, and ethical practices. They often work closely with compliance teams to navigate complex regulatory environments.

How can banks leverage the expertise of broker-dealer executives?

Banks can leverage their expertise by involving broker-dealer executives in strategic planning, investment decision-making, and risk management processes. Their insights can enhance the bank's overall financial strategy and market positioning.

Bank or Broker Dealer Technology

Deliver Better Portfolio Solutions -> Better Investment outcomes and a healthier business as well. Broker-dealer Executive

Locate and save vulnerable accounts, diversify, optimize, and automate strategies while improving margins, revenue, and take rates.

Demonstrate and document a fiduciary complaint process in accordance with best interests and laws requiring documentation and mitigation of conflicts of interest for dually registered representatives offering commissioned products.

Our objective optimization delivers solutions that meet the skill, loyalty, and prudence requirements.

What do you want to achieve?

Select which options you want help solving

PORTFOLIO OPTIMIZATION

Software For Advisors

Gsphere is a powerful digital advice platform that features Gravity’s pioneering work in the science of diversification. Portfolio Re-Optimization Technology raises the standard of asset allocation with strong analytics, onboarding proposals, backtesting, and automation.

As Featured in

CLIENT TESTIMONIALS

“Your graphics are spectacular and diversification maximization may be the next hot thing.”

Harry Markowitz1991 Nobel Laureate in Economics

"Absolutely no other program today can create a truly diversified optimal portfolio! You will regret not having it when you see your competition using it with your clients!”

Larry DuncanStrategic Planning Partners

“With G-Sphere I close 30% more business and 50% more high-net-worth business.”

Kelly CurtisRoyal Alliance / AIG

All of these go to show the relative cover that Gsphere can provide by not only educating investors on the benefits of diversification, but providing practical tools for indicating the other baskets where they may put their eggs.

Obi OnyeasoCamelot Capital Partners

“People (investors) are so thrilled when I put it up on the big screen. They intuitively understand it when they see it.”

Greg FergusonFerguson Financial Group

“Gravity Investments is re-writing the asset allocation space. I would not be surprised to see G-Sphere become the next Bloomberg story.”

Richard BornhoftThe Bornhoft Group

There is no question that Gravity is, by far, the best software of its kind on the street.

Tom HardinCanterbury Investments

Features

Name: Broker-Dealer Executive and Top Insights for Bank
Brand: Gravity investments

Whether you want to implement your own digital advisors platform, provide
recommendations, get compliant on diversification and process documentation,
or just create better portfolios; we got you covered:

A systematic process is good. Mean-variance optimization is better, but we think Diversification Optimization gives your investors the best chance to maximize their performance.

A picture is worth a thousand words. So tell investors what they need to learn about diversification and risk using our layered holistic portfolio view. With balance depicted as physical balance, it could not be more intuitive. It’s like a 3D MRI for your investing account.

Asset allocation is when you designate a plan to follow. Portfolio optimization is when you perform asset allocation efficiently, given the investor’s objectives. Finally, portfolio Re-Optimization is when you optimize the portfolio regularly, knowing that the markets will constantly be changing and the best portfolios change with the times. Combining diversification and re-optimization with a hint of momentum, we think there is a sweet spot that won’t chase performance, stays in tune with the market, and protects investor capital from unknown risks.

Portfolio Backtesting shows how the investment strategy performs over time. When creating custom portfolio strategies for investors, the backtest serves as a crucial proof statement.

We patented Diversification Optimization, Diversification Visualization, and Diversification Measurement. It’s time to bring diversification to the table for all of your investor conversations. Risk, return, and diversification. And since most investors have much worse diversification than they think, you can objectively illustrate how they are positioned and what they need to do to fix it.

Portfolio Comparisons is the ultimate before and after tool. Put it on the big screen and win more HNW business. Offer a free portfolio review. Teach, visualize and practice better diversification.

An optimal portfolio is only optimal if it is implemented. Often, we need to specify the blueprints of the portfolio strategy to ensure we don’t take on additional risk by succumbing to various concentrations. We control these concentrations and risks to help ensure a pragmatic, implementable portfolio by providing constraints: This includes minimum & maximum position contractions, threshold constraints, and group constraints by various classifications such as sector, industry, asset class, and asset type.

Our unique Policy Tree is unlike anything you’ve seen in the industry. It is a powerful rules engine that combines rules governing how a portfolio gets built, managed, and automated. It can create portfolios of almost any strategy and combines different investment sets and user preferences to create the perfect customized optimal portfolio for your investors.

What are they saying?

Over the last 15 years not much genuinely new has occurred in the application of Asset Allocation/optimization software. The Gsphere system brings an authentically new technology to the problem of diversification. Not only does it provide a new way to view diversification, it gives the user the power to construct portfolios of nearly any group of asset classes or individual investments and literally see how they work together. Moreover, the Gsphere software’s new conceptions and applications of risk adjustments have real world application to clients and advisors. It fully supports advisors to give better investment advice while also providing clients with superior risk adjusted returns. Add to this the transparent automation of an advisor’s routines with overall ease of use and clearly Gsphere is nothing less than a revolution in the field.

Bank or Broker Dealer Technology

What do you want to achieve?

PORTFOLIO OPTIMIZATION

Software For Advisors

As Featured in

CLIENT TESTIMONIALS

Features

Asset Allocation

Optimization

3D Visualization

Re-Optimization

Backtesting

Diversification Analytics

Portfolio Comparisons

Constraints

The Policy Tree

What are they saying?

Jeremy J. Black

Made in Colorado

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