Transaction Management Unit Increases Asset Pool Business Issue A Transaction Management Unit of a large brokerage services company was struggling to secure large asset business from independent investment advisors at a time when those advisors were leaving the big name firms in droves to start their own business. This Unit provides transaction management services so once independent, the advisor can keep track of their clients’ transactions in order to comply with regulatory requirements and provide value-added services to the advisor’s clients. Not something the advisor can easily take care of themselves, they seek third-party providers such as the Unit. The Unit’s platform is expensive; the Unit had established a threshold amount of assets an advisor needed to bring on to t

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