Custody & Clearing

We introduce our clients on a fully-disclosed basis to some of the world’s largest financial institutions

Our clearing firms, each acting as a Prime Broker, allow for domestic and foreign equities, options, and fixed income

Our Clearing Agents

ICBC Financial Services

ICBCFS provides global clearing and settlement capabilities in all major securities markets for institutional clients. . ICBCFS (formerly Prime Dealer Services) was acquired by ICBC in 2010 and was the first US broker dealer acquired by a Chinese bank. ICBCFS is a wholly owned subsidiary of Industrial and Commercial Bank of China Limited (“ICBC”), which is the largest bank in the world as measured by deposits, market capitalization and profitability. ICBC provides a wide range of financial products and services to 4.37 million corporate clients and 292 million individual customers through 16,825 outlets across China, 252 overseas institutions and a global network of more than 1,591 correspondent banks in 137 countries and regions by the first half of 2012. ICBC establishes strong presence by its commercial banking operation and rapid expansion to markets worldwide. For additional information on ICBC, please visit the web-site at

Interactive Brokers

Interactive Brokers Group, Inc. (Nasdaq:IBKR) is an automated global electronic market maker and broker specializing in routing orders and executing and processing trades on more than 90 electronic exchanges and trading venues worldwide. As a market maker, IBG Inc. provides continuous bid and offer quotations on over 620,000 securities and futures products listed on worldwide electronic exchanges. In its role as a direct market access broker geared towards professional and active traders, Interactive Brokers (IB) provides its customers with an advanced order management, trade execution and portfolio management platform with electronic access to stocks, options, futures, forex, bonds and mutual funds. Founded in 1977, Interactive Brokers’ mission is to “Create technology to provide liquidity on better terms. Compete on price, speed, size, diversity of global products and advanced trading tools.”

After an in-depth needs analysis, we will present to you what clearing options we feel best suite your requirements
 We will discuss the services of each, and present you with a rate schedule outlining varying costs
We leave the ultimate choice up to you


Excess SIPC coverage is provided by most of our clearing firms.  Additional information may be obtained from your Account Representative


By maintaining multiple custodians, we provide a consolidated multi-custodial solution that allows managers the ability to diversify custodial risk while enjoying the operational ease of a single trading solution, service team, and reporting system