SEC/FINRA-Compliant Institutional Broker-Dealer Platform — Multi-asset trading, real-time risk management, automated regulatory reporting (15c3-1, 15c3-3, CAT, TRACE, FOCUS), AML/KYC compliance engine, FIX protocol connectivity

Penn Mutual Life Insurance

LPL Financial is a leading retail investment advisory firm and the largest independent broker-dealer in the United States, providing technology, brokerage, and investment advisor services to financial advisors and institutions.

FixFlow allows broker dealers and asset managers to configure a Spreadsheet-to-Fix parser for each counter-party, and deploy it to automate the extraction (file upload, email attachments), normalization, transformation, validation and loading of allocation instructions (J) spreadsheets (csv, xls, xlsx) into compliant FIX messages.

RCS Capital Corporation (RCAP) was a publicly traded holding company focused on the financial services industry, founded by Nicholas Schorsch and taken public in June 2013. The firm owned a diversified group of businesses including independent broker-dealers, investment banking, capital markets, and transaction management services.

LPL Financial Holdings Inc. (NASDAQ: LPLA) is the parent company of LPL Financial LLC, one of the largest independent broker-dealers in the United States and a leading retail investment advisory firm. The company supports thousands of independent financial advisors, banks, credit unions, and registered investment advisors.