Products January 30, 2025

Product and Service Launches – 1/29/25

Pontera, Orion announce new integration; PEO Partners, AlphaQuest launch actively managed ETF; Sycamore introduces surveillance platform for broker/dealers.

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Pontera, Orion Announce New Integration

Pontera Solutions Inc. and Orion Advisor Solutions Inc. have built a new integration that allows advisers to connect into Pontera directly from Orion Trading, which combines tax-efficient trading and rebalancing with a proprietary order management system.

Advisers, centralized trading teams and outsourced CIOs leveraging Orion Trading for investment management can now integrate clients’ 401(k), 403(b) and other held-away accounts.

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This new capability enables users to perform household-level, tax-efficient and compliant rebalancing optimized for retirement plans, according to Pontera.

“This expanded integration with Orion is the first of its kind in our industry, designed to simplify and elevate portfolio management for firms focused on delivering bespoke investment solutions,” David Goldman, Pontera’s chief business officer, said in a statement.

PEO Partners, AlphaQuest Launch Actively Managed ETF

PEO Partners LLC, a private equity liquid alternatives platform, and AlphaQuest LLC, an alternative asset management firm, announced the launch of PEO AlphaQuest Thematic PE ETF, an actively managed ETF that combines equity and derivatives strategies.

The equity strategy focuses on public companies that align with certain investment themes and characteristics of traditional private equity funds focused on leveraged buyouts.

The derivatives strategies, through the trading of futures contracts, involve providing increased equity market exposure that private equity funds typically achieve using leverage, as well as a distinctive investment strategy seeking to reduce downside volatility.

Together, the equity and derivatives strategies seek to deliver excess or comparable returns, with lower volatility than public equity markets, represented by the Russell 2500 Index.

Sycamore Launches Surveillance Platform for Broker/Dealers

Wealthtech firm Sycamore Co. announced the release of a surveillance platform for broker/dealers that enables them to more effectively surveil, detect and monitor adviser activity within their organizations.

By analyzing transaction and commission data across advisers and accounts, Sycamore’s platform allows for compliance teams to aggregate relevant data.

“From severe fines to reputational damage, there are serious consequences for broker-dealers that fail to establish and maintain effective surveillance systems,” Mike Overdorf, Sycamore’s president and founder, said in a statement. “It has never been more critical for broker-dealers to deploy a highly-capable system that can mitigate those risks.”

Products January 30, 2025

Equitable Introduces 401(k) PEP

The 401(k) pooled employer plan is available through the Equitable Retirement Vision platform.  

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Equitable introduced Equitable Retirement Access, the company’s 401(k) pooled employer plan offering. 

The Equitable Retirement Access plan includes the following providers: 

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  • PlanConnect LLC, an affiliate of Equitable, serves as the recordkeeper  
  • Pension Plan Specialists will act as the pooled plan provider, third-party administrator and 3(16) administrative fiduciary 
  • SWBC Retirement Plan Services will function as the 3(38) investment fiduciary 
  • Plan Notice LLC will handle notice delivery services.  

The PEP is available through the Equitable Retirement Vision platform, an existing mutual fund-based retirement plan platform with a group fixed annuity contract issued by Equitable Financial Life Insurance Company.  

“Small businesses are an important growth engine for the U.S. economy, creating two-thirds of new jobs in recent decades. Yet, millions of these employees lack access to workplace retirement savings plans, hindering the ability of small business owners to attract and retain talent,” said Jim Kais, Head of Group Retirement at Equitable. “Our new 401(k) PEP offering makes it easier for small business owners to provide an affordable solution to help their employees build a secure financial future, while alleviating the administrative burdens of running a retirement plan.” 

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