Advisor Trade Ex
Provides technology and administrative services supporting direct and broker-dealer transaction paths.
About the technology
One regulatory-compliant technology platform. Multiple firms. CFA-grade opportunity review.
Advisor Trade Ex expands access to capital and liquidity while preserving each firm's diligence, suitability, and supervisory responsibilities.
Why ATX exists
The dead equity problem should not block informed capital.
A security owner's access to potential buyers should not depend entirely on whether their existing broker will accept the security into custody. ATX provides a place to present the opportunity and connect with parties capable of handling the transaction.
The platform helps issuers and existing securities owners present legally distributable offerings directly to permitted purchasers or through participating broker-dealers.
Advisor Trade Ex enables CFA charterholders and advisor teams to discover opportunities, review issuer information, access offering materials, and determine which transactions may be appropriate for their clients or mandates.
ATX is designed to expand the broker-dealer relationship, not replace it. Each participating broker-dealer maintains its own due diligence, compliance, suitability, and supervisory responsibilities.
CFA-led advisors
Evaluate differentiated opportunities, document quality, liquidity, suitability, and portfolio fit.
Issuers & owners
Present legally distributable offerings directly to permitted purchasers or through participating firms.