Registered Investment Advisor
Empowering advisors with flexible tools and reliable support.
Dedicated Technology and Support for RIAs (and Your Clients)
TradingBlock is dedicated to supporting Registered Investment Advisors, especially those managing options strategies on behalf of clients. Our web-based RIA platform, powered by the same technology as our retail solution, offers distinct benefits:
- No downloads or hidden fees: Access the platform instantly with no software downloads, monthly fees, or hidden charges.
- Group trading: Customize groups and enter aggregate price trades with just a few clicks.
- Flexible order entry: Manage trailing stops, multi-leg strategies, and customizable order types.
- Broad investment options: Trade nearly any asset class, including options in IRAs.
- Responsive back-office support: Get knowledgeable assistance when you need it.
Take your trading to the next level with solutions designed for active professionals.
Advisor Platform Integrations
Seamless Access to Leading Advisor-Centric Platforms
Efficient and accurate client data management is essential for growing your advisory business. Through our partnership with Apex Clearing, TradingBlock offers:
- API and start-of-day (SOD) integrations with top portfolio management systems.
- Data aggregation solutions that streamline reporting and workflows.
Efficient and accurate client data management is essential for growing your advisory business. Through our partnership with Apex Clearing, TradingBlock offers:
Vendor
Platform Type
Integration Type
Simplify Your Advisory Workflow
Streamlined Tools for RIAs and Their Clients
TradingBlock’s easy-to-use platform gives you everything you need to manage your business efficiently:
- New account opening and processing: Fast and seamless setup for clients.
- Order entry tools: Execute simple and advanced orders, including trailing stops, contingencies, and complex multi-leg combinations for qualified and non-qualified accounts.
- Group trading: Customize groups and enter aggregate trades with a few clicks.
- Online cashiering: Simplify ACH transfers, wires, and checks.
- Asset and position review: Easily monitor positions across multiple accounts.
- Account administration: Simplify day-to-day account tasks and client management.
Run Your Business, Your Way
Flexible Products, Powerful Features, and Trusted Security
TradingBlock gives you the tools to build and manage your business efficiently:
- Products: Choose the products that best meet your clients’ needs—stocks, bonds, mutual funds, and options, from single legs to complex spreads.
- Features: Access tools designed with advisor feedback, including advanced trading and portfolio management solutions.
- Security: TradingBlock customer accounts cleared and carried by Apex Clearing Corporation are covered by the Securities Investor Protection Corporation (SIPC):
- SIPC coverage: Up to $500,000 per customer, including $250,000 max for cash.
- Apec Excess SIPC insurance: Coverage up to $150 million aggregate, with $37.5 million for securities and $900,000 for cash per customer.
Experienced, Knowledgeable Support
More Than Just Technology—A Team Behind You
Being independent doesn’t mean being alone. At TradingBlock, we provide the support you need to serve your clients effectively—whether through our experienced trade desk, back office, or dedicated relationship management team.
- Transition Support: Ensuring a smooth and seamless move to our platform.
- Order Execution: From stocks and ETFs to bonds and multi-leg option orders, we know how to get your trades done.
- Relationship Management: Keep clients informed, educated, and up to date to strengthen your relationships.
- Trade Desk and Back Office Support: Leverage 50+ years of experience in floor, electronic trading, and back-office operations to deliver a first-rate client experience.
Professional Service FAQs
We provide mini-prime, portfolio margin and customized execution solutions.
TradingBlock facilitates each manager’s unique technology, trading, reporting and back-office needs.
- Multiple clearing and custody options available
- Tailored solutions encompassing trading technology, ultra-low latency execution, portfolio and risk-reporting systems.
- Multiple execution venues providing liquidity, flexible routing and connectivity.
- Portfolio margin, securities lending, financing, and soft-dollar programs.
- Custom reporting, fee management and P&L allocation tools.
- Experienced, responsive trade desk specializing in complex strategy execution and margin allocation.
- Concierge administrative support backed by one-on-one back-office services.
Make risk-based margin work for you
Portfolio Margin is a portfolio and risk-based margin methodology that applies margin requirements to an account based on the greatest projected net loss of all positions in a given ‘security class’ or ‘product group’.
Unlike “Regulation T margin” (or “Reg T”, the margin methodology which applies to most retail brokerage accounts and which applies margin treatment onposition-by-position basis), Portfolio Margin accounts for correlations that may exist between similar types of indices and ETFs. Portfolio Margin also considers how conservative a portfolio may be; thus, a more conservative portfolio may have lower margin treatment than a portfolio carrying more risk.
The goal of Portfolio Margin is to set margin levels that more precisely reflect actual net risk by considering the entirety of an account’s current positions. As a result, Portfolio Margin may provide traders greater leverage (or more efficient use of trading capital), since margin requirements are calculated based on net risk and may be lower than standard Reg T margin requirements. Additionally, under Portfolio Margin, initial and maintenance margin requirements are the same.
TradingBlock offers Portfolio Margin to qualified clients. Contact us at proservices@tradingblock.com for more information.
Select the smart routing algos that fit your strategy.
TradingBlock offers multiple smart route algos through several execution venues offering price improvement.
Equity Smart Routes
- Smart Routing: Various smart routes via multiple executing brokers. Price Improvement: Yes
- TB Smart Penny: Smart equity route that allows full pricing and security type flexibility. Price Improvement: No
Option Smart Routes
- Smart Routing: Various smart routes via multiple executing brokers. Price Improvement: Yes
- TB Smart Dark: Custom smart route that seeks liquidity without displaying to the market. Price Improvement: No
- TB Smart: Custom smart order routing sends orders to preferred exchange. Supports Day and GTC orders. Price Improvement: No
- TB Swipe: Sweeps the market and posts residual to most liquid exchange. Price Improvement: No
- TB Stealth: Sweeps the market and posts residual without displaying to the market. Price Improvement: No
- TB Liquidity: Custom smart route that accesses vast range of liquidity and allows sub-increment trading. Price Improvement: No
- TB Smart Sweep: Custom sweep route designed to maximize liquidity while minimizing exchange fees. Price Improvement: No
- TB PIP: Custom smart route designed to seek out and maximize price improvement. Price Improvement: No