Company

About NewRiver, Inc.

Industry Leading, Best-in-Class Solutions
A Heritage of Compliance Innovation
Our Core Capabilities
Our Core Competencies
NewRiver's Differentiators

Founded in 1987, and headquartered in Andover, Massachusetts, NewRiver has a long history of successfully partnering with retirement plan providers, variable annuity providers, retirement plan recordkeepers, third-party administrators, and financial brokerage firms (including their registered representatives, broker assistants, operations staff, and compliance professionals) with our industry-leading electronic compliance and intelligent document fulfillment solutions.

These financial services companies are more concerned than ever about simultaneously achieving four business objectives: (1) being fully-compliant with current and proposed industry rules and regulations, (2) decreasing the cost of business operations, (3) increasing employee productivity, and (4) enhancing investor relationships. 

NewRiver Delivers Industry Leading, Best-in-Class Solutions

NewRiver's "best-in-class" solutions for electronic compliance and intelligent document fulfillment are based on an extensive library of intellectual property (including eight patents published or issued); hundreds of man-years and millions of dollars invested in technology development; and the extensive expertise of NewRiver's employees in every aspect of financial services.  Through these assets, our clients, and their intermediaries, are positioned to be the most competitive and have the best opportunity for long-term success.

"Plug and Play" Products

As an ASP service company, NewRiver provides a powerful array of compliance data and communications products that are easy to install and easily integrated into your existing systems architecture with minimal training or security risk.  Our flexibility enables us to meet rigid client requirements for data feeds, systems integration and speed of delivery.

Optimal Delivery Options

Because we are not a printer, NewRiver is not confined by paper-based options.  Instead, NewRiver works with each client to provide the most optimal delivery solution for investor communications: offset printing, POD (POD), CD, e-delivery or online on custom micro sites.  Our portfolio-specific books and e-delivery capability saves time, money and trees.  Additionally, our web-based data and desktop solutions are designed to be both comprehensive and flexible, easily integrating within any client systems architecture.

Top Tier Clients

NewRiver's clients comprise a top tier "who's who" of the financial services industry.  Over 200 of world's largest financial institutions are our partners using NewRiver's electronic compliance and intelligent document fulfillment solutions.

A Heritage of Compliance Innovation:  NewRiver Technology Milestones

Since its inception, NewRiver has been first to market with a number of business technology solutions that help meet industry compliance and client cost management goals.

• 1998:  Prospectus Express - NewRiver creates the first e-prospectus, featuring electronic "compliance envelopes" of mutual fund disclosure documents updated daily from EDGAR.

• 1999:  Consent Express - NewRiver patents the process to collect and manage consents for electronic delivery and paper suppression.

• 2001:  Intelligent Delivery Services with Portfolio-Specific Printing - NewRiver improves digital print-on-demand (POD) with portfolio-specific printing, tailored to investor holdings, for reduced cost and better compliance.

• 2002:  FundPOINT Data - NewRiver introduces the industry's first 100% EDGAR-based data solution set for mutual funds.

• 2004:  AuditAnchors - NewRiver offers real-time auditability with dynamic data links to EDGAR-sourced documents.

• 2004:  EnrollComplete - NewRiver unveils an automated publishing platform for custom print and Web communications.

• 2004:  FundPOINT Desktop - NewRiver delivers a Web-based point-of-sale tool for mutual funds based on current EDGAR-based documents for improved compliance, productivity, and investor service.

• 2005:  Share Class Analyzer Tool - FundPOINT Desktop offers the first tool to help determine the appropriate share class for investors.

• 2006:  FundPOINT 529 Data - FundPOINT Data introduces a single-source data solution to better manage multi-layered 529 college savings plan information.
  
  
• 2006:  FundPOINT Data with Market Timing Rules - FundPOINT Data introduces an industry-only solution to help firms meet Rule 22c-2 compliance and keep current on fund company market timing policies.
  
  
• 2007:  FundPOINT Monitor - NewRiver offers a Web-based daily email alert and compliance information tool that tracks a firm's fund lineup and forwards branded email alerts to customers and distributors.
  
  
• 2007:  FundPOINT Research - NewRiver releases a Web-based library of current and historical mutual fund documents to assist with trade reconciliations, arbitration, and regulatory reviews.
  

Our Core Capabilities:  Electronic Compliance and Intelligent Document Delivery

While not a printer, NewRiver prides itself on delivering print efficiency.  The key to our success is a patented process technology we use every day to get SEC filings off the EDGAR (U.S.) and SEDAR (Canada) securities databases and convert this information into compliant documents - as electronic files and printable PDFs - tailored to a firm's "sell list" or even an investor's plan portfolio.  We call this industry-unique capability "Intelligent Delivery."

We access information each day for over 20,000 open-end mutual funds, as well as variable annuity and variable annuity life sub-accounts, 529 plans, Exchange Traded Funds (ETFs), and Unit Investment Trusts (UITs).

This information is then used to continuously update NewRiver's proprietary database of compliance filings and library of disclosure document PDFs.  This "fund mapping" capability is uniquely available from NewRiver.

Because we update information daily and retrieve it from the definitive source (EDGAR), NewRiver clients enjoy the most timely and accurate mutual fund data and disclosure documents available.

Our Core Competencies:   Data Expertise and Integration

More than simply a data provider, NewRiver embodies two core competencies that enable us to provide client-specific data solutions.  These are:

• An unmatched level of intimacy with EDGAR and its mutual fund "library" - representing over 400 fund companies and 28,000 CUSIPs - borne of years of disclosure document processing.
• A document management and data extraction process complete with quality assurance testing that has been honed over time to offer the optimum combination of accuracy and timeliness.

Our data expertise and integration skill make us the industry's "single source" for comprehensive, timely and accurate mutual fund data from an unimpeachable source named EDGAR.

NewRiver's Differentiators

Six key distinctions make NewRiver the industry's most trusted data and compliance communications resource:

1. Ten years of forward-thinking innovation for investor compliance.
2. A portfolio that improves compliance and operational efficiency while reducing regulatory risk.
3. Trusted partner of many U.S. top-tier financial services firms.
4. 100% EDGAR-sourcing of documents and data on a daily basis.
5. Turn-key technology provider, minimizing the impact on internal IT resources.
6. Investor communications expertise in all media: offset print, digital Print On-Demand and e-Delivery.

Our ongoing commitment to product innovation, responsive "end-to-end" customer service, and industry expertise make us the industry's preferred partner for mutual fund information that is timely, accurate and compliance grade.