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Advisor Compensation

Manage compensation and incentives for advisors

Enhance advisor retention with streamlined compensation and incentive management, client account opening and maintenance, and books and records. Our solution provides advisors with dynamic sales reporting and analytics for their practice management.

Improve your advisor retention and performance

Provide your advisors with true practice management capabilities, deep insight into their revenue and expense, and a 360 degree view of their clients’ accounts and assets.

Commission Data Aggregation
Compensation Calculations
Account Opening
Client Books and Records
Advisor Commission Portal
Data Management and Reporting

Learn More About Advisor Compensation

Compensation and Incentive Tools

Transform complex commission calculations to meet your business needs

  • Automated processing and reconciliation of industry feeds
  • Straight-through processing via interfaces to payroll and general ledger
  • Direct business “check and app” framework
  • Data mining tools for free querying of compensation data

Account Opening

Intuitive and exceptional experience for opening and maintaining client accounts

  • A comprehensive 360-degree view of an investor's financial portfolio, enabling advisors to better serve clients
  • Flexible workflow allows for remote OSJ approvals or direct routing to the home office
  • Ad-hoc reporting tools for advisors to view their complete book of business

Client Books and Records

A configurable platform that supports compliance and improves communications

  • Improve the collection and maintenance of customer account records
  • Support compliance with essential regulatory rules such as SEC Rule 17a-3 and FINRA rules 4510, Customer Account Records and 2090, Know Your Customer and DOL fiduciary regulations rules

Advisor Commission Portal

Intuitive web-based portal for advisors to manage their practices

  • Access current and historical sales and compensation performance information
  • Mine, view and extract critical information to service clients
  • Access the 360-degree view of your firm's assets

Data Management and Reporting

A comprehensive toolkit that supports diverse data from its inception to its archiving

  • Data aggregation of diverse commission information
  • Data cleansing and reconciliation of industry feeds
  • Reporting tools

Advisor Compensation - Basic

Turnkey solution for standardized implementation and accelerated speed to market

  • Compensation solution
  • Adjustments, splits and licensing
  • Financial and managerial reporting
  • Scalable, easy-to-use and flexible
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Broadridge Wealth Management Solutions

Discover Broadridge solutions for wealth management firms, advisors and investors and how they deliver a transformative wealth management experience.

How We Can Help

A veteran management team with strong domain expertise

35
Blue-chip financial institutions empower their advisors with this solution.
$2.8B
Amount of commissions and fees processed on this solution annually.
60M
Transactions processed annually.
The data on this site is U.S. data unless otherwise stated.
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