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About Broadridge

Case Study

Providing a Front-to-Back Office Solution From Trading Through Portfolio Accounting for Broad Asset Classes

When it spun-off from a large investment bank, the privately owned, California based investment manager needed to create its operational infrastructure and an endto-end platform to support its business. The firm provides its services to a broad client group, including but not limited to banking organizations, private investment funds, educational endowments, large institutional clients and municipalities. At the time of its spin-off, the firm had $2 billion assets under management. It invests in global fixed income and public equity markets—primarily in distressed securities and employs an event-driven strategy in making its investments. To manage this scale of business, the firm needed to build a complete operational infrastructure for trading, portfolio management and operational functions like accounting and reporting.