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About Broadridge

Fact Sheet

Advisor Compensation Management Solutions

Top 5 Considerations.

Looking to attract and retain top advisors? Market leaders are finding that the right advisor compensation solution along with data aggregation can provide valuable client insight to help advisors increase productivity and performance. Here’s what to look for in an end-to-end, leading-edge solution.

1. Compensation Management

Satisfy advisors with timely and accurate payments.

  • Complex commissions and incentive plans
  • Fiduciary-oriented calculations and payouts
  • Split and Team agreements
  • Non-cash compensation
  • Succession buyout plans

2. Account and Transaction Surveillance

Maintain greater transparency and compliance

  • Identify, manage and clean accounts not in good order
  • Report licensing and appointment infractions
  • Facilitate supervision with efficient and up-to-date reporting

3. Seamless Integration

Deploy quickly and maximize operational efficiency

  • Plug into existing front- and middle-office ecosystem
  • Interface with legacy solutions
  • Connect to CRM software and general ledger platforms

4. Data Aggregation and Product Insight

Gain access to comprehensive data and reporting

  • Mutual fund and ETF profile and expense data
  • EDGAR sourcing
  • Accurate account reconciliation
  • Flexible reporting
  • Shorter sales cycles

5. Mobile Functionality

Meet the demands of on-the-go advisors

  • Deliver every tool in a secure, feature-rich environment
  • See a complete view of each client’s financial profile
  • Conduct accurate, dynamic performance calculations

Ready to act? Broadridge can help.

Our unique, integrated data aggregation and advisor compensation management solutions equip advisors with true practice management capabilities, providing deep insight into revenue and expense, and a 360o view of each client’s accounts and assets.

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