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Mutual Fund Data and Suitability

Simplify investor disclosure with technology and data

Powered by proprietary technology, Broadridge FundPOINT® suite provides data and workflows to enhance advisor productivity and ensure best interests. Simplify rollovers, perform suitability and compare portfolios with fee transparency and clarity.

Add certainty and simplicity to investor transactions

Let technology and data drive fee transparency. Our FundPOINT modules offer the data and workflows to disclose, document and archive advisor recommendations with current fees, rules and information.

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Regulatory Document Library
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Proprietary EDGAR Sourcing
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Mutual Fund, ETF and VA Data
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Advisor Workflows
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Portfolio & Rollover Analysis
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Archival

Data-driven investor disclosure, updated daily

Improve operational efficiency, increase accuracy and mitigate risk

  • Proprietary “fund mapping” technology assures timely, accurate information
  • Comprehensive data feeds for mutual funds, ETFs, variable annuities and 529 plans
  • Fee transparency and investor disclosure for point-of-sale transactions

Suitability analysis for funds or share classes

Validate fund recommendations with a simple suitability tool

  • Perform suitability for up to five funds within the same asset category
  • Perform suitability analysis for all eligible share classes within a fund
  • Proprietary value ranking reviews funds on performance, expense, risk and consistency
  • Automate documentation and archival of advisor recommendations

Simplified rollover reviews across portfolios

Compare 401(k) plans against IRA portfolios built from funds on your sell list

  • Review a client’s previous and current 401(k) plan and new IRA options
  • View at-a-glance breakdown of portfolios by asset categories
  • Easily compare plan features such as loans
  • Review cost projections at various time horizons

Streamlined approach for portfolio comparisons

Compare asset allocation models clearly and easily

  • Quickly build portfolios from your sell list, aligned to asset allocation goals
  • Compare diverse asset allocation models based on projected costs and value
  • Perform share class analysis to select the right share class within desired funds
  • Choose from among separate advisory programs, based on firm-level restrictions

Get current and historical fund information

Automate fund alerts and simplify fund research

  • Receive daily alerts to notify you of fund changes
  • Track other fund changes for competitive analysis
  • Access current and historical documents
  • Use filters to simplify and narrow your search
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FundPOINT Fiduciary Solutions

Make “best interests” a competitive advantage. FundPOINT simplifies fiduciary standards with a web tool that combines robust data with the most efficient workflows to perform rollovers, suitability and portfolio comparisons.

How We Can Help

Industry-leading data and advisor workflows for disclosure

40K+
CUSIPs monitored from the SEC EDGAR system daily.
400M+
Pieces of regulatory communications delivered electronically each year.
1,678
Average new CUSIP filings on EDGAR daily.
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