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Advisor Compensation

Manage advisor compensation and incentives

Improve recruitment, retention and performance with streamlined compensation and incentive management, client account opening and maintenance, and books and records. Advisor compensation from Broadridge provides dynamic sales reporting and analytics for enhanced practice management.

Improve advisor retention and performance

Provide your advisors with true practice management capabilities, deep insight into their revenue and expenses, and a 360-degree view of their client accounts and assets.

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Compensation Calculations

Account Opening and OSJ Approval

Client Books and Records

Advisor Commission Portal

Data Management and Reporting

Commission Data Aggregation

Help your advisors increase sales and improve productivity

The advisor portal provides a 360-degree view of investor's assets, simplifies account opening and gives access to comprehensive information needed to manage an advisor's book of business.

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

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 fiduciary regulations rules

Data management and reporting

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

Data aggregation of diverse customer, advisor and firm information
Data cleansing and reconciliation of industry feeds
Reporting tools

Account opening and OSJ approval

Intuitive and exceptional experience for opening and maintaining client accounts:

A comprehensive 360-degree view of investor financial portfolios, 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

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 and identify new sales opportunities
Access the 360-degree view of each client’s assets

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

Value-added services

“Hand-in-hand” implementation that merges the highest quality deliverables with timeliness:

Compensation and incentive plan implementation
Technology integration
Business process analysis
Training

See Product Specifications

Video

Wealth Management Solutions to Grow Your Business

Transform the client experience, help boost advisor performance, and optimize operations with Broadridge Wealth Management solutions.

How We Can Help

A veteran management team with strong industry expertise

38+

Blue-chip financial institutions empower their advisors with our solution.

$4B+

In commissions and fees processed on our platform annually.

100M+

Transactions processed annually.

White Paper

Pathways to Attract and Retain Top Advisors

Article

Beyond Payroll: What Makes Broker-Dealers Successful

Infographic

Advisor Compensation Management Solutions: Top 5 Considerations

Fact Sheet

Advisor Compensation: A Comprehensive Approach to Compensation and Incentive Management

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22c-2 Compliance

Advisor Resource Center

Advisor Websites

Annual Compliance

Asset Servicing

Bank Debt and Loan Trading

Beneficial Proxy Services

Billing and Expense Management

Capital Markets Disclosures

Cash Management

Collateral Management

Compliance and Regulatory Accounting Managed Services

Connectivity

Consumer Preference and Profile Management

Continuing Education

Credit and Market Risk

Data Management and Archival

Data Management, Analytics and Reporting

Derivatives Trade Processing

Digital Delivery

Digital Experience Management

Direct Marketing

Document Composition

EDGARForms

Enhanced Packaging

Enhanced Proxy Design

Equity Trade Processing

ESG Advisory Services

Expense Management and Fee Validation

Expense Management Managed Services

Financial Reporting

Fixed Income Trade Processing

Foreign Exchange Trade Processing

Global Securities Class Action Services

Global SWIFT Services

Intelligent Prospecting

Intraday Risk Monitoring

Investment Accounting

Managed Reference Data Service

Managed Services, Hosting and Integration

Newsletters

Operational Risk Management

Performance and Attribution

Performance Dashboards and Operational Reports

Portfolio and Order Management

Portfolio Securities Voting

Post Trade and Regulatory Compliance

Post Trade Processing Managed Services

Pricing and Valuation

Print Delivery and Postal Optimization

Print Marketing

Private Fund Compliance Reporting

Proxy Services

ProxyVote

Rapid Onboarding

Reconciliation

Reconciliation Managed Services

Reference Data Management

Registered Proxy Services

Regulatory Communications

Revenue Management and Fee Billing

Sales and Asset Reporting

Securities Finance

Seminars

Shareholder Data Services

SmartRoom

Sponsored Name Placement

Stock Transfer

Tax Services

Virtual Shareholder Meeting

Wealth Insight Services

Segment

Solution

The right insights, right now

How can we help?

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Advisor Compensation

Manage advisor compensation and incentives