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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
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Account Opening and OSJ Approval
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Client Books and Records
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Advisor Commission Portal
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Data Management and Reporting
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Commission Data Aggregation

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
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Broadridge Wealth Management Solutions

Discover our 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 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.
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