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

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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

Article

Trends in Non-cash Compensation: Toward a Shared Industry Utility

Fact Sheet

Advisor Compensation: A Comprehensive Approach to Compensation and Incentive Management

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Advisor Compensation

Manage advisor compensation and incentives

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.

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.

Satisfy advisors with timely and accurate payments

Deliver accurate and timely compensation even as new compensation structures and incentives emerge. Our solution supports splits and team agreements, early payouts, non-cash compensation, clean shares and succession buyout plans and can accommodate on-demand revisions to compensation plans.