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.

$icon_product_feature$

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

Article

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

Fact Sheet

Advisor Compensation: A Comprehensive Approach to Compensation and Incentive Management

Schedule a demo

Welcome back, {firstName lastName}.

Not {firstName}? Clear the form.

Want to see services available in Canada?

Want to see services available in Germany?

Want to see services available in EMEA / APAC?

Want to see services available in Japan?

22c-2 Compliance22c-2 Compliance

Advisor Resource CenterAdvisor Resource Center

Advisor WebsitesAdvisor Websites

Annual ComplianceAnnual Compliance

Asset ServicingAsset Servicing

Bank Debt and Loan TradingBank Debt and Loan Trading

Beneficial Proxy ServicesBeneficial Proxy Services

Billing and Expense ManagementBilling and Expense Management

Capital Markets DisclosuresCapital Markets Disclosures

Cash ManagementCash Management

Collateral ManagementCollateral Management

Communications Consulting Communications Consulting

Compliance and Regulatory Accounting Managed ServicesCompliance and Regulatory Accounting Managed Services

ConnectivityConnectivity

Consumer Preference and Profile ManagementConsumer Preference and Profile Management

Continuing EducationContinuing Education

Credit and Market RiskCredit and Market Risk

Data Management and ArchivalData Management and Archival

Data Management, Analytics and ReportingData Management, Analytics and Reporting

Derivatives Trade ProcessingDerivatives Trade Processing

Digital DeliveryDigital Delivery

Digital Experience ManagementDigital Experience Management

Direct MarketingDirect Marketing

Document CompositionDocument Composition

EDGARFormsEDGARForms

Enhanced Proxy DesignEnhanced Proxy Design

Equity Trade ProcessingEquity Trade Processing

Expense Management and Fee ValidationExpense Management and Fee Validation

Expense Management Managed ServicesExpense Management Managed Services

Fixed Income Trade ProcessingFixed Income Trade Processing

Foreign Exchange Trade ProcessingForeign Exchange Trade Processing

Global Securities Class Action ServicesGlobal Securities Class Action Services

Global SWIFT ServicesGlobal SWIFT Services

Intelligent ProspectingIntelligent Prospecting

Intraday Risk MonitoringIntraday Risk Monitoring

Investment AccountingInvestment Accounting

Local Business ListingsLocal Business Listings

Managed Reference Data ServiceManaged Reference Data Service

Managed Services, Hosting and IntegrationManaged Services, Hosting and Integration

Mobile AppMobile App

NewslettersNewsletters

Operational Risk ManagementOperational Risk Management

Performance and AttributionPerformance and Attribution

Performance Dashboards and Operational ReportsPerformance Dashboards and Operational Reports

Portfolio and Order ManagementPortfolio and Order Management

Portfolio Securities VotingPortfolio Securities Voting

Post Trade and Regulatory CompliancePost Trade and Regulatory Compliance

Post Trade Processing Managed ServicesPost Trade Processing Managed Services

Pricing and ValuationPricing and Valuation

Print Delivery and Postal OptimizationPrint Delivery and Postal Optimization

Print MarketingPrint Marketing

Print SolutionsPrint Solutions

Professional ServicesProfessional Services

Proxy ServicesProxy Services

Rapid OnboardingRapid Onboarding

ReconciliationReconciliation

Reconciliation Managed ServicesReconciliation Managed Services

Reference Data ManagementReference Data Management

Registered Proxy ServicesRegistered Proxy Services

Regulatory CommunicationsRegulatory Communications

Revenue Management and Fee BillingRevenue Management and Fee Billing

Sales and Asset ReportingSales and Asset Reporting

Securities FinanceSecurities Finance

SeminarsSeminars

Sponsored Name PlacementSponsored Name Placement

Stock TransferStock Transfer

Tax ServicesTax Services

Virtual Shareholder MeetingVirtual Shareholder Meeting

Wealth Insight ServicesWealth Insight Services

How can we help?

Become a Broadridge partner

Thank You

Talk to us

Thank You

Get client support