Run a repeatable fiduciary process for every plan you serve

Fiduciary Focus Toolkit™ helps retirement plan advisors monitor investments, document decisions, benchmark fees, evaluate providers, and deliver committee-ready reports through one scalable workflow.
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Support every review, recommendation, and client conversation

Bring structure to monitoring, reporting, fee analysis, and provider evaluation while maintaining a clearer record for retirement plans and beyond.

Monitor plans and portfolios with a consistent fiduciary process

Automate recurring reviews, investment alerts, and oversight tasks

Evaluate fund changes with clearer, more disciplined analysis

Create polished, branded reports for committees and plan sponsors

Benchmark fees using objective market data

Run provider searches through a more structured RFP workflow

Centralize documentation in a fiduciary file and client-facing vault

Why retirement plan advisors choose Fiduciary Focus Toolkit

Customize your fiduciary process
  • Tailor scoring, watch rules, templates, and workflows to fit your service model
  • Align reporting and branding to your investment philosophy and client experience
Strengthen fiduciary documentation
  • Maintain a clearer record of monitoring, IPS alignment, and fee analysis
  • Capture provider evaluations and committee-ready recommendations in one place
Identify issues earlier
  • Surface underperformers, fee concerns, and replacement needs sooner
  • Use scoring thresholds and watch/remove rules to flag review items automatically
Reduce manual review-cycle work
  • Automate recurring monitoring, data updates, reporting, and documentation
  • Manage more plans with less administrative effort
Improve committee communication
  • Create branded, client-ready reports that are easy to present and explain
  • Clarify watch-list decisions, recommendations, and next steps for committees
Win and retain more plan business
  • Support prospect and client conversations with objective scoring and comparisons
  • Use fee benchmarking and provider evaluations to strengthen your story

Built for every stage of your retirement plan practice

Fiduciary Focus Toolkit supports retirement plan practice models with flexible workflows that adapt to your approach.

For advisors building their plan practice 

Start with a guided fiduciary process using built-in scoring, investment policy support, monitoring workflows, and client-ready reporting.

For established plan advisors managing recurring reviews 

Streamline quarterly reviews with automated monitoring, watch and removal rules, fee benchmarking, replacement analysis, and polished committee materials.

For teams scaling across many plans 

Drive consistency across advisors, staff, and plan relationships with shared templates, configurable reports, batch tools, data aggregation, and centralized documentation.

For firms supporting enterprise fiduciary programs 

Standardize scoring, reporting, oversight, and compliance across teams with enterprise workflows, data aggregation, automation, and supervision tools.

Replace fragmented fiduciary work with a repeatable, documented process

Bring investment monitoring, scoring, reporting, fee analysis, provider evaluation, fiduciary file management, and proposal support into one connected workflow.

Choose your methodology 

Use Fi360 Fiduciary Score®, a custom scoring model, an enterprise scoring framework, or plan-specific evaluation criteria aligned to your investment philosophy and service model.

Import or synchronize plan data

Use recordkeeper and custodian data synchronization, bulk imports, PDF-based holdings intake, or manual entry to reduce data gathering and create a cleaner starting point for reviews.

Align the process to the IPS  

Use investment policy templates and plan-level criteria to help connect monitoring activity, watch-list decisions, and reporting to the plan fiduciary process.

Monitor, score, and evaluate

Track investments using recurring review cycles, thresholds, watch/remove rules, historical results, replacement searches, fee analysis, and provider evaluation workflows.

Deliver and document

Generate branded reports for plan sponsors and committees, store key materials in the fiduciary file, and support follow-up through vault, workflow, and integration options.
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We make data easy to integrate

Plan & Client Account Data Integrations connect trusted sources to your team’s workflows.



Connect the people, processes, and oversight behind every plan review

Give advisors, analysts, support teams, compliance, and home offices a shared framework for plan reviews.

Advisors

Deliver clear, decisive messages with investment analysis, fee benchmarking, provider evaluation, and client-ready reporting.

Home office & leadership

Standardize fiduciary service models across advisor teams while preserving flexibility for different client types, books of business, and investment philosophies.

Plan sponsors & committees

Receive more organized, understandable reporting that supports better fiduciary conversations and more confident decision-making.

Analysts & support teams

Reduce manual preparation with data integrations, batch reporting, reusable templates, report status tracking, and centralized document storage.

Compliance & supervision

Gain a clearer view into scoring methodologies, monitoring activity, report production, fee benchmarking, provider evaluations, and plan-level documentation.

Standardize investment monitoring, IPS alignment, and fiduciary reporting

Create a repeatable investment monitoring workflow that helps advisors evaluate plan lineups, document recommendations, and prepare committee-ready reports.

Strengthen due diligence

Use configurable scoring, watch-list rules, investment policy support, historical monitoring, replacement analysis, and report templates to support a clearer, more defensible review process across plans and portfolios.

Make more informed choices

Evaluate investment options with greater clarity, including mutual funds, ETFs, CITs, group retirement plan annuities, separate accounts, target date funds, stable value, retirement income, managed accounts, and other plan-specific investment types.

Align monitoring to investment policy

Leverage templates and criteria that help connect reviews, watch-list triggers, and fiduciary documentation to the plan process.

Reduce manual work

Automate watch-list triggers, recurring monitoring tasks, account data updates, and report generation to reduce preparation time behind quarterly reviews.

Centralize your records

Maintain plan-level and ad hoc documentation in one place, so recommendations, committee materials, and follow-up items are easier to track.

Enhance transparency

Support committee needs with clear reports that summarize results, historical scoring, watch-list status, proposed replacements, and next steps.

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Turn complex analysis into client-ready output

Produce dynamic reports that help plan sponsors and committees understand investment quality, watch-list status, fee context, proposed changes, and the documentation behind your recommendations. 

View sample report
Create recurring reports that reflect your services, at scale

Configure templates and distribution workflows to produce client-ready reports aligned to your service model. Streamline production across teams, plan types, and review cycles.

View sample report
Turn report production into a more flexible, branded workflow

Build reports with customizable sections, layouts, disclosures, and enterprise controls. Then, generate and distribute them efficiently across your business.

View sample report
Give fiduciary documentation one well-organized home 

Centralize plan materials, monitoring reports, IPS documents, meeting records, and committee materials in the secure document vault. Store and share key information with automated report integration, bulk uploads and downloads, and advanced search.

Learn about the vault
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Already have your own fiduciary file and client portal? 

Utilize our webhook utility for automated distribution of reports to your internal or third-party systems.



Choose a scoring and research approach that fits your fiduciary process

Evaluate investments using a recognized fiduciary framework, flexible custom scoring models, or a fully tailored methodology built around your firm’s investment philosophy, fiduciary process, and client-specific requirements.
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Fi360 Fiduciary Score®

Use a recognized fiduciary scoring methodology built around quantitative due diligence criteria and peer-group percentile rankings to support disciplined investment reviews.

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Custom Scores

Build simple pass/fail or weighted models using your own thresholds, criteria, and investment philosophy. Use equal-weighted or 100-point models to reflect how your practice evaluates investments.

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Enterprise Score

Create a fully customized scoring framework with your own benchmarks, logic, weights, thresholds, colors, labels, partial scoring, and evaluation structure.

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Research & Evaluate

Search across investment universes, compare alternatives, and account for plan-specific exceptions with a more consistent and documented approach.

Built on scale and fiduciary expertise

The combination of scale, data, methodology, and workflow infrastructure help retirement plan advisors manage fiduciary reviews with greater consistency, confidence, and efficiency.

$2T
in retirement plan assets monitored
520K+
plans aggregated from third-parties
500K+
investment reports produced annually

Win more business at the right price

Use objective advisor and plan fee data to validate pricing, identify new opportunities, and illustrate key cost details for clients and prospects.

Retain more clients

Confirm fair pricing with third-party data around advisor fee and service benchmarking as well as total plan costs, which include advisor, recordkeeper, and investment expenses.

Earn what you deserve

Identify where higher fees may be justified on services delivered.

Review and share

Present plan fees in both dollars and basis points with client-ready report output.

Add more data to your process

Connect benchmarking to your broader review and documentation workflow for more consistent analysis and clearer records.

Turn fiduciary analysis into a growth tool

Evaluate up to four plans or portfolios side by side using your unique scoring and due diligence criteria, with branded output that supports more effective prospect conversations.

Support prospect conversations with stronger analysis

Compare current and proposed lineups by cost, quality, investments, and providers using your unique scoring methodology and polished, client-ready output.

View a sample proposal report
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Simplify plan recordkeeper RFPs 

Run provider searches with more speed, structure, and confidence. RFP Director helps advisors and committees evaluate providers based on services, capabilities, pricing, and fit while keeping the process organized and committee-ready.

  • Create short or comprehensive RFPs based on the scope of the search
  • Customize and save screening criteria
  • Invite provider contacts to respond directly
  • Standardize provider responses for easier side-by-side comparisons
  • Evaluate options from 75+ plan service providers
  • Present interim and final results in a committee-ready format
  • Document the due diligence process and support clearer recommendations
"We selected the Fiduciary Focus Toolkit primarily because of the reporting. We found it to be robust but versatile, easy to present to our clients. We've received nothing but positive feedback. The reporting itself, it's second to none, allows us to present a consistent message with our clients."
Amber Helton-Grohal
VP, Retirement Plan Advisory Services Product & Process Manager, Fifth Third Bank
“Broadridge’s Fiduciary Focus Toolkit™ has really helped us create a more defined fiduciary process and increase our engagement with all of our 401(k) clients.“
Stephen Rischall
1080 Financial Group
"Our RFP process went from 4-6 weeks down to 2-3 weeks. That is a 50% time reduction."
Stephanie Stano
Managing Director & Retirement Plan Specialist, Western Wealth Benefits
"By going through the RFP process using RFP Director, we were able to renegotiate plan costs with the incumbent plan provider, and over the next 5 years, we will save our client more than $2M in plan expenses."
Meredith Moore
Client Relationship Consultant, Arthur J. Gallagher & Co.
"The DOL wants a repeatable and documentable process, and RFP Director accomplishes that."
Jacinta Dallman
Managing Director, VisionPoint Advisory Group

Insights & perspectives

Frequently asked questions

The Prudent Practices® form the basis of Broadridge’s fiduciary training programs, helping students learn and apply best practices for acting as investment fiduciaries. They also guide our fiduciary tools, including the Fiduciary Focus Toolkit, enabling advisors to efficiently implement fiduciary best practices for their clients. 

Yes. Bundled pricing varies based on firm size, user type, features and licensing. For a custom quote, please contact Fi360sales@broadridge.com directly.

Yes, fiduciary best practices are built into various reports to help clearly demonstrate the prudent process that was followed.

The Fiduciary Focus Toolkit™ provides plan benchmarking, fee comparisons, and investment scorecards — everything advisors need to maintain a consistent fiduciary process. Risk tolerance questionnaires from outside sources can easibly be integrated into Investment Policy Statement creation workflows.

Yes. Our software enables advisors to generate compliant Investment Policy Statements that outline objectives, investment guidelines, and fiduciary processes. Customized proposals are also available to compare investments and total costs from all service providers.

Yes. Fiduciary Focus Toolkit offers webhook connectivity so you can embed investment data like fiduciary scores and plan data like asset values into your firm’s internal systems and workflows while also automating report delivery. APIs and custom data streams are also available.

Yes. Sample IPS, plan benchmarking, and investment monitoring reports are available for download. This allows advisors and firms to see exactly how reports will look for clients before subscribing. 

Yes. All of our software is suitable for both solo advisors and enterprises. Solo advisors can use our software solutions to save time and generate compliance‑ready reports, while enterprises can use them to standardize processes across hundreds of advisors, provide supervisory oversight, and reduce compliance risk at scale. 

Yes, you can incorporate ESG metrics and sustainability data into monitoring and proposal reports, helping align fiduciary due diligence with client preferences for responsible investing.

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