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Automate the Alternative Investments Operations Lifecycle

End-to-end data connectivity to streamline the alternative investment lifecycle and value chain.

Alternative investments are on the rise and expected to grow among HNW investors from $16T today to $24T in 20241, driven by retail interest and wider availability. This is creating an outstanding opportunity for advisors to grow client relationships by including alternatives in their portfolios.

Manual operations slow down the entire alternative investment process. That’s why Broadridge is introducing a cloud-based end-to-end solution to automate operations workflows across the alternative investment lifecycle, including leveraging machine learning to parse unstructured data from funds and fund administrators.

Our solution sits at the intersection of wealth firms/custodians and funds/fund administrators to standardize data connectivity, aggregate position and valuation data and provide a centralized view of transaction flows. By enhancing connections between multiple industry participants across the value chain, we can help accelerate time to investment, reduce capital charges and more.

  • Improve advisor and investor experiences
  • Increase straight-through-processing
  • Reduce risk and error
  • Gain total visibility across the process
  • Optimize operations for exponential growth

PMH wealth

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Fund Profile Database Tailored for Alternative Investments

Leverage centralized reference data for all fund attributes and terms, managing security terms and conditions, and other characteristics specific to Alternative Investments. The solution consolidates multiple sources into a single “prime copy” database for improved operational control and seamless distribution to downstream systems. Data centralization significantly improves firm-wide data consistency and minimizes manual processing.

  • Common, normalized fund attributes such as pricing source, contact at the agent or fund, No Lien Acknowledgment, redemption cycles, etc.
  •  Key parameters, terms and dates by fund
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Subscriptions Workflow Processing

Easily integrate with existing order entry system(s) to capture order details and import supporting documents. Configurable workflows enable categorization by asset type, fund company, fund administrator and more.

  • Text extraction and artificial intelligence (AI)/machine learning (ML) validate, verify and enrich order info to reduce errors and elapsed time
  • Flexible outputs of approved orders easily port into back-office systems and reduce double entry
  • Optional email notifications keep stakeholders informed of status changes
  • Digital signature capability eliminates back-and-forth paperwork
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Valuations and Position Reconciliation

Effectively gather, standardize and enrich disparate valuation data from multiple sources to streamline processes between funds, fund administrators and wealth firms/custodians. The solution consolidates all adjustments and pushes a bulk journal(s) to downstream systems upon approval of the data.

  • AI/ML-based review and extraction of critical valuation information from funds/fund administrators, displayed in one standardized format/view
  • Flexible digital reconciliation capabilities confirm positions based on fund company data
  • Built-in business intelligence reporting identifies risks and opportunities and maintains SLAs
  • Exception-based processing provides tracking and reporting on capital charges to reduce costs
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Operations Dashboard Tracks Activity in Real Time

Customizable, built-in SLAs deliver a roles-based, single source of truth for all operational metrics.

  • Shared dashboard gives advisors, fund administrators and the operations team access to one common data source
  • Alerts, notifications, confirmations and reports help improve visibility
  • Enable transaction orchestration and centralized view of transaction flow
  • Mutualize operations costs through outsourcing with supervisory tools and transparency into day-to-day processing
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Put Intelligent Automation to Work

Robotic Process Automation eliminates the need for manual checks and balances. Orders are reviewed and verified automatically and routed to the fund administrator to avoid manual intervention.

  • Reduce processing time
  • Minimize errors
  • Trigger custom notifications
  • Create an audit trail
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Streamline Connectivity Between Funds, Fund Administrators and Custodians

Wealth firms and custodians have flexibility when choosing how to connect the solution to funds and fund administrators.

  • Custom REST APIs
  • File-based bulk transfer
  • Dashboard plug-ins
  • And more

Contact Megan Flemming at  +1 (646) 531 8464 or

  1. 2020, Morgan Stanley Research & Oliver Wyman Blue Paper “Wealth Management Global 2020 – After the Storm.”

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