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