Give your board directors customized and accurate reporting so they can meet their fiduciary duty. Broadridge data provides deep insights into competitors for more representative peer groups and expertise on fund industry trends so you can better position your funds to support fee increases.

Minimize risk in an increasingly complex regulatory environment by automating compliance monitoring and reporting. Our rules-based compliance solution aggregates data across intermediary platforms, flagging potential trading violations in real time.

Minimize risk in an increasingly complex regulatory environment by automating compliance monitoring and reporting for your retirement services business. Our rules-based solution aggregates data across intermediary platforms and flags potential trading violations in real time, helping to simplify regulatory compliance and reporting.

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.

Empower your advisors and investors to manage their investments across the investment life cycle, including account servicing, transactions and portfolio insight. Our solution transforms the wealth management experience, strengthening long-term relationships and increasing profitability.

Broadridge Advisor Onboarding streamlines the onboarding process for financial advisors, ensuring compliance and efficiency. - **Accelerate revenue for your firm: **Streamline the entire application process and get advisors producing faster. - **Maximize your firm’s ability to onboard at scale: **Scale your recruitment capabilities and easily manage ongoing registration maintenance for your advisors. - **Implement customizable workflows: **Define the review process on your terms—assign roles and manage compliance requirements with ease. **Increase onboarding efficiency end to end** - **Eliminate manual processes: **Reduce repetition, errors and delays—stay informed on your process with robust KPIs and other metrics - **Manage recruitment at scale: **View status of all invitations and applications and identify red flags, disengaged applicants or workflow challenges - **Integrate Internal and External Systems: **Interface with 3rd party platforms, including FINRA, background and credit check, imaging and fingerprinting vendors ### Features - **Customizable Solution** – Easily specify onboarding paths by position type, firm hierarchy and other key factors. - **Applicant Tracking** – Empower your onboarding team to track progress and mitigate potential bottlenecks. - **Proprietary Documents – **Streamline applicant completion of confidentiality and arbitration agreements, attestations, etc. - **Smarter Workflows – **Gain confidence with a** **checklist process to ensure all information has been entered and documents are in place. - **FINRA Submission - **Once completed and approved, firm can automatically submit** **the U4/amendments to FINRA. - **Third-party Integrations – **Seamlessly integrate** **Advisor Onboarding with Salesforce.** **Advisor compensation can also be populated with new hire info, avoiding manual entry. UI interfaces with firm’s preferred providers to complete credit and background checks, fingerprinting and drug testing.

Our customizable solutions will help advisors build their brand, share their knowledge and optimize their practice.

Wealth management firms rely on our solutions to optimize critical operations and enable advisors to provide an exceptional customer experience.

Identify which RIAs, broker-dealers, and banks represent the best sales potential. Opportunity Hunter identifies and qualifies your best prospects to gain and retain AUM.

Our websites for financial advisors provide the home office with the ability to ensure efficiency, regulatory and brand compliance, and process controls, while providing flexibility in design and content on a mobile-friendly site.