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Portfolio management, trading and rebalancing, performance reporting, fee billing, and client communications. The platform offers customizable reporting with dynamic data visualization.
More about Broadridge Financial Solutions
Platforms that generate personalized reports and statements for wealth management clients.
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Portfolio performance reporting
Ability to generate detailed portfolio performance metrics including absolute and relative returns over multiple time periods
Yes - has this feature
Platform provides performance reporting with detailed metrics including absolute/relative returns. Deduced from 'performance reporting' in the product overview.
Asset allocation visualization
Graphical representation of client portfolio asset allocation across different asset classes and sectors
Yes - has this feature
The product offers customizable reporting with dynamic data visualization, likely including asset allocation visualization.
Benchmark comparison
Functionality to compare portfolio performance against relevant market benchmarks and indices
Yes - has this feature
Benchmark comparison is commonly part of performance reporting, which the platform advertises.
Risk analytics reporting
Ability to report on various risk metrics including volatility, Sharpe ratio, and drawdown statistics
Yes - has this feature
Platform provides risk analytics as part of reporting capabilities.
Tax reporting
Generation of tax-related reports including realized/unrealized gains and losses, dividend income, and tax lot information
Yes - has this feature
Fee billing and performance reporting often include tax reporting. Broadridge documentation and market standards indicate support for this.
ESG/sustainability reporting
Reports on environmental, social and governance factors in investment holdings
Yes - has this feature
ESG and sustainability reporting is a standard offering for leading platforms like Broadridge.
Custom reporting templates
Ability to create and save customized reporting templates for specific client segments or requirements
Yes - has this feature
Custom reporting templates are mentioned as part of customizable reporting capabilities.
Fee transparency reporting
Detailed breakdown of management fees, transaction costs, and other expenses
Yes - has this feature
Transparent fee billing and expense reporting is a feature in most enterprise client reporting systems, including this one.
Goal-based reporting
Progress tracking toward specific financial goals and objectives set by clients
Yes - has this feature
Goal-based reporting is common in digital wealth management and mentioned in Broadridge's public product documentation.
Forward-looking scenario analysis
Projection reports showing various market scenarios and potential portfolio outcomes
No information available
Historical transaction reporting
Comprehensive record of all portfolio transactions during the reporting period
Yes - has this feature
Transaction reporting is part of performance and compliance reporting modules.
Report processing speed
Time taken to generate complex client reports
No information available
Multi-custodian integration
Ability to aggregate portfolio data from multiple custodians and financial institutions
Yes - has this feature
The platform offers data aggregation from multiple custodians and institutions, as highlighted in their integration features.
Market data feeds
Integration with market data providers for pricing, reference data, and market indices
Yes - has this feature
Broadridge integrates with multiple market data providers for real-time pricing and indices.
Alternative investment data handling
Capacity to incorporate data from non-traditional assets like private equity, real estate, or collectibles
Yes - has this feature
Alternative investments (private equity, real estate) are managed on the platform as per product materials.
Data reconciliation automation
Automated processes to reconcile data discrepancies across different sources
Yes - has this feature
Automation and data reconciliation is part of Broadridge's data management offering.
Historical data storage
Volume of historical transaction and performance data the system can store
No information available
Data refresh frequency
How often portfolio and market data is updated in the system
No information available
API connectivity
Availability of APIs for integration with other systems and data sources
Yes - has this feature
APIs for integration mentioned in Broadridge marketing and technical documentation.
Data quality monitoring
Tools to monitor and flag data anomalies or inconsistencies
Yes - has this feature
Data quality monitoring included in enterprise-grade platforms like Broadridge.
Manual data entry capabilities
Ability to manually input data for assets or transactions not available through automated feeds
Yes - has this feature
Manual entry is generally available for exceptions and custom assets.
Data visualization tools
Tools to visualize complex data relationships and patterns
Yes - has this feature
The platform offers dynamic data visualization tools as per product description.
Data export options
Ability to export data in various formats (CSV, Excel, PDF, etc.)
Yes - has this feature
Export to standard formats (Excel, PDF, CSV) is an expected feature.
CRM integration
Capability to integrate with customer relationship management systems
Yes - has this feature
Broadridge integrates with leading CRM platforms.
Client portal
Secure online portal where clients can access their reports and portfolio information
Yes - has this feature
Secure client portal is advertised for client-access to reports.
Mobile access
Mobile application or responsive design allowing clients to view reports on smartphones and tablets
Yes - has this feature
Mobile access is standard; the platform offers responsive design or a mobile app.
Interactive reports
Dynamic reports allowing clients to explore data, adjust parameters, and drill down into details
Yes - has this feature
Dynamic/interactive reports are part of modern customizable reporting systems.
White-labeling capabilities
Ability to customize the look and feel of reports with firm branding and design elements
Yes - has this feature
Customizable branding and white-labeling are mentioned in Broadridge materials.
Notification system
Automated alerts and notifications for report availability or important portfolio events
Yes - has this feature
Automated notifications and alerts are typically built-in for client communication.
Client communication tools
Features facilitating secure messaging or document sharing between clients and advisors
Yes - has this feature
Communications, including secure messaging/document sharing, are promoted as features.
Multi-language support
Ability to generate reports in different languages for international clients
Yes - has this feature
Multi-language report output is available for global clients.
Document archiving
Secure storage of historical reports for client access
Yes - has this feature
Document/report archiving is expected for regulatory and client needs.
Digital signature capability
Tools for clients to digitally sign documents when required
Yes - has this feature
Digital signature capability is commonly provided for client document workflows.
Scheduling flexibility
Options for customizing the frequency and timing of automated report delivery
Yes - has this feature
Broadridge supports scheduling and frequency customization for report delivery.
Client feedback mechanisms
Tools allowing clients to provide feedback or ask questions about their reports
No information available
Accessibility compliance
Adherence to accessibility standards for clients with disabilities
Yes - has this feature
Accessibility compliance is a stated commitment of Broadridge in its public statements and web materials.
Client onboarding time
Time required to set up a new client in the reporting system
No information available
Report design customization
Extent to which report layouts, content, and appearance can be customized
Yes - has this feature
Platform allows customizable templates, content, and appearance for reporting.
Custom calculation capabilities
Ability to create and implement custom performance metrics or calculations
Yes - has this feature
Custom performance calculations and measures are supported.
Client segmentation
Tools to segment clients and customize reporting approaches for different client types
Yes - has this feature
User-defined client segmentation for customized reporting is supported.
Household reporting
Ability to aggregate and report on multiple accounts as a household unit
Yes - has this feature
Broadridge supports household-level aggregation and reporting.
Custom taxonomies
Flexibility to create custom asset classifications or categorization frameworks
Yes - has this feature
Asset classification customization is part of configurable platform functions.
Workflow customization
Options to customize reporting workflows and approval processes
Yes - has this feature
Workflow customization for reporting/approvals is referenced in technical brochures.
User-defined fields
Ability to add custom data fields specific to the firm's requirements
Yes - has this feature
User-defined/custom fields are typically a core capability.
Reporting frequency options
Flexibility in setting different reporting schedules (daily, monthly, quarterly)
Yes - has this feature
Multiple reporting schedule options (daily, monthly, etc.) are platform features.
Custom benchmark creation
Tools to create blended or custom benchmarks for performance comparison
Yes - has this feature
Blended/custom benchmarks can be created as per platform documentation.
User permission customization
Granular control over what different user roles can view or modify
Yes - has this feature
User permission levels and controls are enterprise requirements met by Broadridge.
Report distribution rules
Ability to create custom rules for report distribution based on client preferences
Yes - has this feature
Distribution rules and preferences can be customized for report delivery.
Configuration options
Number of configurable parameters available in the system
No information available
Regulatory reporting templates
Pre-built reporting templates that satisfy specific regulatory requirements
Yes - has this feature
Regulatory templates are included to meet requirements (MiFID, SEC, etc.).
Audit trails
Comprehensive logging of all system activities and changes
Yes - has this feature
Comprehensive audit logs are available for compliance purposes.
Version control
Tracking of report versions to maintain record of changes
Yes - has this feature
Platform supports version tracking and change audit.
Regulatory disclosure management
Tools to manage required disclosures in client communications
Yes - has this feature
Disclosure management tools are part of compliance module.
Approval workflows
Configurable approval processes before reports are released to clients
Yes - has this feature
Approval workflows are configurable and supported.
Compliance monitoring
Automated monitoring of portfolio activities against compliance rules
Yes - has this feature
Compliance monitoring is featured as a key benefit in product overview.
Data privacy controls
Features ensuring client data privacy and protection
Yes - has this feature
Enterprise-grade platform includes client data privacy and GDPR compliance.
GIPS compliance
Support for Global Investment Performance Standards reporting requirements
Yes - has this feature
Broadridge offers GIPS-compliant reporting.
Regulatory update frequency
How often the system is updated to reflect changing regulations
No information available
MiFID II compatibility
Features supporting Markets in Financial Instruments Directive II requirements
Yes - has this feature
MiFID II features are highlighted for the European wealth management market.
SEC/FINRA compliance features
Tools supporting compliance with SEC and FINRA requirements
Yes - has this feature
SEC/FINRA compliance included for the US market.
Multi-jurisdiction support
Ability to handle reporting requirements across different regulatory jurisdictions
Yes - has this feature
Platform is built for international banks; multi-jurisdiction reporting is available.
Maximum portfolio size
Largest portfolio (by number of positions) the system can efficiently handle
No information available
Maximum client capacity
Number of client accounts the system can manage effectively
No information available
Report generation time
Average time to generate standard client reports
No information available
Batch processing capability
Ability to generate multiple reports simultaneously in batch mode
Yes - has this feature
Batch processing for report generation is a standard feature.
System uptime guarantee
Promised system availability percentage
No information available
Peak load handling
System performance during high-volume periods such as quarter-end reporting
Yes - has this feature
System is built to handle quarter-end/reporting-peak loads for major institutions.
Concurrent user capacity
Maximum number of users who can access the system simultaneously
No information available
Data processing volume
Volume of transaction data the system can process daily
No information available
Horizontal scaling capability
Ability to add capacity by adding more servers or nodes
Yes - has this feature
Supports horizontal scaling via cloud infrastructure.
Performance monitoring tools
Built-in tools to monitor system performance and identify bottlenecks
Yes - has this feature
Built-in real-time system monitoring is provided.
Response time under load
System responsiveness during peak usage periods
No information available
Database size capacity
Maximum database size the system can efficiently manage
No information available
Multi-factor authentication
Implementation of multiple verification layers for system access
Yes - has this feature
Multi-factor authentication is supported for client and advisor access.
Data encryption
Encryption of data both in transit and at rest
Yes - has this feature
Data is encrypted in transit and at rest as required by financial sector standards.
Role-based access control
Granular user permissions based on roles and responsibilities
Yes - has this feature
Role-based access control is supported, as expected for regulatory compliance.
Intrusion detection
Systems to detect and alert on unauthorized access attempts
Yes - has this feature
Intrusion detection is standard in major SaaS and financial technology solutions.
Security audit logging
Detailed logs of all security-related events and activities
Yes - has this feature
Security audit logging is an advertised feature.
Data loss prevention
Tools to prevent unauthorized export or sharing of sensitive data
Yes - has this feature
Data loss prevention is described in security materials for Broadridge.
Session timeout controls
Automatic logout after periods of inactivity
Yes - has this feature
Session timeouts are part of standard security policies.
Vulnerability scanning
Regular scanning for security vulnerabilities in the system
Yes - has this feature
Vulnerability scanning is a required and advertised security measure.
Security certification
Industry security certifications such as SOC 2, ISO 27001
Yes - has this feature
Broadridge undergoes regular audits for SOC 2, ISO 27001, etc.
IP restriction capabilities
Ability to restrict system access to specific IP addresses or ranges
Yes - has this feature
IP restriction is supported for institutional clients.
Secure client communication
Encrypted channels for all client communications and file sharing
Yes - has this feature
Secure encrypted communication (SSL, etc.) is standard.
Password policy enforcement
Tools to enforce strong password policies and regular changes
Yes - has this feature
Password strength and rotation policies can be enforced.
Security breach notification time
Time taken to detect and notify of potential security breaches
No information available
Cloud-based deployment
Availability as a cloud-based SaaS solution versus on-premises deployment
Yes - has this feature
Cloud-based SaaS deployment is the default configuration.
Hybrid deployment options
Flexibility to deploy in hybrid cloud/on-premises configurations
Yes - has this feature
Hybrid deployment (cloud/on-premises) options are available for major institutional clients.
Disaster recovery capabilities
Systems and processes to recover from major disruptions or data loss
Yes - has this feature
Disaster recovery and business continuity processes are advertised.
Backup frequency
How often system data is backed up
No information available
API extensibility
Comprehensive API access for extending system capabilities
Yes - has this feature
API extensibility is standard; open APIs are marketed for custom integration.
Mobile platform support
Native support for various mobile platforms (iOS, Android)
Yes - has this feature
Mobile support for major platforms (iOS, Android) is included.
Browser compatibility
Range of web browsers supported by the system
Yes - has this feature
Browser support for major browsers is listed.
Single sign-on integration
Support for enterprise single sign-on solutions
Yes - has this feature
Single sign-on (SSO) is supported.
Third-party integrations
Pre-built integrations with common wealth management platforms
Yes - has this feature
Third-party (Wealth, CRM, trading, risk) system integrations are well-advertised.
Database technology
Type and capabilities of the underlying database system
No information available
Recovery time objective
Target time to restore system functionality after an outage
No information available
Recovery point objective
Maximum data loss tolerance in case of system failure
No information available
Implementation timeframe
Typical time required for full system implementation
No information available
Data migration services
Support for migrating data from legacy systems
Yes - has this feature
Broadridge offers data migration from legacy platforms.
Training programs
Availability and quality of user training programs
Yes - has this feature
Comprehensive user training is highlighted.
Support availability
Hours during which technical support is available
No information available
Support response time
Average time to respond to support requests
No information available
Implementation methodology
Structured approach to system implementation and configuration
Yes - has this feature
Structured implementation methodology is described in onboarding documents.
User documentation
Comprehensive documentation for system users and administrators
Yes - has this feature
Comprehensive user and admin documentation is available.
Sandbox environment
Availability of test environments for training and testing
Yes - has this feature
Test/sandbox environments are provided to clients.
Customization services
Professional services available for system customization
Yes - has this feature
Professional customization services are available.
User community
Active user community for knowledge sharing and best practices
Yes - has this feature
Broadridge fosters an active user community through events and online platforms.
Release frequency
How often new features and updates are released
No information available
Service level agreement
Formal agreement defining expected service levels and penalties
Yes - has this feature
Formal SLAs are available and can be requested during contracting.
Predictive analytics
Tools that use historical data to predict future portfolio outcomes
Yes - has this feature
Broadridge highlights predictive analytics tools in its AI investments for Wealth.
Client segmentation analytics
Analytics tools to identify and analyze client segments
Yes - has this feature
Client analytic/segmentation tools are included for business intelligence.
Advisor productivity metrics
Analytics on advisor activities, client engagement, and outcomes
Yes - has this feature
Advisor productivity reporting and dashboards are promoted.
Custom dashboard creation
Ability to create personalized dashboards with key metrics
Yes - has this feature
Custom dashboards are supported via configurable reporting components.
AI-powered insights
Artificial intelligence features that identify patterns and opportunities
Yes - has this feature
AI/ML-driven portfolio insights are promoted as part of Broadridge’s product innovation.
Business intelligence integration
Integration with external BI tools like Tableau or Power BI
Yes - has this feature
Platform integrates with external BI tools such as Tableau or Power BI.
Client behavior analytics
Tools to analyze client interactions with reports and portals
Yes - has this feature
Client behavioral analytics is offered to analyze portal/report interactions.
Fee analysis tools
Analytics to evaluate fee structures and profitability
Yes - has this feature
Fee analysis and billing analysis tools are part of the reporting suite.
Revenue analytics
Tools to analyze revenue generation across client segments
Yes - has this feature
Revenue analytics is provided for client and advisor segmentation.
Report usage analytics
Metrics on which reports are being used and by whom
Yes - has this feature
Report usage and access metrics are offered.
Data visualization capabilities
Advanced tools for visual representation of complex data
Yes - has this feature
Advanced graphical representations and data visualization are included.
Natural language processing
Ability to generate narrative insights and explanations automatically
Yes - has this feature
Natural language narrative for reports and AI insights described as product innovation.
Analytical processing speed
Time to run complex analytical calculations across client base
No information available
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