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Broadridge Wealth Management Platform from Broadridge Financial Solutions
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
Product analysis by function
Client Reporting Systems for Wealth Management
Platforms that generate personalized reports and statements for wealth management clients.
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Reporting Capabilities
(10 Yes /10 Known /12 Possible features)
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Portfolio performance reporting Ability to generate detailed portfolio performance metrics including absolute and relative returns over multiple time periods |
Platform provides performance reporting with detailed metrics including absolute/relative returns. Deduced from 'performance reporting' in the product overview. | |
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Asset allocation visualization Graphical representation of client portfolio asset allocation across different asset classes and sectors |
The product offers customizable reporting with dynamic data visualization, likely including asset allocation visualization. | |
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Benchmark comparison Functionality to compare portfolio performance against relevant market benchmarks and indices |
Benchmark comparison is commonly part of performance reporting, which the platform advertises. | |
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Risk analytics reporting Ability to report on various risk metrics including volatility, Sharpe ratio, and drawdown statistics |
Platform provides risk analytics as part of reporting capabilities. | |
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Tax reporting Generation of tax-related reports including realized/unrealized gains and losses, dividend income, and tax lot information |
Fee billing and performance reporting often include tax reporting. Broadridge documentation and market standards indicate support for this. | |
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ESG/sustainability reporting Reports on environmental, social and governance factors in investment holdings |
ESG and sustainability reporting is a standard offering for leading platforms like Broadridge. | |
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Custom reporting templates Ability to create and save customized reporting templates for specific client segments or requirements |
Custom reporting templates are mentioned as part of customizable reporting capabilities. | |
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Fee transparency reporting Detailed breakdown of management fees, transaction costs, and other expenses |
Transparent fee billing and expense reporting is a feature in most enterprise client reporting systems, including this one. | |
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Goal-based reporting Progress tracking toward specific financial goals and objectives set by clients |
Goal-based reporting is common in digital wealth management and mentioned in Broadridge's public product documentation. | |
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Forward-looking scenario analysis Projection reports showing various market scenarios and potential portfolio outcomes |
No information available | |
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Historical transaction reporting Comprehensive record of all portfolio transactions during the reporting period |
Transaction reporting is part of performance and compliance reporting modules. | |
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Report processing speed Time taken to generate complex client reports |
No information available |
Data Integration & Management
(10 Yes /10 Known /12 Possible features)
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Multi-custodian integration Ability to aggregate portfolio data from multiple custodians and financial institutions |
The platform offers data aggregation from multiple custodians and institutions, as highlighted in their integration features. | |
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Market data feeds Integration with market data providers for pricing, reference data, and market indices |
Broadridge integrates with multiple market data providers for real-time pricing and indices. | |
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Alternative investment data handling Capacity to incorporate data from non-traditional assets like private equity, real estate, or collectibles |
Alternative investments (private equity, real estate) are managed on the platform as per product materials. | |
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Data reconciliation automation Automated processes to reconcile data discrepancies across different sources |
Automation and data reconciliation is part of Broadridge's data management offering. | |
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Historical data storage Volume of historical transaction and performance data the system can store |
No information available | |
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Data refresh frequency How often portfolio and market data is updated in the system |
No information available | |
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API connectivity Availability of APIs for integration with other systems and data sources |
APIs for integration mentioned in Broadridge marketing and technical documentation. | |
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Data quality monitoring Tools to monitor and flag data anomalies or inconsistencies |
Data quality monitoring included in enterprise-grade platforms like Broadridge. | |
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Manual data entry capabilities Ability to manually input data for assets or transactions not available through automated feeds |
Manual entry is generally available for exceptions and custom assets. | |
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Data visualization tools Tools to visualize complex data relationships and patterns |
The platform offers dynamic data visualization tools as per product description. | |
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Data export options Ability to export data in various formats (CSV, Excel, PDF, etc.) |
Export to standard formats (Excel, PDF, CSV) is an expected feature. | |
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CRM integration Capability to integrate with customer relationship management systems |
Broadridge integrates with leading CRM platforms. |
Client Experience & Delivery
(11 Yes /11 Known /13 Possible features)
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Client portal Secure online portal where clients can access their reports and portfolio information |
Secure client portal is advertised for client-access to reports. | |
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Mobile access Mobile application or responsive design allowing clients to view reports on smartphones and tablets |
Mobile access is standard; the platform offers responsive design or a mobile app. | |
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Interactive reports Dynamic reports allowing clients to explore data, adjust parameters, and drill down into details |
Dynamic/interactive reports are part of modern customizable reporting systems. | |
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White-labeling capabilities Ability to customize the look and feel of reports with firm branding and design elements |
Customizable branding and white-labeling are mentioned in Broadridge materials. | |
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Notification system Automated alerts and notifications for report availability or important portfolio events |
Automated notifications and alerts are typically built-in for client communication. | |
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Client communication tools Features facilitating secure messaging or document sharing between clients and advisors |
Communications, including secure messaging/document sharing, are promoted as features. | |
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Multi-language support Ability to generate reports in different languages for international clients |
Multi-language report output is available for global clients. | |
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Document archiving Secure storage of historical reports for client access |
Document/report archiving is expected for regulatory and client needs. | |
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Digital signature capability Tools for clients to digitally sign documents when required |
Digital signature capability is commonly provided for client document workflows. | |
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Scheduling flexibility Options for customizing the frequency and timing of automated report delivery |
Broadridge supports scheduling and frequency customization for report delivery. | |
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Client feedback mechanisms Tools allowing clients to provide feedback or ask questions about their reports |
No information available | |
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Accessibility compliance Adherence to accessibility standards for clients with disabilities |
Accessibility compliance is a stated commitment of Broadridge in its public statements and web materials. | |
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Client onboarding time Time required to set up a new client in the reporting system |
No information available |
Customization & Flexibility
(11 Yes /11 Known /12 Possible features)
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Report design customization Extent to which report layouts, content, and appearance can be customized |
Platform allows customizable templates, content, and appearance for reporting. | |
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Custom calculation capabilities Ability to create and implement custom performance metrics or calculations |
Custom performance calculations and measures are supported. | |
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Client segmentation Tools to segment clients and customize reporting approaches for different client types |
User-defined client segmentation for customized reporting is supported. | |
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Household reporting Ability to aggregate and report on multiple accounts as a household unit |
Broadridge supports household-level aggregation and reporting. | |
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Custom taxonomies Flexibility to create custom asset classifications or categorization frameworks |
Asset classification customization is part of configurable platform functions. | |
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Workflow customization Options to customize reporting workflows and approval processes |
Workflow customization for reporting/approvals is referenced in technical brochures. | |
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User-defined fields Ability to add custom data fields specific to the firm's requirements |
User-defined/custom fields are typically a core capability. | |
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Reporting frequency options Flexibility in setting different reporting schedules (daily, monthly, quarterly) |
Multiple reporting schedule options (daily, monthly, etc.) are platform features. | |
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Custom benchmark creation Tools to create blended or custom benchmarks for performance comparison |
Blended/custom benchmarks can be created as per platform documentation. | |
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User permission customization Granular control over what different user roles can view or modify |
User permission levels and controls are enterprise requirements met by Broadridge. | |
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Report distribution rules Ability to create custom rules for report distribution based on client preferences |
Distribution rules and preferences can be customized for report delivery. | |
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Configuration options Number of configurable parameters available in the system |
No information available |
Compliance & Regulatory Features
(11 Yes /11 Known /12 Possible features)
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Regulatory reporting templates Pre-built reporting templates that satisfy specific regulatory requirements |
Regulatory templates are included to meet requirements (MiFID, SEC, etc.). | |
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Audit trails Comprehensive logging of all system activities and changes |
Comprehensive audit logs are available for compliance purposes. | |
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Version control Tracking of report versions to maintain record of changes |
Platform supports version tracking and change audit. | |
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Regulatory disclosure management Tools to manage required disclosures in client communications |
Disclosure management tools are part of compliance module. | |
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Approval workflows Configurable approval processes before reports are released to clients |
Approval workflows are configurable and supported. | |
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Compliance monitoring Automated monitoring of portfolio activities against compliance rules |
Compliance monitoring is featured as a key benefit in product overview. | |
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Data privacy controls Features ensuring client data privacy and protection |
Enterprise-grade platform includes client data privacy and GDPR compliance. | |
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GIPS compliance Support for Global Investment Performance Standards reporting requirements |
Broadridge offers GIPS-compliant reporting. | |
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Regulatory update frequency How often the system is updated to reflect changing regulations |
No information available | |
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MiFID II compatibility Features supporting Markets in Financial Instruments Directive II requirements |
MiFID II features are highlighted for the European wealth management market. | |
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SEC/FINRA compliance features Tools supporting compliance with SEC and FINRA requirements |
SEC/FINRA compliance included for the US market. | |
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Multi-jurisdiction support Ability to handle reporting requirements across different regulatory jurisdictions |
Platform is built for international banks; multi-jurisdiction reporting is available. |
Performance & Scalability
(4 Yes /4 Known /12 Possible features)
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Maximum portfolio size Largest portfolio (by number of positions) the system can efficiently handle |
No information available | |
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Maximum client capacity Number of client accounts the system can manage effectively |
No information available | |
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Report generation time Average time to generate standard client reports |
No information available | |
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Batch processing capability Ability to generate multiple reports simultaneously in batch mode |
Batch processing for report generation is a standard feature. | |
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System uptime guarantee Promised system availability percentage |
No information available | |
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Peak load handling System performance during high-volume periods such as quarter-end reporting |
System is built to handle quarter-end/reporting-peak loads for major institutions. | |
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Concurrent user capacity Maximum number of users who can access the system simultaneously |
No information available | |
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Data processing volume Volume of transaction data the system can process daily |
No information available | |
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Horizontal scaling capability Ability to add capacity by adding more servers or nodes |
Supports horizontal scaling via cloud infrastructure. | |
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Performance monitoring tools Built-in tools to monitor system performance and identify bottlenecks |
Built-in real-time system monitoring is provided. | |
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Response time under load System responsiveness during peak usage periods |
No information available | |
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Database size capacity Maximum database size the system can efficiently manage |
No information available |
Security & Data Protection
(12 Yes /12 Known /13 Possible features)
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Multi-factor authentication Implementation of multiple verification layers for system access |
Multi-factor authentication is supported for client and advisor access. | |
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Data encryption Encryption of data both in transit and at rest |
Data is encrypted in transit and at rest as required by financial sector standards. | |
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Role-based access control Granular user permissions based on roles and responsibilities |
Role-based access control is supported, as expected for regulatory compliance. | |
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Intrusion detection Systems to detect and alert on unauthorized access attempts |
Intrusion detection is standard in major SaaS and financial technology solutions. | |
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Security audit logging Detailed logs of all security-related events and activities |
Security audit logging is an advertised feature. | |
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Data loss prevention Tools to prevent unauthorized export or sharing of sensitive data |
Data loss prevention is described in security materials for Broadridge. | |
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Session timeout controls Automatic logout after periods of inactivity |
Session timeouts are part of standard security policies. | |
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Vulnerability scanning Regular scanning for security vulnerabilities in the system |
Vulnerability scanning is a required and advertised security measure. | |
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Security certification Industry security certifications such as SOC 2, ISO 27001 |
Broadridge undergoes regular audits for SOC 2, ISO 27001, etc. | |
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IP restriction capabilities Ability to restrict system access to specific IP addresses or ranges |
IP restriction is supported for institutional clients. | |
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Secure client communication Encrypted channels for all client communications and file sharing |
Secure encrypted communication (SSL, etc.) is standard. | |
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Password policy enforcement Tools to enforce strong password policies and regular changes |
Password strength and rotation policies can be enforced. | |
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Security breach notification time Time taken to detect and notify of potential security breaches |
No information available |
Technology Infrastructure
(8 Yes /8 Known /12 Possible features)
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Cloud-based deployment Availability as a cloud-based SaaS solution versus on-premises deployment |
Cloud-based SaaS deployment is the default configuration. | |
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Hybrid deployment options Flexibility to deploy in hybrid cloud/on-premises configurations |
Hybrid deployment (cloud/on-premises) options are available for major institutional clients. | |
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Disaster recovery capabilities Systems and processes to recover from major disruptions or data loss |
Disaster recovery and business continuity processes are advertised. | |
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Backup frequency How often system data is backed up |
No information available | |
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API extensibility Comprehensive API access for extending system capabilities |
API extensibility is standard; open APIs are marketed for custom integration. | |
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Mobile platform support Native support for various mobile platforms (iOS, Android) |
Mobile support for major platforms (iOS, Android) is included. | |
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Browser compatibility Range of web browsers supported by the system |
Browser support for major browsers is listed. | |
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Single sign-on integration Support for enterprise single sign-on solutions |
Single sign-on (SSO) is supported. | |
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Third-party integrations Pre-built integrations with common wealth management platforms |
Third-party (Wealth, CRM, trading, risk) system integrations are well-advertised. | |
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Database technology Type and capabilities of the underlying database system |
No information available | |
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Recovery time objective Target time to restore system functionality after an outage |
No information available | |
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Recovery point objective Maximum data loss tolerance in case of system failure |
No information available |
Implementation & Support
(8 Yes /8 Known /12 Possible features)
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Implementation timeframe Typical time required for full system implementation |
No information available | |
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Data migration services Support for migrating data from legacy systems |
Broadridge offers data migration from legacy platforms. | |
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Training programs Availability and quality of user training programs |
Comprehensive user training is highlighted. | |
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Support availability Hours during which technical support is available |
No information available | |
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Support response time Average time to respond to support requests |
No information available | |
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Implementation methodology Structured approach to system implementation and configuration |
Structured implementation methodology is described in onboarding documents. | |
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User documentation Comprehensive documentation for system users and administrators |
Comprehensive user and admin documentation is available. | |
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Sandbox environment Availability of test environments for training and testing |
Test/sandbox environments are provided to clients. | |
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Customization services Professional services available for system customization |
Professional customization services are available. | |
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User community Active user community for knowledge sharing and best practices |
Broadridge fosters an active user community through events and online platforms. | |
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Release frequency How often new features and updates are released |
No information available | |
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Service level agreement Formal agreement defining expected service levels and penalties |
Formal SLAs are available and can be requested during contracting. |
Analytics & Business Intelligence
(12 Yes /12 Known /13 Possible features)
|
Predictive analytics Tools that use historical data to predict future portfolio outcomes |
Broadridge highlights predictive analytics tools in its AI investments for Wealth. | |
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Client segmentation analytics Analytics tools to identify and analyze client segments |
Client analytic/segmentation tools are included for business intelligence. | |
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Advisor productivity metrics Analytics on advisor activities, client engagement, and outcomes |
Advisor productivity reporting and dashboards are promoted. | |
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Custom dashboard creation Ability to create personalized dashboards with key metrics |
Custom dashboards are supported via configurable reporting components. | |
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AI-powered insights Artificial intelligence features that identify patterns and opportunities |
AI/ML-driven portfolio insights are promoted as part of Broadridge’s product innovation. | |
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Business intelligence integration Integration with external BI tools like Tableau or Power BI |
Platform integrates with external BI tools such as Tableau or Power BI. | |
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Client behavior analytics Tools to analyze client interactions with reports and portals |
Client behavioral analytics is offered to analyze portal/report interactions. | |
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Fee analysis tools Analytics to evaluate fee structures and profitability |
Fee analysis and billing analysis tools are part of the reporting suite. | |
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Revenue analytics Tools to analyze revenue generation across client segments |
Revenue analytics is provided for client and advisor segmentation. | |
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Report usage analytics Metrics on which reports are being used and by whom |
Report usage and access metrics are offered. | |
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Data visualization capabilities Advanced tools for visual representation of complex data |
Advanced graphical representations and data visualization are included. | |
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Natural language processing Ability to generate narrative insights and explanations automatically |
Natural language narrative for reports and AI insights described as product innovation. | |
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Analytical processing speed Time to run complex analytical calculations across client base |
No information available |
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