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A portfolio management and order management system supporting multi-asset class management, modeling, order generation, compliance, and performance analytics. Features include real-time P&L, risk analytics, and regulatory reporting.
More about Broadridge Financial Solutions
Comprehensive platforms that enable portfolio construction, optimization, rebalancing, and monitoring of investment portfolios across various asset classes. These systems typically include tools for asset allocation, performance attribution, risk analytics, and trade order generation.
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Multi-Asset Class Support Supports a wide variety of asset classes including equities, fixed income, derivatives, alternatives, and cash. |
Broadridge advertises support for multi-asset class management in portfolio and order management capabilities. | |
Model Portfolio Management Ability to create and manage model portfolios for replication and benchmarking. |
Model portfolio support called out among core features for portfolio replication and benchmarking. | |
Rebalancing Tools Tools for automated and manual portfolio rebalancing based on rules or drift thresholds. |
Automated and manual portfolio rebalancing (rebalancing tools) described in the feature and solution documentation. | |
Tax Lot Tracking Tracks individual tax lots for accurate tax management and reporting. |
Tax lot accounting and tracking are listed in Broadridge's product literature for tax management and reporting. | |
Multi-Currency Support Manages and values portfolios in multiple base and reporting currencies. |
Broadridge lists multi-currency portfolio management and valuation in product resources and website materials. | |
Historical Position Reconstruction Ability to reconstruct historical portfolio positions for reporting or auditing. |
Historical position reconstruction for backdated reporting and audits is an available capability. | |
Scenario Analysis Enables scenario modeling to assess portfolio impacts under various assumptions. |
Scenario analysis and risk modeling highlighted as risk analytics features. | |
Portfolio Hierarchies Supports complex hierarchical structures (accounts, sub-portfolios, composites). |
Portfolio/account hierarchies and sub-portfolio structuring are specifically referenced as a feature. | |
What-If Analysis Provides tools to simulate hypothetical trades and assess impacts. |
What-if tools and hypothetical trade simulation specifically referenced under risk management and portfolio analytics. | |
Speed of Portfolio Valuation Time taken to compute full valuation of a portfolio. |
No information available |
Order Generation Create and submit orders directly from portfolio or model changes. |
Order management and generation is a clearly advertised function ('order management system' and direct order capture). | |
Pre-Trade Compliance Checks Checks trade orders against investment restrictions prior to execution. |
Compliance checks on trade and pre-trade levels are mentioned among core capabilities. | |
Order Routing Supports automated routing of trades to counterparties or execution platforms. |
Automated order routing to brokers and execution platforms supported within OMS. | |
FIX Protocol Integration Native support for FIX protocol for seamless connectivity with brokers. |
FIX protocol integration is advertised for execution connectivity and OMS integration. | |
Trade Allocation Flexible rules for post-trade allocation to accounts or sleeves. |
Configurable post-trade allocation for block and sleeve accounts included in the documentation. | |
Market Data Integration Real-time or delayed access to market prices for pre-trade decisions. |
Market data integration (real-time and delayed) for order management and P&L is listed as a feature. | |
Execution Cost Analysis Tracks and reports on transaction costs and slippage. |
Transaction cost and slippage analytics referenced under execution quality and post-trade reporting. | |
Straight-Through Processing (STP) Rate Percentage of trades processed from order to settlement without manual intervention. |
No information available | |
Time to Execute Trade Average time from order entry to execution fill. |
No information available | |
Block Trading Support Ability to manage and execute block trades efficiently. |
Block trading support and allocation management is listed among OMS trading functionalities. |
Time-Weighted Return Calculation Accurate calculation of time-weighted returns for investment performance analysis. |
Time-weighted return calculation (for performance analysis) is explicitly supported per performance analytics section. | |
Money-Weighted Return Calculation Calculation of money-weighted (IRR) returns for cashflow-sensitive portfolios. |
Money-weighted/IRR returns available in the system according to Broadridge factsheets. | |
Multi-Level Attribution Supports multi-level (sector, security, currency) performance attribution. |
Performance attribution at multiple levels (sector, security, currency) is available, as described in performance analytics. | |
Custom Benchmark Support Ability to set and compare portfolios against custom benchmark indices. |
Custom benchmark support is referenced in performance and analytics modules. | |
Risk-Adjusted Return Metrics Includes Sharpe, Sortino, and other ratios for performance analysis. |
Risk-adjusted metrics (Sharpe, Sortino, etc.) supported as part of advanced analytics. | |
Performance Contribution Analysis Analyzes contribution to performance by asset, sector, or manager. |
Performance contribution (asset, sector, etc.) is a core performance analytics feature. | |
Automatic GIPS Composite Management Support for Global Investment Performance Standards composite setup and reporting. |
No information available | |
Frequency of Return Calculations How often return calculations can be performed. |
No information available | |
Granularity of Holdings Analysis Level at which performance can be broken down (e.g., lot, security, sector). |
No information available | |
Speed of Performance Report Generation Time required to generate detailed performance reports. |
No information available |
VaR (Value at Risk) Calculation Calculates Value at Risk using multiple methodologies (parametric, historical, Monte Carlo). |
VaR (Value at Risk) analytics available per risk management suite. | |
Stress Testing Ability to run stress and shock scenarios on portfolios. |
Stress testing and shock scenario capability called out in risk analytics. | |
Risk Exposure Breakdown Detailed analysis and visualization of exposures (sector, country, factor, etc). |
Risk exposure breakdown by multiple factors is available in the standard risk dashboard. | |
Factor Analysis Decomposition of portfolio returns/risk into underlying risk factors. |
Factor analysis tools included in performance and risk modules. | |
Liquidity Risk Assessment Measures and reports on the liquidity profile of portfolios. |
Liquidity risk analysis and liquidity exposure (eg bid-ask spreads, market depth) are referenced by technical documentation. | |
Counterparty Risk Assessment Quantifies exposures to issuers, custodians, and brokers. |
Counterparty and issuer exposures measurable; broker/custodian concentrations are referenced as risk controls. | |
Real-Time Risk Monitoring Provides real-time or near-time updates to risk metrics. |
Real-time or near-real-time risk metric updates available, as stated in product descriptions. | |
Limit Monitoring and Alerts Automated monitoring of risk and exposure limits with alerting. |
Limit monitoring/alerting for breach of risk/exposure limits included in standard features. | |
Number of Custom Risk Metrics Supported Custom risk models or metrics the platform can support at once. |
No information available | |
Speed of Risk Report Generation Time required to generate and distribute risk reports. |
No information available |
Pre-Trade Compliance Checks compliance with regulatory and client-specific rules prior to order execution. |
Pre-trade compliance: Product literature clearly states compliance checks on all pre-trade activity. | |
Post-Trade Compliance Monitors post-trade activity for adherence to investment guidelines. |
Post-trade compliance for guidelines and regulatory reporting are described in the documentation. | |
Regulatory Report Generation Produces reports required for regulatory filings (e.g., Form PF, AIFMD, MiFID II). |
Regulatory report generation, including for global jurisdictions, is a highlighted feature. | |
Custom Rule Builder GUI or scripting language for creating custom compliance rules. |
Custom rule/scripting GUI is available for defining compliance and limit checks. | |
Audit Trail Tracks and logs all activity and changes for audit purposes. |
Audit trail capability is described both for order and compliance/reporting activity. | |
Exception Management Workflows for handling and resolving compliance breaches and exceptions. |
Exception management workflows for compliance breaches included per system workflow product section. | |
Automated Document Generation Automatically generates legal and compliance documents for clients or regulators. |
Automated document generation for regulatory (and some client) documents described in reporting engine. | |
Number of Built-In Compliance Rules Out-of-the-box compliance rules or templates available. |
No information available | |
Compliance Check Frequency How frequently compliance checks are run on portfolios. |
No information available | |
Alert Notification Time Delay between identifying a compliance breach and notifying the user. |
No information available |
Open API Access Well-documented APIs for integration with third-party systems or internal applications. |
API access for integration is referenced on the solution homepage and technical APIs are available. | |
Market Data Connectivity Connectivity to market data providers for real-time and historical data. |
Connectivity to real-time and historical market data vendors is a product feature. | |
Pricing Source Flexibility Able to source pricing from multiple external or internal sources. |
Flexibility in choosing/prioritizing pricing data sources referenced. | |
ETL (Extract, Transform, Load) Tools In-built data transformation and loading utilities. |
ETL/data management utility referenced for large data loads and custom integrations. | |
Data Quality Control Validation, deduplication, and error correction processes for incoming data. |
Data quality controls (deduplication, validation, error correction) are referenced. | |
Reference Data Management Centralized management for instrument, client, and counterparty reference data. |
Reference data management (instrument, client, counterparty centralization) confirmed as a feature. | |
Data Retention Policy Support Configure how long data is retained for compliance and reporting. |
Retention policy configuration capability noted under compliance/IT administration documentation. | |
Number of Data Sources Supported Distinct external or internal data sources that can be integrated at once. |
No information available | |
Data Load Frequency Maximum frequency at which data loads are supported. |
No information available | |
Data Reconciliation Speed Time required to reconcile positions or transactions with external records. |
No information available |
Client Portal Branded, online access point for clients to view portfolio, performance, and documents. |
Client portal (secure, branded access) mentioned in documentation as a key differentiator. | |
Customizable Reporting Flexible options for tailoring reports to specific client needs. |
Customizable reports for clients and internal teams available via drag-and-drop and template tools. | |
Automated Statement Generation Generation and distribution of periodic account statements and tax documents. |
Automated statement distribution is included as a key feature for investor communications. | |
Document Vault Secure repository for storing and sharing investment reports and documents. |
Secure document vault for clients and archiving of reports is documented on the product page. | |
Multi-Language Support Support for producing reports and communications in multiple languages. |
Multi-language support for client communications and reporting explicitly referenced for global users. | |
Data Visualization Tools Advanced charting and data visualization in reporting and portals. |
Data visualization tools (e.g., interactive dashboards, advanced charting), are referenced as a USP. | |
Custom Branding Options Allows for client-specific branding of communication materials. |
Custom branding for portals and reporting discussed in marketing/product documentation. | |
Bulk Reporting Speed Time required to generate and deliver bulk reports to all clients. |
. | No information available |
Number of Concurrent Users Supported Clients or investors that can simultaneously access the system. |
. | No information available |
Frequency of Automatic Updates How often clients receive automatic updates (email, portal notifications). |
. | No information available |
Workflow Designer Tool for configuring custom workflows and approval chains. |
. | No information available |
Task Assignment & Escalation Automatic assignment and escalation of tasks based on rules or deadlines. |
. | No information available |
Alerts & Notifications Email, SMS, or in-app notifications for important tasks or exceptions. |
. | No information available |
Automated Data Imports Scheduling and running data imports without manual intervention. |
. | No information available |
Exception Handling Automation Automated handling of workflow errors or breaks. |
. | No information available |
User Access Controls Assign roles, permissions, and workflows to users and groups. |
. | No information available |
Workflow Execution Time Average time to complete an automated workflow from initiation to completion. |
. | No information available |
Number of Workflow Types Different workflow templates or types available out-of-the-box. |
. | No information available |
Concurrent Workflow Support Maximum number of workflows that can run simultaneously. |
. | No information available |
Audit Logging of Workflows Automatically records all workflow steps and user actions for compliance. |
. | No information available |
Single Sign-On (SSO) Support for SSO integration with enterprise identity providers. |
Single Sign-On integration is routinely part of enterprise solution security. | |
Multi-Factor Authentication (MFA) Enforce MFA for added user login security. |
Multi-factor authentication is supported for enhanced user/login security. | |
Role-Based Permissions Granular controls over user access to different system modules and data. |
Role-based permissions/entitlements management described in admin/security documentation. | |
Encryption (At-Rest & In-Transit) Encrypts data when stored or sent across networks. |
. | No information available |
Regular Penetration Testing Conducts periodic security testing of the platform. |
. | No information available |
User Activity Logging Logs user activity for security and audit compliance. |
. | No information available |
Custom Password Policies Set and enforce custom password complexity and expiry rules. |
. | No information available |
Data Masking Ability to mask sensitive data fields for specific users. |
. | No information available |
Number of Access Roles Supported Distinct levels or roles that can be set for system users. |
. | No information available |
User Session Timeout Default time a session remains active without user interaction. |
. | No information available |
Third-Party Application Integrations Pre-built connectors for leading risk, CRM, or execution systems. |
. | No information available |
Custom Script/SDK Support Allows developers to build custom extensions or automation using an SDK or scripting. |
. | No information available |
Event-Based API Triggers APIs that trigger actions in response to portfolio events or data changes. |
. | No information available |
Outbound Data Feeds Flexible configuration for pushing data to downstream systems. |
. | No information available |
Batch & Real-Time Processing Supports both scheduled (batch) and real-time integrations. |
Both batch (scheduled) and real-time integrations are supported per the implementation docs. | |
Integration Partner Ecosystem Network of supported third-party vendors with certified integrations. |
. | No information available |
Number of Pre-Built Connectors Connectors available for plug-and-play integration. |
. | No information available |
API Call Latency Time for average API request-response cycle. |
. | No information available |
Concurrent API Connections Supported Maximum number of simultaneous API connections. |
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User Extensibility Options Availability of open frameworks or plugin architectures. |
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Customizable Dashboards Users can personalize dashboard layouts with preferred widgets or views. |
. | No information available |
Mobile Access Optimized access from mobile and tablet devices. |
Broadridge provides access on mobile and tablet devices, as stated on official product pages. | |
Accessibility (WCAG Compliance) Meets accessibility guidelines for users with disabilities. |
No information available | |
Multi-Language Interface User interface supports multiple languages. |
. | No information available |
Help & Support Tools Embedded help, documentation, and user support resources. |
. | No information available |
User Onboarding Workflows Guided onboarding and training for new users. |
. | No information available |
Custom View Settings Users can define saved and shared custom views or filters. |
. | No information available |
Concurrent User Responsiveness System performance with large numbers of simultaneous users. |
. | No information available |
Average Page Load Time The average time to load application screens. |
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Hotkey/Shortcuts Support Support for keyboard shortcuts to enhance productivity. |
. | No information available |
Multi-Asset Support Support for various asset classes such as equities, bonds, derivatives, ETFs, and private equity. |
. | No information available |
Real-Time Position Management Ability to track positions in real-time as trades are executed and settled. |
. | No information available |
Transaction Management Capability to ingest, validate, and record all buy/sell, transfer, and adjustment transactions. |
. | No information available |
Portfolio Aggregation Aggregating multiple accounts, funds, and entities for a consolidated portfolio view. |
. | No information available |
Custom Portfolio Structuring Configurable portfolio hierarchies such as sleeve accounts, sub-portfolios, and strategies. |
. | No information available |
Corporate Actions Processing Automated handling and processing of dividends, splits, mergers, and other events. |
. | No information available |
Cash Management Real-time tracking of cash balances and flows across custodians and accounts. |
. | No information available |
Instrument Master Integration Seamless integration with security and instrument master data. |
. | No information available |
Audit Trail Historical tracking and logging of all portfolio amendments and user actions. |
Audit trail for user and portfolio changes is referenced in compliance and reporting marketing materials. | |
Scalability Maximum number of portfolios/accounts that can be managed concurrently. |
. | No information available |
Time-Weighted Return Calculation Determines portfolio returns that neutralize impact of cash flows. |
. | No information available |
Money-Weighted Return Calculation (IRR) Calculates internal rate of return for capital-based performance. |
Money-weighted (IRR) return calculations are supported as part of the product's performance measurement suite. | |
Risk-Adjusted Performance Metrics Calculation of Sharpe, Sortino, and other ratios. |
. | No information available |
Performance Attribution Analysis Decomposition by security selection, allocation, currency, etc. |
. | No information available |
Benchmark Comparison Track and compare portfolio performance to chosen benchmarks. |
. | No information available |
Multi-Currency Performance Reporting Support for calculating and presenting results in multiple currencies. |
Performance results in multiple currencies are supported (multi-currency portfolio reporting). | |
Historical Performance Archiving Storing and accessing long-term historical performance data. |
. | No information available |
Granularity of Reporting The finest level (e.g. security, sector, account) at which performance is reported. |
. | No information available |
Attribution Frequency How often performance and attribution calculations are updated. |
. | No information available |
Value at Risk (VaR) Calculation Automated computation of VaR and related risk metrics for portfolios. |
. | No information available |
Scenario Analysis & Stress Testing Ability to model portfolio impact under various hypothetical adverse market scenarios. |
. | No information available |
Exposure Analysis Breakdown and monitoring of exposures (e.g. sector, region, currency). |
. | No information available |
Limit Monitoring & Alerts Automated monitoring and alerting for breaches of portfolio risk or concentration limits. |
. | No information available |
Custom Risk Models Support Ability to import or define custom risk and factor models. |
. | No information available |
Risk Reporting Flexibility Configurability in how risk reports are presented and delivered. |
. | No information available |
Factor Analysis Decompose portfolio returns and risks by systematic factors (e.g. size, value, momentum). |
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Look-through Capability Analyze risks inside multi-layered investment vehicles (e.g., funds of funds, ETFs). |
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Monte Carlo Simulations Number of Monte Carlo scenarios that can be run per analysis. |
. | No information available |
Trade Order Entry & Routing Ability to construct, edit, and route orders to brokers or venues. |
. | No information available |
Pre-Trade Compliance Checks Automated checking of portfolio and regulatory limits prior to order release. |
. | No information available |
Block and Allocation Management Support for block trading and post-trade allocation to multiple accounts. |
. | No information available |
Electronic Trading Integration (FIX) Connectivity to brokers or ECNs via FIX protocol or APIs. |
. | No information available |
Order Audit Logging Historical recording of all order and trade actions for compliance. |
. | No information available |
Trade Approval Workflow Configurable, multi-step approval processes for trade execution. |
. | No information available |
Error Handling & Reconciliation Automated handling and correction of trade errors and mismatches. |
. | No information available |
Order Throughput Maximum number of orders that can be handled per minute. |
. | No information available |
Pre-Trade Compliance Engine Real-time scanning of trades against compliance rules before execution. |
. | No information available |
Post-Trade Compliance Monitoring Ongoing assessment and detection of rule breaches after trading. |
. | No information available |
Rule Customization Ability to author and manage custom compliance rules by user. |
Broadridge includes a rule customization/builder for compliance logic in product documentation. | |
Rule Library Library of pre-built regulatory and standard investment policies. |
. | No information available |
Automated Breach Alerts Automatic electronic alerts for any compliance violations. |
. | No information available |
Case Management Support workflow for documenting, tracking and resolving compliance breaches. |
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Compliance Reporting Flexibility Configurability in output and delivery of compliance reports. |
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Audit Trail for Rules Historical log of rule activations, changes, and breach remediation. |
. | No information available |
Open API for Data Access RESTful, SOAP or proprietary APIs for inbound/outbound data flows. |
Public API documentation and integration guides indicate REST/SOAP APIs for data import/export. | |
Market Data Integration Plug-in support for multiple market data vendors (Bloomberg, Reuters, etc.). |
. | No information available |
Reference Data Management Handling and ingestion of security master, issuer, and counterparty data. |
Reference data management for instruments and clients is a standard data management feature. | |
Third-Party System Integration Interfacing with custodians, fund accountants, and pricing engines. |
Interfacing with custodians, fund accountants, and data vendors is highlighted in integration documentation. | |
Data Validation & Cleansing Automated checking, cleaning, and reconciliation of incoming data. |
. | No information available |
Data Latency Time between data arrival and system update. |
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Bulk Data Import/Export Ability to handle batch data transfer (historical data loading, bulk reports). |
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Custom Report Builder Drag-and-drop or template-based tools for report creation. |
. | No information available |
Scheduled & On-Demand Reporting Automated and ad-hoc report generation and distribution. |
. | No information available |
Regulatory Reporting Support for end-to-end reporting for regulatory requirements (e.g. MiFID, Form PF). |
. | No information available |
Client Reporting Customizable client statement generation and delivery. |
. | No information available |
Dashboard Visualization Real-time graphical dashboards with interactive analytics. |
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Drill-Down Capabilities Ability to analyze data from summary down to transaction-level details. |
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Report Distribution Channels Number of supported distribution mechanisms (email, portal, print). |
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Web-Based User Interface Full-featured, browser-accessible application interface. |
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Role-Based Access Control Fine-grained user permissions by function, portfolio, or asset class. |
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Single Sign-On (SSO) Integration with Active Directory, OAuth, or similar identity services. |
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Mobile Device Support Accessible via smartphones and tablets. |
Mobile device access is supported via web interfaces and mobile optimization. | |
Self-Service Customization End-user ability to configure dashboards, reports, and alerts. |
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Localization & Multi-Language Support for multiple languages and regional formats. |
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Concurrent User Capacity Maximum number of users that can operate the platform simultaneously. |
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Task Automation Engine Rules-based scheduling and automation for routine workflows (trades, rebalancing, reporting). |
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Configurable Workflow Engine Tools for custom approval and exception handling flows. |
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Notifications & Alerts Configurable system triggers for email/SMS/push notifications. |
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Rebalancing Automation Automated portfolio rebalancing according to model, drift or schedule. |
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Approval Steps per Workflow Maximum supported approval or sign-off steps in a workflow. |
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Encryption In Transit & At Rest End-to-end encryption for all sensitive data, both stored and transmitted. |
. | No information available |
Disaster Recovery (RTO/RPO) Defined Recovery Time Objectives and Recovery Point Objectives for failover. |
Service includes disaster recovery procedures and published RTO/RPO standards. | |
Penetration Testing & Security Audits Regular, independent reviews of system security. |
. | No information available |
Uptime SLA Guaranteed minimum percentage uptime for service availability. |
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Data Backup Frequency Regularity of backups for all platform and client data. |
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Multi-Factor Authentication Support for MFA at login and for sensitive transactions. |
Multi-factor authentication is explicitly listed as a security feature. | |
Audit Logging Comprehensive logs for all user and system activities. |
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24/7 Customer Support Accessibility of technical and operational support, round-the-clock. |
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Service Level Agreements (SLAs) Contracted guarantees for support response and resolution times. |
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Product Roadmap Transparency Clear visibility into upcoming features and enhancements. |
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Regular Software Updates Frequency of platform feature and security updates. |
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Documentation Quality Comprehensive, up-to-date user and developer documentation. |
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Vendor Financial Stability Evidence of corporate and financial durability of the provider. |
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Community & User Forums Availability of user communities for support & feature sharing. |
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