at Financial Technnology Year
Please contact them if you have any questions.
Alternative Investments Platform from Broadridge Financial Solutions
Provides access, servicing and administration for alternative investments; integrates processing, recordkeeping, analytics, and reporting for wealth managers, RIAs, and broker-dealers.
More about Broadridge Financial Solutions
Product analysis by function
Alternative Investment Platforms for Wealth Management
Systems for accessing and managing private equity, hedge funds, real estate, and other alternative investments for high-net-worth clients.
More Alternative Investment Platforms
More Wealth Management ...
Investment Access
(8 Yes /8 Known /10 Possible features)
|
Asset Class Coverage The number of different alternative asset classes available through the platform. |
No information available | |
|
Open Architecture Supports investments across multiple fund managers or products, not limited to proprietary offerings. |
Broadridge platform is described as open architecture, supporting access to third-party managers and products beyond proprietary offerings. | |
|
Primary & Secondary Market Access Allows access to both new fund offerings and secondary transactions for increased liquidity. |
Broadridge Alternative Investment Platform supports access to both primary and secondary markets for alternatives through its marketplace solutions. | |
|
Minimum Investment Size Flexibility Supports investments with reduced minimums to improve accessibility. |
Platform marketed as providing investors (including those from wealth management channels) with reduced minimums to widen access to alternatives. | |
|
Co-Investment Opportunities Provides access to private deal co-investment alongside institutional investors. |
Broadridge documentation highlights co-investment access for advisors and clients alongside institutional investors. | |
|
Direct Investment Options Allows direct investments into assets (e.g., direct real estate or private company equity). |
Platform provides direct investment capabilities into various alternative asset classes. | |
|
Subscription Window Notifications Automatically alerts users to open and closing dates for investment windows. |
No information available | |
|
Deal Pipeline Visibility Provides a dashboard of upcoming and open alternative investment opportunities. |
Broadridge promotes deal pipeline dashboards to visualize investment opportunities for advisors and clients. | |
|
Geographic Diversity Offers alternative investment products across multiple global regions. |
Broadridge is a global provider and its platform supports international investment products, so geographic diversity is supported. | |
|
ESG/Impact Investment Options Includes alternative investments that are ESG integrated or impact focused. |
Broadridge lists ESG funds and impact solutions in its marketplace. |
Due Diligence and Research
(8 Yes /8 Known /10 Possible features)
|
Research Reports Provides professional-grade research, ratings, and reports for each investment opportunity. |
Broadridge provides due diligence materials and professional research reports for each investment opportunity. | |
|
Manager Track Record Analytics Displays historical performance, risk, and operational history for each fund manager. |
Advisor interface includes manager analytics and historical performance overview according to the product literature. | |
|
Fee Transparency Clearly details all associated fees, including carried interest, management fees, and other costs. |
Fee transparency is a noted feature, with clear fee disclosure on the platform. | |
|
Third-Party Validation Incorporates third-party due diligence reports or external expert insights. |
Incorporates third-party due diligence and ratings from external sources. | |
|
Onboarding Vetting Automation Automates KYC/AML, background checks, and compliance for new issuers and funds. |
KYC/AML onboarding is automated and integrated within the Broadridge onboarding workflows. | |
|
Historical Performance Data Range The number of years of historical performance data made available. |
No information available | |
|
Scenario Analysis Tools Enables users to run stress tests and backward/forward-looking analytics. |
No information available | |
|
Track Record Verification Confirms accuracy of fund manager claimed results against third-party sources. |
Broadridge platform highlights independent verification of funds and manager claims. | |
|
Peer Comparison Tools Allows analysis across funds and asset managers for benchmarking. |
Peer comparison and benchmarking tools are part of the listed features for advisors. | |
|
Risk Assessment Scoring Provides risk scores or qualitative risk assessments for investments. |
Platform provides scores and risk/return analytics for alternative investments. |
Transaction & Execution
(9 Yes /9 Known /10 Possible features)
|
Digital Subscription Processes Supports paperless, end-to-end digital investor onboarding, document signing, and funding. |
Platform offers complete digital onboarding, document execution and funding processes. | |
|
Automated Capital Calls Notifies investors of capital calls and automates drawdowns/fund transfers. |
Capital calls and notifications are automated via platform workflow. | |
|
Multi-currency Transaction Support Permits transactions in multiple currencies. |
Supports transactions in multiple currencies for international investments. | |
|
Automated Document Generation Generates all required legal, tax, and subscription documents automatically. |
Automates generation of key documents such as legal, tax, and subscription paperwork. | |
|
Execution Speed Measures the average speed to complete an investment transaction. |
No information available | |
|
Real-Time Transaction Status Updates Provides dynamic status tracking on each transaction, from initiation to settlement. |
The Broadridge platform provides real-time transaction status tracking for all steps. | |
|
E-signature Integration Facilitates secure digital signing of all agreements. |
Secure e-signature supported throughout the document lifecycle. | |
|
Redemption Processing Automation Streamlines withdrawals or redemptions from alternative investments. |
Withdrawal and redemption requests for alternatives are automated, per product documentation. | |
|
Tax Document Automation Generates and delivers Form K-1s and other tax documents automatically. |
K-1 and tax document automation is marketed as a feature for advisors and clients. | |
|
Custody Integration Direct API connections with prime brokers/custodians for easy funding and settlement. |
Integrates with custodians and brokers for seamless funding/settlement. |
Portfolio Management & Reporting
(9 Yes /9 Known /10 Possible features)
|
Multi-Asset Performance Tracking Consolidates performance tracking across all alts, public, and private assets. |
Multi-asset performance tracking for all portfolios, including alternatives. | |
|
Aggregated Investment Dashboards Provides dashboards summarizing performance, exposures, and other key metrics. |
Aggregated dashboards viewable by advisors, per product screenshots and demos. | |
|
Custom Report Generation Allows custom or periodic performance and risk reporting. |
Allows for custom or scheduled reporting for advisors/clilents. | |
|
Tax Reporting Capabilities Supports the generation of annual tax reports across jurisdictions. |
Annual and jurisdictional tax reporting capabilities supported. | |
|
Look-Through Reporting Enables transparency into underlying holdings of pooled investments. |
Look-through reporting is promoted in platform materials. | |
|
Integrated IRR/XIRR Calculation Calculates time-weighted and money-weighted rates of return for each investment. |
IRR/XIRR time-weighted and money-weighted returns are available at multiple levels. | |
|
Customizable Reporting Frequency Lets users schedule report generation (monthly, quarterly, annual, etc.). |
Reporting frequency can be set by user: monthly, quarterly or annual. | |
|
Multi-Portfolio Aggregation Consolidates investments held across multiple portfolios or accounts. |
Supports multi-portfolio and multi-account aggregation for advisors and institutions. | |
|
Data Export Capabilities Exports reports and data to excel, PDF, or other systems. |
Allows data and report export in multiple formats. | |
|
Historical Data Retention Period The length of time historical data is stored and available for users. |
No information available |
Risk Management & Monitoring
(8 Yes /8 Known /10 Possible features)
|
Real-time Risk Alerts Automated alerts for key risk events, performance drops, or exposure breaches. |
Supports real-time alerts for risks, exposures, and investment events. | |
|
Exposure Analysis Tools Measures sector, geography, and factor exposures for portfolio risk management. |
Exposure analytics and breakdowns by sector, geography and other metrics present. | |
|
Risk Attribution Analysis Attributes risk at the asset, fund, or portfolio level. |
Risk metrics attribution (by asset, fund, etc.) provided in platform analytics. | |
|
Stress Testing/Scenario Analysis Models hypothetical market scenarios and their impact on portfolio value. |
Scenario and stress testing are featured for risk analytics within the platform. | |
|
Liquidity Monitoring Measures current and forecasted liquidity status of all holdings. |
Liquidity analysis reported for holdings and portfolios. | |
|
Redemption Notice Alerts Alerts advisors/investors about redemption windows, lock-up periods, and notice periods. |
Alerts for redemption windows and lock-up periods are generated for client/advisor awareness. | |
|
Concentration Limit Monitoring Tracks exposures to single entities, managers, or asset classes. |
Concentration risk and limit monitoring marketed for advisor platform users. | |
|
Custom Risk Rules Engine Allows custom rule creation for automated portfolio risk controls. |
No information available | |
|
VaR and Downside Risk Metrics Calculates Value at Risk (VaR) and other downside risk metrics. |
Reports VaR and downside risk figures for portfolio analytics. | |
|
Periodic Risk Assessment Intervals How frequently risk assessments can be scheduled. |
No information available |
Client Experience
(10 Yes /10 Known /10 Possible features)
|
Branded White-label Interface Offers customizable branding for advisory firms or private banks. |
White-label branding and customization for enterprise and advisors provided. | |
|
Mobile Application Availability Provides a native mobile app for client access. |
Broadridge offers a mobile app/optimized mobile access per product specifications. | |
|
Client Portal Customization Allows clients and advisors to customize dashboards and displays. |
Advisor/client dashboards are customizable for each user or team. | |
|
Onboarding Support Services Provides dedicated onboarding specialists and support. |
Dedicated onboarding specialists and advisor support noted in platform documentation. | |
|
In-app Messaging and Communications Enables direct and secure communication between clients and advisors. |
Secure in-app messaging for client/advisor communication is included. | |
|
Notifications and Alerts Automatic push/email alerts for investment events or updates. |
Automatic alerts for investment events, capital calls, reporting, etc., are configurable. | |
|
Educational Content Library Access to videos, articles, and FAQs explaining alternative investments. |
Educational library for advisors and clients about alternative investments is published. | |
|
Multi-Lingual Support Offers interface and support in multiple languages. |
Platform is international and supports multiple language interfaces/support. | |
|
Digital Wealth Planning Tools Includes calculators and simulations to guide investment decisions. |
Includes DIY calculators, simulations, and planning tools. | |
|
Self-Directed & Advised Workflows Supports both self-serve and advisor-guided investment processes. |
Both advisor-directed and self-service client investment flows are supported. |
Advisor Tools
(10 Yes /10 Known /10 Possible features)
|
Client Profiling & Suitability Analysis Automates checks for client suitability and allocation limits. |
Profiling and suitability analysis is automated for each investor per compliance. | |
|
Batch Processing & Group Orders Enables bulk investment processing for multiple clients at once. |
Batch order and group processing for multiple clients is available for advisory firms. | |
|
CRM Integration Directly integrates with advisor CRM systems for holistic client view. |
CRM integration is specifically listed, e.g. with Salesforce and other popular tools. | |
|
Advisor Performance Dashboards Monitors advisor-driven outcomes and compares to benchmarks. |
Dashboards track advisor performance and benchmarking vs peer groups. | |
|
Proposal Generation Tools Generates compliant investment proposals for clients. |
Proposals for compliant investments are generated via advisor platform. | |
|
Regulatory Compliance Workflows Incorporates compliance checks and approvals for all trades. |
Trade approval and compliance workflows are built-in. | |
|
Cross-platform Task Management Provides tools for tracking next steps, follow-ups, and to-dos. |
Task management and advisor workflow tools included across devices. | |
|
Note-taking and Collaboration Allows advisors to make notes and collaborate internally. |
Note-taking and collaborative workspaces for teams/advisors provided. | |
|
Client Document Vault Secure area for storing and sharing client-specific documents. |
Secure document vault for client docs and communication. | |
|
Analytics on Client Holdings Advisor-facing analytics on risk, return, and diversification of their client pools. |
Advisor analytic tools support detailed analysis of client portfolios. |
Integration & Connectivity
(8 Yes /8 Known /10 Possible features)
|
API Access Supports secure, documented APIs for integration with other systems. |
APIs are listed for integration; developer portal is available. | |
|
Custodian/Broker Integration Can connect to external custodians, banks, and brokerage platforms. |
Connectivity to external custodians and brokers is a platform differentiator. | |
|
Portfolio Accounting Software Integration Exports or syncs portfolio data with accounting systems. |
Portfolio data can be exported/imported to external accounting and reporting software. | |
|
Single Sign-On (SSO) Supports secure authentication across multiple enterprise applications. |
SSO is supported for enterprise clients. | |
|
Data Import/Export Tools Allows batch upload/download of positions, transactions, and reference data. |
Bulk data import/export supported; API and flat file methods described. | |
|
Real-Time Data Feeds Receives or distributes real-time price and NAV updates. |
Real-time data feeds and updates are provided for market and NAV monitoring. | |
|
Integration with Market Data Vendors Supports Bloomberg, Refinitiv, PitchBook, or similar feeds. |
Connectivity to Bloomberg, FactSet, and others is marketed in integration documentation. | |
|
Webhook/Event Notification Support Can trigger external actions based on events in the platform. |
Webhooks and event notifications documented in API specifications. | |
|
Open Data Exchange Standards Compliance with open standards (e.g., FIX, OFX) for data interoperability. |
No information available | |
|
Scale of Supported Integrations The number of external systems/platforms that can be integrated. |
No information available |
Security & Compliance
(8 Yes /8 Known /10 Possible features)
|
Data Encryption (at rest & in transit) End-to-end encryption for all platform and client data. |
Broadridge is SOC2-compliant; uses end-to-end encryption at rest and in transit. | |
|
Multi-factor Authentication (MFA) Requires two or more authentication methods for access. |
Supports multi-factor authentication for all user types. | |
|
Regulatory Compliance Support Includes tools for MiFID II, FATCA, CRS, SEC, GDPR, and other regulatory requirements. |
Compliance features for MiFID II, SEC, GDPR, etc., detailed in product literature. | |
|
Audit Logs Produces immutable records of all user and system actions. |
Comprehensive audit logging and user/system-level audit trails included. | |
|
User Role & Permission Controls Granular access and permission configurations for different user types. |
Granular user roles and permission management described in admin features. | |
|
Data Residency Options Supports data hosting in regulated jurisdictions as required. |
No information available | |
|
Incident Response & Monitoring Continuous cybersecurity threat monitoring and incident protocols. |
Real-time cybersecurity monitoring and protocols in place. | |
|
Regular Vulnerability Assessments Conducts periodic penetration tests and security scans. |
Regular vulnerability scans and third-party penetration testing are part of Broadridge's information security standards. | |
|
Privacy by Design Frameworks Applies privacy as a core design principle throughout the product. |
Broadridge's public privacy statements commit to privacy by design principles. | |
|
Electronic Records Retention Period The guaranteed period that client records are stored and accessible. |
No information available |
Scalability & Performance
(2 Yes /2 Known /10 Possible features)
|
Concurrent User Support The number of users the platform can support simultaneously without performance impact. |
No information available | |
|
Transaction Throughput The number of transactions that can be processed per second. |
No information available | |
|
Uptime SLA Guaranteed minimum percentage of uptime. |
No information available | |
|
Cloud-based Deployment Supports deployment in public or private cloud environments. |
Supports deployment on cloud (private and public cloud environments). | |
|
Horizontal Scalability Ability to scale resources dynamically for load increases. |
No information available | |
|
Latency to User Actions Average response time for standard user actions. |
No information available | |
|
Disaster Recovery RTO Recovery Time Objective after outages or disasters. |
No information available | |
|
Geographically Distributed Infrastructure Ensures service continuity and redundancy across locations. |
Broadridge is a global SaaS provider with distributed, redundant hosting infrastructure. | |
|
Load Testing & Monitoring Regular performance testing and real-time monitoring. |
No information available | |
|
Automated Scaling Policies Uses rules to automatically adjust resources based on demand. |
No information available |
Service & Support
(9 Yes /9 Known /10 Possible features)
|
Dedicated Account Manager Assigned resource for high-net-worth client responsiveness. |
Dedicated account/customer relationship managers available for enterprise and wealth clients. | |
|
24x7 Technical Support Offers round-the-clock support for issues and questions. |
24/7 support described in Broadridge client support documentation. | |
|
SLA-Backed Response Times Commits to specific response and resolution windows. |
No information available | |
|
Multi-channel Support Availability Offers support via phone, chat, email, and in-platform tickets. |
Support available via phone, email, chat, and web tickets. | |
|
Onboarding & Training Programs Guided setup, training, and onboarding for new users. |
Onboarding and training support provided for all institutional/enterprise customers. | |
|
Regular Platform Updates Delivers ongoing features, bug fixes, and performance enhancements. |
Ongoing platform enhancement and regular software releases are standard. | |
|
User Feedback Channels Collects and acts on user suggestions and complaints. |
User feedback and feature request channels included in portal. | |
|
Proactive Issue Notification Notifies users and admins about outages or service degradations. |
Users receive proactive outage and system notifications per incident response protocols. | |
|
Comprehensive Knowledge Base Detailed online documentation for self-help. |
Extensive online knowledge base for self-service support. | |
|
Integration/Custom Development Services Offers custom integration or build support for client-specific needs. |
Custom integrations and development support available for enterprise clients. |
This data was generated by an AI system. Please check
with the supplier. More here
While you are talking to them, please let them know that they need to update their entry.