Know in advance if value is maximized, cost minimized, and
conflicts eliminated. If you can’t view trades this way, or address
the issues below, then your firm is taking–on tremendous unnecessary
risk. Call us. We can help you.
· Evaluate conflicts of
interest at the point of sale and over time
· Equalize pay so a
client is indifferent between any two shares
· Equalize pay so a
client is indifferent between brokerage and advisory
· Identify more quickly
issues of reverse churning (and fix them)
· Identify a prohibited
transaction…and assess if it makes sense to reverse
· Quantify the value of
lost benefits due to clean and T-shares
· Help investors choose
the right share class for their specific horizon
· Evaluate the economic
merit of moving any client to an advisory account
· Evaluate the corporate
prudence of moving select clients to advisory accounts
· Ensure that prospectus
suitability text is consistent with the math
· Validate textual and
numeric claims in sales material and prospectuses
are part of a campaign. It includes sales
material, audit letters, PowerPoint, branding, Firm Element content, and
support. Tools stand alone or reside on trade-input platforms.
Trade & Compliance
Analyzer – What’s
the economic merit of a trade?
View trades through the eyes of investors, advisors, and regulators. Know in advance if
account value is maximized, cost minimized, and conflicts eliminated. In an
in advance if the math supports your trade or if
the opposing claim has merit.
Models fund and ETF
trades in terms of account value, cost, and advisor pay. Handles
traditional and clean shares, and any mix of LOI, ROA, and exchange rules.
Fund- and account-level costs are reflected, like wrap fees.
Satisfy due diligence,
disclosure, and documentation mandates per SEC Regulation Best Interest.
Set policy and monitor advisor compliance with guidance. Identify conflicts
of interest, prohibited transactions and reverse churning cases. Results are audited. Federal
Regulators License THE MATH.
Class Analyzer - How does
fund pricing affect suitability and revenue?
Calculates account value, cost, advisor pay, and revenue for any fund
share. Handles any breakpoint, CDSC, return, fees, cost of capital, or flip
data. Investors can pick the best share. Financial advisors can estimate
pay. Boards can evaluate liability. CFOs can see how pricing affects
revenue. Compliance can spot conflicts and create more accurate prospectus
fee examples. Audited by CPAs and a securities lawyer. Federal Regulators License THIS TOOL.