Tools to Help Limit the Potential for Liability

Evaluate the economic merit of a trade with extreme speed and accuracy. See it through the eyes of an investor or regulator. Head-off issues before they become problems.

We offer two premier decision-making tools: The Trade & Compliance Analyzer and Fund Analyzer. They run "what-if" scenarios that relate to a trade sequence or a fund’s pricing profile. Is a trade suitable from a regulatory perspective? Is pricing optimal, and disclosure accurate, from a firm’s perspective?  

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



Tools 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 arbitration, know 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.


Share 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.




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