Empowering large BD and RIA firms to promote automation and efficiency, discover key business insights, and respond swiftly and accurately to regulatory matters. Demonstrated capacity for synthesizing ongoing data from multiple sources to create actionable intelligence to drive business decisions. Engaged closely with many nationally recognized BD/RIAs on major long-term initiatives to dynamically transform data analysis, streamline both existing and ad-hoc reporting, and utilize significant volumes of data to mitigate risk and respond confidently to regulatory matters. AUM Reporting • Aggregating firm, office, and advisor level AUM metrics to provide interactive reporting across multiple custodial and asset management platforms • For executives, business development personnel, and for distribution by firms to individual advisors Pricing Schedule Optimization • Compensation grid structure • Platform fee analysis • Account size and asset management minimum fees • OSJ compensation modeling Mutual Fund Share Class Analysis • MF holdings comparison to universe of potentially lower cost advisory and institutional share class options • MF share class conversion analysis • 12b-1 fee and NTF/TF revenue sharing analysis Regulatory Insights and Response • Supporting compliance and supervisory processes through ongoing data analysis in response to FINRA and SEC Exam Priorities • Respond quickly and with accuracy to SEC exam inquiries Commission-based to fee-based transition insights • Discovering valuable opportunities to migrate legacy commission-based assets to fee-based platforms • Metrics based on share class, account size, fund family, and account type Orion migration • Efficient data migration into Orion through “scrubbing” large data sets to uniformly import account and client data into Orion Experience with major data sources, including: • TD, Schwab, and Fidelity • Top-10 TAMP and Asset Management Platforms • Orion • Redtail • NetX360 • Wealthscape • Xtiva