Advisor360°

Advisor360° provides investment dealers with visibility into advisor health and performance through the use of valuable compliance metrics. Greater insight into trends and patterns within the advisor network can further contribute to positive business decisions.

Risk factor examples

Advisor360° has the ability to include up to 12 risk data points for the advisor risk calculation. Examples include:

  • percentage of accounts with suitability issues
  • open suitability inquires
  • close / strict supervision flags
  • excessive trading flags

How it works

Through the use of risk factors available in the Advisor360° catalog of data elements (each with configurable risk factor weighting thresholds), the application:

  • performs comprehensive tests to create a HIGH, MEDIUM, or LOW advisor risk rating
  • captures and reports trending patterns at an advisor level
  • ensures the correct results are sent to the right users via PortfolioAid360° role matrix.

With these risk markers available on a firm-wide scale, compliance management has the opportunity to enhance assessment standards including contribution to performance reviews, compensation plans, etc.

Contact us for a demo of Advisor360°

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