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The necessary tools and data for investment selection and validation

In the current regulatory environment financial professionals cannot afford to haphazardly pick and document their recommendations. The Investment Wizard™ provides the tools and data necessary to systematize a compliant recommendation process.

Configurable Rules Engine

Product categories, programs, share classes, and breakpoints are just a few things that financial professionals must take into account when making fund recommendations. The Investment Wizard™ makes this data transparent and available so that financial professionals can feel confident in their recommendations.

Regulators expect that financial professionals are able to defend their recommendations. With the frequency of fund trades, its more critical than ever to have a systematic approach to fund analysis and recommendation documentation.

Portfolio Check

The Investment Wizard™ performs a pre-sale Portfolio Check that can analyze more than 20 fund and portfolio rules that are typically associated with post trade review. Providing this reporting pre-sale gives the financial professional the ability to identify and correct these potential issues before the trade is made.

In addition to Portfolio Checks, there is more scrutiny than ever on Reasonably Available Alternatives. The Investment Wizard™ will identify funds that are available at the licensing firm that are comparable to the selected fund, and perhaps could be a better fit based on the client’s preferences, timeline, and existing holdings.


Fund Selection and Pre-Sale Best Interest Validation

The Product Profiler can streamline multiple disparate processes and simplify what is required of a financial professional to stay in-bounds of their firm’s best interest requirements.

Reasonably Available Alternatives

Make your alternative funds more reasonable based on the customers financial situation, preferences, and holdings.

Portfolio Check

Check the recommendation for firm level product and share class rules.

Breakpoint Analysis

Identify opportunities to lower portfolio fees by leveraging the customers existing holdings.

Swap Reports

Quick reports that document fund swaps.

Investment Comparison Tool

Pure product versus product comparison. The fastest way to know which funds are peers to a particular fund.

Program Analysis

In some cases a customer may be able to get the same fund in a variety of different programs. The Investment Wizard™ can help determine which program features and benefits align with the customers needs and objectives.