Finally, advisors and compliance agree on how to engage clients.
Now the proven framework that advisory firms use to grow the business can empower compliance to protect the business.
What if your compliance tool wasn’t just your last defense, but your
That’s why we’ve built Command Center — to empower home offices with best-of-breed compliance and firm configuration. Gone are the days of manual account spot-checking. Command Center gives compliance heroes the tools they need to standardize their entire business around the common language of risk.
Great for advisors, great for compliance.
No more 40+ hour weeks spent spot-checking client accounts to ensure that their current holdings match with their investment advisory agreement.
Oftentimes you’ve got so many accounts to review that you only have time to go through a small percentage of your book of business — leaving hundreds or even thousands of accounts unreviewed.
With Command Center, your compliance team is empowered with the tools to review thousands of accounts at a glance and take action on client accounts that need attention.
Spot compliance issues before they become problems.
Command Center makes it easy to see which accounts have inappropriate investments, concentrated positions, or are out of alignment with their target.
Now you can fly through thousands of accounts and automatically spot issues allowing home offices and compliance officers to spend less time finding problems and more time solving them.
Search and filter using the criteria that matters most.
Whether you need to single out one account or find thousands that fit your parameters, we’ve got the search filter criteria that matters most.
Need to search by advisor name? You can do it.
Want to see accounts with a Risk Number of 75-99? Easy.
Looking for a client that just joined? No problem.
Now you can easily segment every account in your business to find exactly what you are looking for.
Pinpoint misalignment and empower advisors to take action.
With Command Center, misaligned investment objectives, concentrated positions, and other compliance issues can become a thing of the past. Now you can find accounts that need attention, dive into the holdings, and find solutions for issues without breaking a sweat.