A Firm Dashboard
Your firm's own information in one place: representatives who have taken exams, portfolios that have been built, and the offerings your firm represents.
Your firm only
Your firm, connected.Empowering advisors. Supporting Broker-Dealers & RIAs.
Broker-dealers and RIAs get a dedicated dashboard with visibility into users, firm settings, diligence activity, exams, portfolios, and more across the platform. Give your advisors better access to information, stay connected to activity across your firm, and help them serve clients more effectively - all at no cost to your firm.
Manage Your Users
Bring your representatives onto the platform, customize access for tools, and review their activity.
Firm settings
Exams on Your Terms
Set the testing parameters so offering exams are administered the way your firm wants them. See completions for your reps with a date.
Testing
Reg BI Documentation
Documentation that supports Reg BI review such as which exams your representatives completed and which offerings were included in the client portfolio.
Supervision
Tools they would otherwise pay for.
Your representatives can explore offerings across the marketplace, stay informed on current industry activity, access the offerings your firm holds selling agreements with, complete offering exams, and use Portfolio Builder to model and document client discussions.
More on the advisor side.
What stays private
- Exam results reach your firm as pass or fail with a date and does not include per-question scores.
- Portfolios carry no confidential client information.
- Access is by approval, and reserved for qualified industry professionals.
Questions, answered.
Does our firm pay for this?
No. The dashboard, user management, firm settings and your reps' access are free for approved firms. The paid services on the platform are bought by sponsors for their offerings.
What do we see about our reps' exams?
Pass or fail, and the date. Per-question scores are not exposed to firms. You can, however, set the parameters under which the exams are administered.
Can we control which offerings our reps see?
Your reps can see all of the offerings in the market. Your firm manages settings regarding which offerings they can build with Portfolio Builder.
How does this help with Reg BI?
The platform leaves a record of what offerings are included in a client portfolio and the exams they completed. That documentation supports your own Reg BI process but it does not replace it.