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Matrix Broker / Dealer Platform


Learn More About Our Platforms for Financial Advisors

Your solution for Open Architecture – with Advisor Support

Today's open architecture environment means that developing, acquiring and maintaining the appropriate tools for compliance and regulatory oversight can be especially difficult. It's essential for broker/dealers to provide increased visibility and access to plan data to ensure the proper internal controls. This visibility to vital plan data and information can help firms quickly assess risk, increase productivity and keep up with the regulatory landscape. Further, this insight gives advisors more business opportunity to drive growth.

The Matrix Broker/Dealer Platform allows these firms to increase their visibility at both a firm and broker/advisor level, tighten their core compliance processes, and offers them increased flexibility in the retirement plan process.

The platform includes access to:

  • Plan Level Data Feed service, which creates a "window" into the activity of a firm's brokers/advisors. This includes plan asset values, investment activity and other information.
  • Level Compensation service, which provides SEC-registered broker/dealers with the necessary certainty that all investment options available will pay the firm and broker a levelized compensation.
  • Sales Enablement resources that support needs of Financial Advisors to drive growth.

For more information, contact our Advisor Support desk at 866-935-6824.