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Proactive Due Diligence

  • Review your current product shelf to ensure appropriateness by monitoring track record, tenure, complexity, and assigning risk parameters to the product
  • Provide quarterly due diligence update reports that, when married with sales reports, provide a true picture to grow your business and mitigate risks
  • Perform annual deep dive due diligence reviews
  • Provide Always on due diligence monitoring of product changes, industry changes, client changes, and provider changes
  • Support your product committee with periodic reviews, documentation and expertise, helping you get to the right answers in an efficient manner

Product Shelf Management

  • Ensure Best Interest Advice can be provided through the best product shelf
  • Actively manage onboarding and removing products to align with today’s environment, your Advisor expertise, and client needs…with the expectation of increasing revenue
  • Add products that are expected to fill a gap, grow revenue, and provide better advice, minimizing overlap and product cannabilization
  • Prepare material for product committee and provide real time answers to questions, shortening decision time
  • Provide insights on the industry regarding new products, sales trends, risk points

Advisor Facing “4 Box Reports”

  • Help advisors match client need to the best products in a repeatable and scalable way.
  • Demonstrate to the regulators that you have made substantial efforts to educate your Advisors about their product choices.
  • ake it easy for Advisors to compare product so they don’t always sell their favorite Products.


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Managed Money
Mutual Funds

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