Broadridge Businesses
NYSE: BR I www.broadridge.com
North America Equity, Mutual Fund
Trade Processing Solutions

Shareholder Communication
Proxy, Corporate Actions

150+ self clearing brokers
North America Fixed-Income
Solutions Trade Processing

30+ Clients, top 4
primary dealers

90%+ of Primary Dealers
that outsource processing,
use Broadridge
Transaction Reporting

Securities
Processing
Investor
Communications
Since 1962
Since 1989
100+ Clients
Business
Process
Outsourcing
50 Countries
Reference Data Management
Back-office Reports,
Confirms, Statements,
Tax Reporting (1099s,etc.)
Document Imaging and
Archival
Fulfillment
International Processing
Services


900+ clients

Distribution of Pre-and
Post-Sale Client Information

E-Delivery
Since 2004



Full Spectrum Operations Outsourcing
Hosting & Technical Services via IBM Alliance
Operational scale to service
Copyright 2012.
2
Accurate | Dependable | Efficient
Broadridge Products & Services
Account Opening
– Pre-Sale
Fulfillment /
Welcome Kits
– Imaging and
Workflow
Solutions
Advisor & Wealth
• Order
Management
• Cost Basis
reporting
• Performance
Reporting
– Marketing
Consultation
• Customer
– New Account
Client
On-boarding
• Data
Relationship
Management
Aggregation /
Investigo
• Wealth Advisory
Brokerage
Transaction
Processing
• Global
Securities
Processing
• Imaging and
Workflow
Solutions
• Compliance
Tools
• Archival
• E-Presentment
• Reference Data
• Investor Portal
Management
• Modular BPM
• Data Center
Outsourcing
• End-to-end tax
processing
• Global
Corporate
• Advisor Mailbox Actions
Tools
• Compliance
Oversight
E-Solutions
• Securities
Class Actions
• Customer
Statements
Trade
Confirmations,
year end
reporting
(1099s,etc)
Investor Communications
• Proxy Services
• Social
Networking
• Statements,
Confirms, and
1099s
• Post-Sale
Regulatory and
Compliant
Material
Business Processing
Outsourcing
• Customer
Driven
Processes
• Operations
• Call Centers
• Co-location
Services
• PostEdge
• Investor
Mailbox
Copyright 2012.
3
Accurate | Dependable | Efficient
Representative Broadridge Clients
Copyright 2012.
4
Accurate | Dependable | Efficient
Broadridge Solution Partners
 Investigo: Acquired July 2008
 Data aggregation solution provider
 Access Data SalesVision: Acquired May 2009
 Distribution compensation management & reporting solution
 New River FUNDPoint: Acquired August 2010
 Solution suite for Mutual Fund sales & compliance
 Matrix RetireTool(k)it: Acquired January 2011
 Turn-Key retirement plan sales & management solution
 Forefield: Acquired December 2010
 Solution suite for sales, education, and client communication
Copyright 2012.
5
Accurate | Dependable | Efficient
Broadridge Solution Partners
Investigo
Alan Giancaterino: (610) 283-3271
SalesVision
Gina Jurecki: (201) 681-1705
FUNDPoint
Nicole Rocci: (617) 480-5565
RetireTool(k)it
Dean Rodewald: (303) 862-2775
Forefield
John Bracco: (508) 361-6332
Copyright 2012.
6
Accurate | Dependable | Efficient
®
Investigo Solutions
Copyright 2012.
Proprietary and Confidential
7
Accurate | Dependable | Efficient
Investigo Overview
 “Platinum Source” for consolidated Investment & Insurance data
 Advisor and BD back-office solutions
 Founded in 2001 by financial advisors
 Based in Ft. Wayne, IN
 Serving 65 Broker/Dealers
 Reputation for Customer Service excellence
 Flexible and affordable pricing
Copyright 2012.
8
Accurate | Dependable | Efficient
Investigo – Extensive Scope
•
Direct Feed Data Sources
– Brokerage Accounts:
- Self-Cleared
- Pershing
- NFS
- First Clearing
– Direct Business:
(Funds, REITs, Variable Life & Annuities)
- NSCC
- DST
- DAZL
- Carriers
(Fixed Life & Annuities)
- DTCC
- Carriers
– Fee-based Accounts (RIAs/IARs):
- Schwab
- Fidelity
- Pershing
•
- TD Ameritrade
HTML Data Sources* - CashEdge: Bank Instruments, etc.
* Additional fees apply directly from CashEdge
Copyright 2012.
9
Accurate | Dependable | Efficient
Data Recon & Scrubbing
Specialized Talent & Resources
• Data Acquisition
• Data Normalization
• Data Consolidation
• Data Parsing
• Data Reconciliation
• Data Scrubbing
• Data Posting
Copyright 2012.
10
Accurate | Dependable | Efficient
Investigo Data Warehouse
Investigo Web-based
Advisor Solution
Broker/Dealer
Home Office
Visibility
Investigo Data
Model (IDM)
Client-Hosted
Advisors
Broker/Dealer
Home Office
Investigo
Data Warehouse
Copyright 2012.
Clients
11
Accurate | Dependable | Efficient
Investigo Data Model (IDM)
• True replicated database vs. flat files
• Delivered in your choice: IBM DB2, Oracle SQL, MS SQL
• Resides on your server for direct access
• Two-way information store of Firm & Rep activity
• Provides reconciled & scrubbed data for fueling
mission-critical back office applications
• Enables your technology team to deliver on their projects
• Client-hosted application
• Compatible with standard industry business intelligence
reporting packages (e.g. Cognos, Business Objects, etc.)
Copyright 2012.
12
Investigo Advisor Platform
–
–
–
–
–
–
–
–
–
Web-based
Configurable & Branded
Customizable
Investment Screens
Insurance Screens
Numerous Integrations
Lower License Fees
NO Integration Fees
Unlimited Training
& Support
– Higher Rep Adoption
– Free home-office
access
Copyright 2012.
13
Accurate | Dependable | Efficient
Client Reporting
•
Detail Level
–
–
–
–
•
Performance
–
–
–
–
–
–
•
Individual Security
Account
Portfolio
Household/Group
Consolidated
Internal Rate of Return
Time-weighted or Simple
Calendar or Point-to-Point
Multi-period
Net-of-fees
Asset Allocation
– Sub-account detail
– Rebalancing
– Morningstar standard
Copyright 2012.
14
Accurate | Dependable | Efficient
SalesVision
Distribution Manager
Copyright 2012.
Proprietary and Confidential
15
Accurate | Dependable | Efficient
SalesVision Distribution Manager
The SVDM platform is comprised of three modules
Revenue Manager • Sales Manager • Compliance Manager
SalesVision
Revenue Manager
SalesVision
Sales Manager
A comprehensive
solution for distributors
to improve the accuracy
and efficiency of
processing fees and
invoicing.
Identifies sales patterns
for Executive, Product,
Marketing, and Sales
Management through a
series of online predefined and/or ad-hoc
reports.
Copyright 2012.
SalesVision
Compliance Manager
Provides risk
management via
centralizing data to
automate fund
surveillance,
disclosure, and
reporting.
16
Accurate | Dependable | Efficient
SalesVision Distribution Manager
Powerful rulesbased Engine
Compensation
Management:
 Reporting
 Reconciliation
 Invoicing
Compliance
Management:
 Monitor sales practices
 Allows for effective
compliance oversight
Sales
Management:
 Detail sales effectiveness
 Valuable sales mgmt.
tool.
Fee Billing,
Income
Prediction and
Reconciliation
Branch and
Regional Sales
Reporting
Advisor and RR
Compliance
Views
SalesVision
Distribution Manager
Advisor and RR
Sales
Management
Trust
Platform
Pension
Platform
3rd Party
Brokerage
Platform
NSCC /
DTCC
Plan and
Defined
Contribution
Reporting
In-house
Brokerage
Platform
Maximize
Compensation
Opportunities
Clearing Firm
Platform
Sur/PAS
System
Direct Fund
Business
Proprietary
Systems
22c-2
Compliance
Your Firm’s
Enterprise Wide Data
Enterprise
Sales
Reporting and
Analysis
Business
Process
Outsourcing
Account Level
Fee Disclosure
Copyright 2012.
17
17
Accurate | Dependable | Efficient
SalesVision Distribution Manager
Copyright 2012.
18
Accurate | Dependable | Efficient
®
FundPOINT Suite
Copyright 2012.
Proprietary and Confidential
19
Accurate | Dependable | Efficient
®
FundPOINT Suite
Desktop & Data Solutions
► Industry’s golden source for mutual fund security master data
Core
Focus
► EDGAR-sourced, updated daily
► 100% coverage of registered mutual funds and ETF’s
► Reduces exposure to risk and NIGO trades
 Reduce Costs & Errors
 High quality data reduces NIGO trades as well as inaccurate information that
could deter a sale (i.e., wrong minimum investment)
 Auditable
Value
Proposition
 A fully auditable process aligned with FINRA’s methodology for share class
suitability analysis
 Workflow Automation for Fund Information & Document Distribution
 Contrast to the manual process of searching for information in prospectuses and
delivery of physical prospectuses that are prone to error and difficult to manage
 Risk Mitigation
 Prospectus sourced data with audit anchors to the document ensures advisors
have the most up-to-date information
Copyright 2012.
20
Accurate | Dependable | Efficient
Mutual Fund & Other Registered Products
Content Database & Solutions
Over 30,000 document CUSIPs and
6 million data points monitored and
maintained from EDGAR daily from
a single source for registered
products including: mutual funds,
ETFS, ETNs, UITs, and Variable
Products with Related Subaccounts
Copyright 2012.
21
Accurate | Dependable | Efficient
FundPOINT Suite – How it Works
®
Investors
Front
Office
Operations &
Compliance
Call Center Advisors
Investor reading
her prospectus on
Prospectus Express
FundPOINT® Desktop for
Mutual Funds & 529s
Check trades
with FundPOINT Desktop
& FundPOINT Research
Systems
FundPOINT ® Data
Single-Source Feed
Copyright 2012.
22
Accurate | Dependable | Efficient
®
FundPOINT Suite
Offers a Complete Solution
FundPOINT
Data
®
FundPOINT
Desktop
®
FundPOINT
Research
®
®
FundPOINT
for 529 Plans
Master Security
Data (MSD)
Share Class
Suitability
Point-of-Sale
disclosure
Fee Mgmt &
Disclosure
Sales-based
Fund Research
Legal Fund
Research
Copyright 2012.
23
Accurate | Dependable | Efficient
Matrix
™
RetireTool(k)it
Copyright 2012.
Proprietary and Confidential
24
Accurate | Dependable | Efficient
Matrix Overview
 A leading provider of TrueOpen retirement product and services for third
party administrators, banks, insurance companies, broker/dealers firms
and financial advisors.
 $130 Billion Mutual Fund Trading Platform
 Serving more than 350 institutions




Broker/Dealers
Registered Investment Advisors
Third Party Administrators/Recordkeepers
Bank and Trust Companies
 Custody of 40,000+ 401(k) Plans
 Custody of 20,000+ 403(b) Plans
 Highest Volume of MF Trades thru NSCC DCC&S for Last 8-yrs.
Copyright 2012.
25
Accurate | Dependable | Efficient
RetireTool(k)it
TrueOpen™ Architecture
• RetireTool(k)it is a web-enabled suite of services:
–
–
–
–
–
–
–
–
–
–
–
Data Feed for Plan and Advisor level reporting
Access to a Level Compensation Service
Freedom of Investment Choice and Fund Research
Choice of Service Providers – TPA\Recordkeepers
Access to 3(21) and 3(38) Advisory Services
Point-of-Sale Materials
Investment Policy Statements
Branded Enrollment Kits
Full Fee Transparency and Disclosure
Quarterly Monitoring of Investments
Annual Plan Review
• All services lead back to the Matrix Processing Platform
Copyright 2012.
26
Accurate | Dependable | Efficient
Value Proposition
• Data Feed - ongoing reporting of all plans, assets, and activity held on
Matrix platform
• Product Compliance & Control – customize choice of investments
and service providers
• Level Compensation - for Commission Based Retirement Plan Sales
– Eliminates Potential Conflict of Interest
– Ensures any investment chosen yields same rep compensation
– Single Source for Commission Collection, Remittance,
Reconciliation, & Reporting
– Broker Dealer Firm Retains Control of Available Mutual Funds
• Custom Branded Retirement Platform – Reports branded for broker
dealer firm versus product sponsor
Copyright 2012.
27
Accurate | Dependable | Efficient
RetireTool(k)it
Broker Dealer Benefits
Financial
Management
Sales &
Marketing
Benefits:
Benefits:
• 12(b)1 controls for feebased & commissioned
reps
• Competitiveness of
services
• Control of selling
agreements
• Competitive sales
expenses
Regulatory
Compliance
Benefits:
• Fiduciary oversight
• Ease of delivery (use)
• Fee Transparency
• Flexibility of choice
• Provider oversight
• Branding
• Data feed capabilities
Copyright 2012.
28
Accurate | Dependable | Efficient
Forefield
Copyright 2012.
Proprietary and Confidential
29
Accurate | Dependable | Efficient
Forefield Overview
• Leading provider of real-time sales, education, and client communication
solutions for financial institutions and their advisors
• Web-based platform enables financial advisors to deliver current and
concise educational and marketing materials to their clients
• Forefield enterprise version provides significant savings
• Provides access to more than 3,000 pieces of financial planning content
– Articles
– Client Presentations
– Monthly & Weekly Newsletters
– Time-sensitive Flash Videos
– Seminars and Interactive Calculators
• Continuously updated resources that reflect current legislation and
important industry trends
• Content written to satisfy applicable FINRA compliance requirements
• Share features such as Twitter, LinkedIN and Facebook now available
Copyright 2012.
30
Accurate | Dependable | Efficient
Forefield
Benefits Advisors
Forefield allows your advisors to
communicate regularly & more effectively
with their clients.
Building Relationships…Promoting Trust
Providing Asset Gathering Opportunities
Copyright 2012.
31
Accurate | Dependable | Efficient
Features: Forefield Services
Area
Description
Advisor
Presentations &
Education
 A sales, education, and client communication tool that enables financial advisors to
deliver current, concise and compliant resources to their clients
 Forefield Advisor provides access to more than 3,000 resources made up of over
2,300 articles, 200 illustrations and tables, 200 interactive calculators, and over 400
presentations.
Web Sites / Web
Resources
 An innovative solution that lets you create a professional, high-quality website in just
a few minutes! Utilizing a state-of-the-art website template, you can build your own
custom web pages (subject to compliance review for enterprise customers) and
integrate our timely, high-impact consumer content.
 Allows you to enrich your website with current, concise and compliant financial
planning content
Composer
 An e-mail solution that allows financial advisors to create, host, and distribute their
own content using Forefield's e-mail and web platform
 Advisor generated communications, such as invitations, electronic greeting cards, and
articles can be created with a full range of text formatting controls and associated with
one or more images from a personal image library
 A full-featured, monthly financial planning newsletter service offered to both
independent financial advisors and financial institutions
 The Forefield Newsletter service allows financial advisors and institutions to create
customized, FINRA-reviewed, and fully branded newsletters for clients, including both
PDF and native HTML e-mail versions
Newsletters
 All services are part of Forefield’s robust formatting and distribution platform
Copyright 2012.
32
Accurate | Dependable | Efficient
Forefield
Sample Client Videos
Copyright 2012.
33
Accurate | Dependable | Efficient
Forefield Advisor
Sample Content
Copyright 2012.
34
Accurate | Dependable | Efficient
Advisor Web Sites
Key Benefits
• Easy setup
• Professional designs
• Custom graphic support
• High quality content
• Auto-updates
• Full iOS compatibility
• Compliance workflow
• WORM storage
• No required set-up fees
Copyright 2012.
35
Accurate | Dependable | Efficient
Forefield
Sales, Education, and Client Communication Solutions
► Sales, education, and client communication tools
Core
Focus
► Provides enterprise-level advisor education and client presentation solutions to
financial institutions and advisors delivered through an easy-to-use website
 Compliance risk management
 Forefield’s FINRA reviewed content provides firms with the reassurance that
their advisors’ communications are compliant
Value
Proposition
 Fee revenue enabler
 Forefield’s products are key enablers as advisors move from transactional to
broader financial planning and wealth management services
 Cost effective
 Forefield’s solutions are cost-effective alternatives to in-house production of
general educational content and newsletters
Copyright 2012.
36
Accurate | Dependable | Efficient
Questions
Copyright 2012.
37
Accurate | Dependable | Efficient