Tools to Optimize Revenue
Evaluate pricing profiles for products and accounts with extreme speed and accuracy. See through the eyes of investors, advisors, and regulators. Then make decisions that optimize revenue while complying with regulatory mandates.
Model It Before You Make It
Run “what-if” scenarios on a trade sequence, fund’s pricing profile, or platform’s fee schedule. Our Trade & Compliance Analyzer helps ensure that a trade is profitable and suitable from an investor perspective. Our Profitability Optimizer ensures that revenue is optimized from a corporate perspective.
Know in advance if value is maximized, cost is minimized, and conflicts are eliminated. If you can’t view trades this way, or address the issues below, then your firm is taking–on tremendous unnecessary risk. It is also leaving a ton of money on the table.
Trade & Compliance Analyzer
Ensure the economic and regulatory merits of trades
Know in advance how pricing affects your firm, financial advisors, and clients. Then create policies so advisors suggest, and clients select, the best account or share. This tool models ETF, fund, and stock trades in terms of account value, cost, and pay. Results reflect all account and product level fees, benefits like ROA and LOI, turnover rate, waivers, pay scales, and more. Results match the regulators. Audited by CPAs and a securities lawyer. Federal regulators license the math.
Profitability Optimizer
Price products and platforms to optimize firm-level revenue
Increase revenue for brokerage and advisory platforms by 10%. Your fee schedules will be optimized and Reg BI compliant. We “fit” them to the distribution metrics of your trade volumes, subject to your compliance thresholds. The approach is unique. The results are undeniable. Audited by CPAs and a securities lawyer. Federal regulators license the math.
Profitability Uses for Our Tools
- Improve revenue by optimizing the fee schedule for a brokerage platform
- Quantify the revenue impact of limiting ROA, LOI, or free exchange benefits
- Quantify the impact on firm revenue as clients move to advisory accounts
- Model how various external fee schedules affect a platform’s revenue stream
- Model how various internal fee schedules affect a fund’s competitive profile
- Model how various internal fee schedules affect a fund’s revenue stream
- Optimize advisor pay scales to be more competitive and internally profitable
- Model the revenue impact of different internal financing rates and structures
- Model the revenue impact of changing trail start dates and amounts
- Model the revenue impact of restructuring breakpoint and CDSC schedules
- Recapture revenue by re-pricing shares optimally at the account level
- Maximize revenue & return via nuanced 12b-1, mgmt fee, or reallowance cuts
- Craft optimal restitution terms to satisfy regulatory and investor requirements
- Reflect serial commission payments as an advisory fee or C-share equivalent
- Demonstrate the economic advantages of clean shares in advisory accounts
- Benchmark financial margins and ensure that pricing satisfies regulatory aims
- Reverse a prohibited transaction optimally at the client and firm levels
