Broadridge

Kyndryl - Securities Industry Services Business delivered market brokerage services to the Canadian securities industry.

FLX Networks is a company that transforms engagement within the asset and wealth management sectors by providing a comprehensive resource and asset management platform. This platform integrates traditional distribution solutions with concepts from the sharing economy, creating a member-structured marketplace that facilitates access to thought leadership, investment ideas, and essential business resources. By offering education and data, FLX Networks enables asset managers to deliver their investment capabilities in a cost-effective manner. Additionally, it supports distribution professionals in achieving independence and financial freedom, fostering productivity, savings, and growth within the industry.

LiquidX Inc. is a leading electronic marketplace based in New York that facilitates the exchange of trade finance assets. Established in 2015, the company operates a technology-driven platform that allows corporations, banks, asset managers, hedge funds, and insurers to trade risks and invest in various financial instruments, including receivables, payables, and letters of credit. By providing a transparent environment for tapping into capital markets, LiquidX enables participants to achieve optimal pricing for trade finance assets. The company also serves as a complementary funding source to traditional banking, enhancing access to capital for its diverse client base, which includes both large global companies and smaller financial institutions. With additional offices in London and Singapore, LiquidX continues to expand its global footprint and facilitate efficient trade finance transactions.

TIFIN is a platform that develops and operates fintech companies specializing in wealth management, investments, and personal finance. It leverages investment intelligence, data science, and technology to create intelligent products tailored to individual investors.

TIFIN is a platform that develops and operates fintech companies specializing in wealth management, investments, and personal finance. It leverages investment intelligence, data science, and technology to create intelligent products tailored to individual investors.

Alpha Omega is a market FIX-based post-trade solutions provider for the investment management industry. Alpha Omega brings invaluable expertise in advanced FIX-based technology for asset managers and broker/dealers in all areas covering automated allocation, confirmation and affirmation of trades for equities, fixed income securities, and derivatives.

Jordan and Jordan (ECS) provides a combination of surveillance and regulatory reporting as well as compliance consulting capabilities for US regulations.

AdvisorStream is a provider of digital communication software that focuses on enhancing client relationships for sales professionals, particularly in the financial advisory sector. The company offers an online platform that curates and delivers relevant articles and videos, helping users stay informed and engaged. Its system automates the posting of multimedia content to social media, facilitating consistent communication through personalized messages and weekly newsletters. By streamlining content delivery and ensuring regular contact with clients, AdvisorStream enables financial advisors to effectively manage their communications and strengthen their professional relationships.

TIFIN is a platform that develops and operates fintech companies specializing in wealth management, investments, and personal finance. It leverages investment intelligence, data science, and technology to create intelligent products tailored to individual investors.

Itiviti Group is a global provider of technology solutions for capital markets, specializing in scalable software that helps financial institutions optimize their trading infrastructure and reduce costs. The company offers a modular order execution management system (OEMS) that supports multi-asset class trading for both principal and agency operations. Itiviti’s portfolio includes innovative solutions such as Connect and Trade, which provide essential tools for connectivity and adaptability in the rapidly evolving financial landscape. By facilitating compliance with regulatory requirements and enhancing market responsiveness, Itiviti serves a diverse clientele, including investment banks, trading firms, stock exchanges, brokers, institutional investors, and hedge funds, enabling them to capitalize on market opportunities effectively.

LiquidX Inc. is a leading electronic marketplace based in New York that facilitates the exchange of trade finance assets. Established in 2015, the company operates a technology-driven platform that allows corporations, banks, asset managers, hedge funds, and insurers to trade risks and invest in various financial instruments, including receivables, payables, and letters of credit. By providing a transparent environment for tapping into capital markets, LiquidX enables participants to achieve optimal pricing for trade finance assets. The company also serves as a complementary funding source to traditional banking, enhancing access to capital for its diverse client base, which includes both large global companies and smaller financial institutions. With additional offices in London and Singapore, LiquidX continues to expand its global footprint and facilitate efficient trade finance transactions.

FundsLibrary is a digital platform supporting the life cycle of fund data, documents and regulatory reporting for the Asset Management industry.

Digital Asset is a New York-based company that specializes in distributed ledger technology aimed at enhancing financial processes. Founded in 2014 by Don Wilson, Eric Saraniecki, Sunil Hirani, and Yuval Rooz, the company provides a platform known as Daml, which allows organizations to create multi-party solutions that integrate previously isolated systems into cohesive networks. This technology eliminates latency and reduces errors by ensuring consistent data across various stakeholders. Digital Asset primarily serves sectors such as financial services, healthcare, and insurance, and has collaborated with five of the top ten stock exchanges. The company is supported by a range of strategic investors, including prominent firms like Salesforce, Samsung, and J.P. Morgan, positioning it as a leader in the development of tools for secure and efficient asset tracking and settlement.

ClearStructure Financial Technology is a global provider of portfolio management systems for financial institutions and investment firms. Based in Danbury, Connecticut, the company offers the Sentry platform, which includes various tools such as Sentry PM for transaction-based portfolio management, Sentry Compliance for rule-based compliance calculations, Sentry Loan Manager for syndicated loan portfolios, and other specialized modules for different asset classes including bank loans, derivatives, equities, fixed income, and money market assets. ClearStructure also provides dedicated account managers, help desks in the EMEA and U.S., 24/7 technical support, and online documentation to ensure comprehensive client support. The company serves a diverse range of clients, including CLO managers, trustees, hedge funds, asset managers, and loan trading desks. ClearStructure was incorporated in 1998 and operates as a subsidiary of Broadridge Financial Solutions.

Fi360 is a fiduciary technology and training company based in Pittsburgh, Pennsylvania, specializing in providing financial intermediaries with tools and resources to implement prudent fiduciary practices. Established in 1999, the company focuses on helping financial professionals act responsibly and ethically in managing investors' assets. Fi360 is known for its Accredited Investment Fiduciary® (AIF®) designation, the Fiduciary Focus Toolkit™, and the Fi360 Fiduciary Score®, which collectively enhance fiduciary education and practice management. As the parent company of CEFEX, Fi360 plays a significant role in promoting fiduciary standards and supporting financial intermediaries in their efforts to gather, grow, and protect client investments.

Shadow Financial Systems, Inc. is a software development company based in Piscataway, New Jersey, specializing in post-trade processing solutions for trading organizations. Founded in 1997, the company provides a comprehensive suite of services designed to support multi-asset class and multi-currency securities processing. Its flagship offering, ShadowSuite, delivers an exceptions-based solution for middle and back-office functions, including reconciliation, clearance, settlement, treasury, and accounting. Additionally, ShadowMargin offers a scalable solution for margin processing, while ShadowConnect serves as a centralized hub for global trade data consolidation and reporting. Shadow Financial Systems operates as a subsidiary of Broadridge Financial Solutions, Inc. and is dedicated to delivering enterprise-wide solutions that integrate all aspects of post-trade operations, including regulatory reporting and client accounting.

Financial Database Services, Inc. is a San Diego-based company founded in 1990, specializing in technology solutions for the wealth management industry. The firm is best known for its Broker Dealer Platform, CAESAR, which has been a pioneer in automating broker dealer back office processes since its inception in 1987. CAESAR originally functioned as a commission accounting system but has evolved to encompass comprehensive transaction processing capabilities, managing elements such as representatives, products, payout rates, client registrations, and compliance. The platform has successfully processed over $600 billion in transactions without any missed commission runs, demonstrating its reliability and effectiveness. In addition to CAESAR, Financial Database Services offers a suite of tools for compensation management, compliance, and advisor onboarding, which help broker dealers maintain regulatory standards while enhancing operational efficiency and profitability. The company operates as a subsidiary of Broadridge Financial Solutions, Inc., reinforcing its commitment to innovation and excellence in financial services.

RPM Technologies, founded in 1996 and headquartered in Toronto, Canada, specializes in providing comprehensive wealth management software solutions to financial institutions such as banks, insurance companies, credit unions, and government entities. Its flagship products include R Wealth, an integrated enterprise solution for account management, order processing, and portfolio administration; R Broker, a platform facilitating client-advisor interactions across various channels; R Funds, offering streamlined workflows and product development capabilities; R Term, a term deposit processing solution; and R RRIF, managing retirement accounts in real-time. As of June 10, 2019, RPM Technologies operates as a subsidiary of Broadridge Financial Solutions Inc.

Rockall is an Irish company founded in 2000 to provide specialized banking book collateral management technology and services to the banking sector. The company has delivered solutions to over 20 of the world’s top banks, including Wells Fargo, US Bank, HSBC and FNB South Africa. Rockall has evolved into a product-led company enabling banks to accurately manage and assess credit risk, supporting a deep understanding of the credit exposures that drive capital requirements and Risk Weighted Assets. COLLATE focuses on enterprise collateral management and FASTNET is their cloud-based SaaS product for next-generation Securities-based Lending.

Unqork Inc. is a New York-based company that operates a no-code enterprise application platform designed to assist organizations in developing, deploying, and managing complex custom software applications. Founded in 2016, Unqork's platform eliminates the need for coding, enabling users in sectors such as financial services, insurance, real estate, government, education, and healthcare to create high-quality applications more efficiently and at a lower cost than traditional methods. By streamlining the product sales process and enhancing customer experience, Unqork empowers large enterprises to quickly build and implement tailored solutions that meet their specific needs.

MackayWilliams is an independent research boutique focused on the European mutual funds sector, particularly in the area of fund distribution. Based in London and Berlin, the firm collaborates with asset managers to deliver comprehensive market analysis and consultancy services. MackayWilliams offers insights into the preferences and requirements of major distributors and fund selectors across Europe. With a legacy spanning 25 years, the partners of the firm have established a reputation for providing advanced data and insights on industry trends within the European market.

FundAssist Limited is a financial services provider specializing in data management and reporting for the funds industry. Established in 1985 and based in Dublin, Ireland, the company offers essential support services, including the production of key information documents such as UCITS KIID and PRIIPs KID, as well as factsheets and translation services. FundAssist focuses on enhancing efficiency within fund distribution and governance, catering to both mutual and alternative fund types. As a subsidiary of Broadridge Analytics Solutions Limited, FundAssist leverages its presence in major financial centers and a global resource network to deliver middle and back office services with high standards of quality and cost-effectiveness.

ActivePath, Inc. specializes in interactive email and messaging solutions for banks, healthcare providers, and other organizations. The company’s primary product, ActiveMail, allows users to engage with emails in a dynamic way, enabling activities such as viewing videos, making purchases, and communicating with customer service directly within the email interface. This innovation enhances customer experience and satisfaction by transforming traditional email communications into interactive and functional exchanges. Initially founded as PostalGuard in 2007, the company aimed to facilitate secure communication for financial institutions. Over time, ActivePath expanded its offerings to address broader challenges faced by marketers across various sectors. The company is headquartered in Tel Aviv, Israel, with an additional office in Deerfield Beach, Florida, and operates as a subsidiary of Broadridge Financial Solutions.

Summit Financial Disclosure is a comprehensive provider of financial document management solutions that specializes in financial printing and document preparation services. The company caters to a diverse clientele, including public and private companies, mutual funds, and both debt and equity investors, along with their legal and financial advisors. By facilitating capital market transactions and ensuring accuracy in financial disclosures, Summit Financial Disclosure plays a critical role in the efficient communication of financial information. Its services are designed to meet the specific needs of clients, ensuring compliance and clarity in all financial documentation.

Spence Johnson Ltd is a London-based company that specializes in providing global institutional data and intelligence to the asset management industry. Established in 2008, it operates as a subsidiary of Broadridge Financial Solutions, Inc. Spence Johnson offers data analytics, market intelligence, and strategic consulting services, enabling asset managers to make informed decisions through detailed insights into asset flows, revenue, and fees. The company collaborates closely with over 100 leading asset managers worldwide, with additional offices in Boston and Singapore, ensuring that its clients receive tailored support and expertise to enhance their business strategies.

Message Automation specializes in providing post-trade OTC derivatives solutions tailored to meet the evolving challenges of the OTC market. The company offers a comprehensive platform that supports all asset classes and facilitates essential services such as house and client clearing, affirmation and confirmation, and management of incoming data from central counterparties and brokers. Additionally, it enables trade and transaction reporting, SEF connectivity, and collateral management. By delivering these services individually or as an integrated solution, Message Automation empowers tier-1 and tier-2 banks, as well as buy-side institutions, to adopt a strategic approach to OTC derivative control, ensuring they remain agile and compliant in a complex regulatory environment.

M&O Systems, Inc. is a provider of enterprise data management solutions tailored for the financial services sector, including insurance companies, banks, retail brokerages, and investment advisory firms. Founded in 1967 and headquartered in New York, the company develops the Serve Me! Suite, a comprehensive front and back office system for broker-dealers. This suite offers essential tools for data collection, integration, and consolidation, along with features for point of sale, books and records, supervision and compliance, commissions and compensation, finance and accounting, and reporting. M&O Systems also focuses on advisor compensation management solutions to assist broker-dealers and wealth management firms in streamlining their financial reporting processes. The company has established a strategic partnership with Blue Frog Solutions and operates as a subsidiary of Broadridge Financial Solutions, Inc. since November 2016.

Inveshare-Technology provides voting technology to institutional investors.

4Sight Supply Chain Group is a leading supply chain consulting and systems integration firm based on the East Coast. Established to serve a diverse range of industries including retail, food and beverage, and pharmaceuticals, 4Sight specializes in enhancing business efficiencies through comprehensive supply chain solutions. The firm offers a wide array of services, including warehouse automation, transportation assessment, logistics network optimization, and software development. By implementing various systems such as Warehouse Management Systems (WMS), Transportation Management Systems (TMS), and Operations Management Systems (OMS), 4Sight equips its clients with the necessary tools and information to make informed decisions, ultimately driving profitability without compromising customer service. With a focus on project management and operational excellence, 4Sight aims to deliver tailored solutions that facilitate the success of its clients' businesses.

North America, NACC is a provider of customer communication services including print and digital communication solutions, content management, postal optimization, and fulfillment. The NACC business has over 2,300 associates and four production facilities located in El Dorado Hills, CA, South Windsor, CT, Kansas City, MO, and Markham, Ontario, Canada. The NACC business has pioneered innovations to drive operational excellence including best of breed technology to onboard clients and deliver accurate and timely communications to their customers.

Dojima is a technology firm that specializes in providing electronic trading and clearing solutions tailored for the global derivatives market. Founded by industry veterans, the company addresses the complexities introduced by evolving global derivatives reforms. Operating from key financial hubs such as New York, London, Singapore, and Chennai, Dojima offers a consolidated trading platform capable of managing both multi-asset listed and over-the-counter derivatives. Its cloud-based, multi-tenant software enables clients, including global exchanges and clearing houses, to effectively navigate regulatory and business challenges while reducing total ownership costs.

Anetics, Inc. is a technology solutions provider specializing in securities lending. Established in 2012 and based in Pittsfield, Massachusetts, the company offers a suite of tools designed to assist clients in managing trade positions, inventory, and stock locates. Anetics’ software solutions facilitate straight-through processing and enhance workflow across various systems and platforms, enabling seamless interaction with trading partners. Their offerings encompass a range of securities lending activities, including trade entry, returns and recalls, mark-to-market operations, equity finance, automated dealing, position management, and fee/rebate allocation. As of 2016, Anetics operates as a subsidiary of Broadridge Financial Solutions, Inc.

QED Financial Systems, Inc. is a provider of financial data management software and services tailored for the enterprise investment community and capital markets. The company offers the QED platform, which includes a comprehensive suite of tools for portfolio accounting, order and execution management, and automated investment operations workflows. Its solutions are designed to streamline the investment management life cycle for a diverse range of clients, including plan sponsors, asset managers, investment advisors, and pension funds. Founded in 1987 and headquartered in Marlton, New Jersey, QED Financial Systems also maintains regional offices in Reading, Pennsylvania; Seattle, Washington; New York City, New York; and Hangzhou, China. The company has established a strategic alliance with DST Global Solutions and has operated as a subsidiary of Broadridge Financial Solutions since November 2015.

Fiduciary Services & Competitive Intelligence Unit provides market intelligence and research reports.

Direxxis develops and sells software for data integration, resource management, campaign management, operations administration, performance improvement, distribution management, sales enablement, and asset management services.

TwoFour Systems LLC is a company that specializes in delivering real-time foreign exchange solutions for banks and broker-dealers. In addition to its core offerings, the firm provides financial advisory and consulting services tailored to the needs of financial services organizations. Its expertise encompasses various areas, including foreign exchange, cash and order management, limits monitoring, treasury, capital markets, risk management, and margin optimization. By offering customized advice and consultancy, TwoFour Systems enables its clients to enhance operational efficiency, minimize risks, and lower costs.

Emerald Connect, Inc. specializes in delivering marketing programs tailored for the financial services industry. The company offers a comprehensive range of services, including the development of personalized websites and communication tools specifically designed for financial advisors. Additionally, Emerald Connect provides support through seminars, client newsletters, and online automatic marketing solutions. Their capabilities extend to full-service printing and training, enabling financial professionals to enhance their outreach and engagement with clients effectively.

Bonaire Software Solutions LLC specializes in developing enterprise software and technology solutions tailored for the investment community. The company provides essential services focused on fee calculation, billing, and revenue and expense management. Its offerings cater to a diverse range of clients within the financial sector, including institutional asset managers, wealth managers, mutual funds, bank trusts, hedge funds, and capital markets firms. Through its innovative solutions, Bonaire aims to streamline financial operations and enhance efficiency for its customers in the investment landscape.

Paladyne Systems is a U.S.-based provider of cloud-based investment management solutions specifically tailored for the buy-side financial industry. Founded in 2005 by Sameer Shalaby, Sol Zlotchenko, and Scott Alderson, the company offers a comprehensive suite of services, including order management, portfolio management, reference data management, and data warehouse reporting. Its solutions are designed to meet the needs of hedge funds, asset managers, fund administrators, and prime brokers. In 2011, Paladyne Systems was acquired by Broadridge, enhancing its capabilities and reach within the financial services sector.

Forefield is a software development company that specializes in creating solutions for online communication between financial institutions and their clients. The firm focuses on financial planning knowledge and client interaction software tailored for a range of organizations, including those in investment management, insurance, brokerage, banking, and accounting. Additionally, Forefield serves financial websites, providing tools that enhance client engagement and streamline communication within the financial services sector. By prioritizing robust software solutions, Forefield aims to improve the way financial advisors and institutions connect with their clients.

Matrix Financial Solutions, Inc. provides TrueOpen products and services for third party administrators, recordkeepers, financial advisors.

NewRiver REIT is a UK-based Real Estate Investment Trust (REIT) specializing in the acquisition, management, and development of community-focused retail and leisure properties. Its portfolio includes shopping centers, retail warehouses, and pubs, with a significant presence in Yorkshire and Humberside, London, and other regions across the UK. The company generates revenue primarily through leasing these properties to a diverse range of tenants, such as discount retailers, groceries, and dining venues. In addition to its real estate business, NewRiver offers innovative technology solutions that simplify investor disclosure and improve transparency in fund data and investor communications. Since 1995, the company has pioneered electronic prospectuses and guarantees "compliance grade" data, helping financial organizations reduce risk, lower costs, and increase revenues.

City Networks Ltd is a software and services provider of reconciliation, multi-asset process automation and operational risk management.

StockTrans is an industry stock transfer agent helping small and mid-cap companies.

Access Data Corp. is a Pittsburgh-based company specializing in enterprise reporting and data management services tailored for asset management firms and financial intermediaries. The firm's flagship product, Access Data SalesVision®, offers comprehensive solutions for storage, analysis, and web-based reporting, focusing on areas such as distribution, compensation management, and shareholder compliance. By employing a Software as a Service (SaaS) delivery model, Access Data ensures that clients can implement its solutions with minimal resource commitment, enhancing efficiency and effectiveness in their operations.

Manulife Securities is a prominent Canadian financial organization based in Oakville. It serves over 1,500 investment professionals across the country. The company offers a range of services including financial advice, insurance, and wealth and asset management solutions tailored to individuals, groups, and institutions.

Investigo Corporation, established in 2001 by a group of financial advisors, specializes in developing innovative practice management solutions for investment professionals. The company's flagship product, the Investigo Wealth Management Platform, offers a user-friendly, web-based system that facilitates efficient asset tracking, client management, and regulatory compliance. By leveraging advanced data aggregation technology, the platform automatically downloads, consolidates, updates, and reconciles client information, empowering investment advisory firms to provide tailored data sets that meet specific client requirements. Investigo Corporation is recognized for its commitment to delivering reliable and effective tools that enhance the operational efficiency of management organizations across various sizes.

Broadridge Investor Communication Solutions offers proxy mailing, vote processing, shareowner communication.