Mutual Fund Wholesaling

Take investment products to market with tools for better broker management

To compete in today's crowded market, you need to be strategic about resource allocation and take a strategic approach to managing broker-dealer channels. To achieve this, you need better insight into broker relationships and profitability.

Pivotal CRM for Mutual Fund Wholesaling is an industry-specific solution that enables fund wholesalers to develop a deep understanding of broker profitability, strengthen and cultivate broker relationships, and streamline business processes for improved productivity.

The solution enables you to increase efficiencies and productivity, leading to greater overall profitability. Its flexible platform supports seamless connections to the entire firm, including back-office financial systems. With an industry-tailored client relationship management system that mirrors the business processes and data models you already use, you can get started quickly and be on your way to improved profitability.

Key Features

  • Broker-Dealer Profiles
  • Territory Management
  • Profitability Tracking at Broker, Branch, and Firm Levels
  • Proxy Calendaring
  • Literature and Premium Distribution and Tracking
  • Product Information and Research Distribution
  • Event Marketing Management
  • Expense Tracking and NASD Regulation Enforcement
  • Productivity Tools
  • Administrative Tools
  • Relationship Tracking
  • Handheld CRM

Here’s what Pivotal CRM for Mutual Fund Wholesaling can do for you

Understand Sources of Profitability From Broker-Dealer Networks

Equip inside and outside fund wholesalers to determine which brokers are performing best, which funds are selling well, and where they're selling. It also enables fund wholesalers to roll up information to analyze profitability and performance at the firm, branch, and broker level for greater insight.

Equip Broker-Dealers to Sell Funds Effectively

Enable inside and outside fund wholesalers to track and fulfill literature requests and proactively supply broker-dealers with information that fits their business focus and interests in their preferred formats.

Track the Costs of Working With Broker-Dealers

Wholesalers can track the costs associated with educating and supplying tools to the broker-dealer channel, helping them contrast individual, branch, and firm costs with revenue and sales figures.

Track Gifts, Co-Op Funds & Interactions for Regulatory Compliance

Keep tabs on gifts and co-op funds to ensure NASD compliance, and automatically document activities and communications in a central repository for easy reference, retrieval, and reporting.

Accelerate Complex, Multi-Step Processes

Save hours of repetitive daily work with built-in workflows that increase efficiency and contribute to greater profitability. Data-driven workflows can coordinate and accelerate the numerous steps and stakeholders involved in critical processes, such as account setup and research distribution.