VIEW TABLE OF CONTENTS
TECHNOLOGY PROVIDERS Compliance
ORION ADVISOR SOLUTIONS
Share Class Monitoring
The Client Oversight tool enables automated monitoring and reporting of compliance pain points typically managed through arduous, manual processes through end-to-end workflows and robust audit trails. Features include: · Pre-Trade Compliance: powered by Orion’s Eclipse trading application, users receive alerts based on configurable policies such as: restricted lists; short-term trading rules; and policies focused on asset class, industry, issuer, etc. · Share Class Alerts: powered by Orion Risk Intelligence, users receive alerts regarding the availability of a less expensive mutual fund share class at client’s custodian versus the selected share class. · Regulatory Filing Alerts: powered by Orion Risk Intelligence, users receive alerts of the potential need to file certain regulatory reports, such as Schedule 13D/G or Form 13H, when transactions exceed established regulatory thresholds.
Orion is a premier provider of the tech-enabled fiduciary process that transforms the advisor-client relationship by enabling financial advisors to Prospect, Plan, Invest, and Achieve within a single, connected, technology- driven experience. Combined, our brand entities, Orion Advisor Tech, Orion Portfolio Solutions, Brinker Capital Investments, Redtail Technology, and Orion OCIO create a complete offering that empowers firms to attract new clients seamlessly, connect goals more meaningfully to investment strategies and outcomes, and ultimately track progress toward each investor’s unique definition of financial success. With the addition of Redtail and Orion OCIO, the combined platform services $3.8 trillion in assets under administration and $64.3 billion of wealth management platform assets (as of June 30, 2023). Supporting over five million technology accounts and thousands of independent advisory firms, Orion is the platform of choice for all growth-focused advisory firms looking to strengthen their client relationships, gain a competitive edge in a crowded marketplace, and build strong, profitable businesses. Learn more at www.orion.com.
www.orion.com
197 WealthManagement.com
*NOTE: Company descriptions are effective as of the date of nomination submission (February – May 2023). For updated facts and figures since that timeframe, please contact the nominated company.
Powered by FlippingBook