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BLOGS. June 6, 2024

Growing Alternatives Amid Operational Challenges for Broker-Dealers

Broker-dealers continue to find opportunities to diversify their product offerings - most recently through the growing retail alternatives industry. With alternatives making up 15% of global AUM1, many firms run into operational challenges. Alternative products are relatively new to retail third-party distribution and lack automation, have manual processes/controls and are generally inefficient. Alternatives pricing, confirms and money movement practices create complexities with Broker-Dealers as these often differ from the other retail products they offer. Additionally, the unique and complex client experience often leads to much higher Not In Good Order rates with a diminished advisor experience.

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