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PORTFOLIOS & COMPENSATION TECHNOLOGY

Softek’s Portfolios & Compensation Technology provides the core infrastructure Broker‑Dealers and hybrid firms rely on to manage trades, billing, commissions, and investment portfolios with accuracy and scale. Automated processes organize, analyze, and route incoming activity, creating a seamless operational foundation for compliance, accounting, and back‑office teams.

With robust configurability and a rules‑driven architecture, Softek enables your firm to tailor every step—reflecting your business model, payout structure, supervisory requirements, and operational workflows. The result is a more efficient firm with better oversight, lower operational cost, and consistent, compliant execution across all daily activities.

MAKING PORTFOLIO & COMPENSATION WORKFLOWS MORE EFFICIENT

Broker‑Dealers and hybrid RIA/BD firms face increasing operational complexity: multiple fee schedules, model portfolios, advisory platforms, payout structures, and supervision requirements. Softek brings order and automation to these processes. Our end‑to‑end Portfolios & Compensation platform integrates trade activity, custodian data, advisory models, payout rules, and billing engines—ensuring every charge, fee, and commission is calculated accurately and distributed on time. Whether your firm supports dozens or thousands of Registered Representatives and advisors, Softek centralizes oversight and streamlines the tasks that drive your business every day.

CONTROL AND CONFIGURE

Built around your Written Supervisory Procedures (WSPs) and operational policies, Softek gives your back office complete control over how trade data, payouts, fees, and compensation events flow through the system—from ingestion to final payment.

INVESTMENT PORTFOLIO MANAGEMENT

  • Customized investment portfolio plans for hybrid BD/RIA firms

  • Built‑in advisory fee billing system integrated with compensation workflows

  • Unified fee configurations supporting complex billing rules

  • Model marketplace management for advisory programs, including TPAM models

  • Automated financial parameters to ensure managed accounts remain compliant

  • Reverse‑churning rules for daily suitability oversight

  • High‑cash alerts to support effective household cash management

TRADES, BILLING & COMMISSIONS 

  • Fully integrated payment processing system

  • Multi‑source data feeds, with configurable expansion

  • Advisor‑accessible payroll statements and 1099s (MISC/NEC/DIV)

  • Numerous reports providing insight into earnings across time periods

  • Automated payment holds triggered by compliance or operational issues

  • Support for virtually any payout arrangement or grid

  • Configurable payment cycles and payout frequencies

  • Rule‑based notifications to flag transactions for review

The system’s flexibility ensures that your firm's unique business model—no matter how complex—is fully supported.

UNIFIED. ACCURATE. FULLY TRANSPARENT.

The result is a comprehensive technology solution that enhances productivity, reduces cost, and strengthens oversight across your portfolio and compensation processes. Softek gives your firm the accuracy, automation, and configurability needed to support advisors, streamline payments, and maintain firm‑wide compliance with confidence.

KEY FEATURES 

  • Customizable portfolio plan management for hybrid RIA/BD structures

  • Advisory billing engine integrated with compensation workflows

  • Unified and flexible fee schedules and payout grids

  • Model marketplace for firm‑approved advisory strategies

  • Automated financial parameters enforcing account compliance

  • Reverse‑churning and cash‑balance monitoring

  • Multi‑source data ingestion and reconciliation

  • Payment processing with holds for compliance exceptions

  • Advisor payroll statements & 1099 generation

  • Configurable payment cycles and rules‑based transaction alerts

BENEFITS

  • Improves billing and payout accuracy while reducing manual effort

  • Strengthens compliance with automated suitability and supervisory controls

  • Provides transparency and consistency across compensation workflows

  • Increases operational productivity and reduces ongoing cost

  • Enhances advisor satisfaction with clear statements, timely payouts & easy access

  • Supports scalable growth as trade volume, advisors & business lines expand

  • Ensures alignment with firm WSPs and internal supervisory frameworks

  • Gives Broker‑Dealers complete control over how compensation is calculated and distributed

Ready to transform your operations? Let's talk about how Softek solutions can deliver the results your firm needs.

Option Risk Monitoring 

Explore how our cutting-edge solutions enabled a client to capture real-time risk exposures effectively. Our case study highlights the innovative approach used to identify high-risk accounts and manage challenges from complex option strategies.

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