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Comprehensive desktop solutions About brokerage solutions

Our solutions are designed by industry veterans from broker dealers to deliver efficient connectivity between all parties throughout the lifecycle of your daily workflow.

Electronic processing direct to manufacturer

AltServe is a complete servicing solution for alternative investment vehicles, offering greater transparency and improved efficiency through revolutionary trade automation. Our solution offers electronic alternative account opening and servicing with straight thru processing to the product manufacturer, while providing the home office with transparent oversight tools.

  • Dashboard to track real time progress
  • Operational support through business process services
  • Electronic account opening and servicing
  • Integrated subscription document with electronic signature
  • Electronic review and release for principals and supervisors to speed the approval process


  • Reduce Errors
  • Lower Costs
  • Decrease Processing Time
  • Improve Customer Excellence
  • Meet State/Product/Dealer rules

Business process solutions for a real performance advantage

Our BPM solution seamlessly supplies integrated, end-to-end processing for any workflow process you want to improve, including a wide range of maintenance and transaction-based records. With our solution’s intuitive approval routing functionality, your entire document management process can be streamlined and automated. The system handles any workflow challenge, including maintenance and transaction-based records, with integrated, end-to-end processing.

The Business Process Management solution helps:

  • Reduce processing time
  • Improve monitoring and audit trails
  • Provide a unified view across multiple systems
  • Streamline advisor service management
  • Simplify compliance
  • Improves operational efficiency
  • Reduce errors by alleviating manual intervention

Alleviate the pain of manual compliance processes

Our compliance solution provides surveillance, compliance and reporting for broker dealers through a daily analysis of all transactions, orders and account holdings. Our U.S. solution is centered around FINRA and SEC regulations, while our Canadian solution is centered around IIROC regulations. With our compliance solution, you’ll spend much less time identifying potential compliance issues so you’ll have more time to resolve them.

  • Surveillance, compliance and reporting through a daily analysis of all transactions, orders and account holdings
  • Trade blotter with electronic sign-off to improve efficiency, saving 80 percent of the time needed to identify potential compliance issues
  • Automated testing and alerts against a robust compliance rules library
  • Highly customizable reports and persistent audit trail to track evidence needed to document your controls
  • Evidence of supervision
  • Comprehensive Suitability, KYC, AML, and CRM reviews


  • Automated, rather than manual, surveillance
  • Intuitive case and workflow management
  • Optimized risk and cost management


Consolidated Data. Quality Reporting.

Vision Professional provides a premium level of dealer-branded FINRA-aligned reporting of your consolidated book of business and real-time views into Fund, VA, REIT and Brokerage business with daily and quarterly data updates.

By consolidating data from multiple sources, our solution allows you to:

  • View your client’s systematically aggregated household portfolio of accounts
  • Generate dealer-branded reports with dealer-approved disclaimers
  • Produce simplified consolidated, branded electronic or printed statements

Data aggregation through DST Vision is one-stop access to customer account information from mutual fund and variable annuity companies, as well as alternatives such as non-traded real estate investment trusts (REITs).

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Electronic processing direct to fund

Our electronic fund servicing solution completes the account opening process with straight-thru-processing to the fund, while providing the home office with transparent oversight tools. Our solution for funds provides communications throughout the workflow, allowing you to track the stages and progress of orders.

  • Reduces manual intervention with straight-through processing on the back end
  • Tracking of the stages and progress of orders
  • Electronic review and release for principals and supervisors to speed the approval process
  • Direct connection to funds through an interactive and intuitive workflow application


  • Improve communication and ability to track orders
  • Reduce NIGOs
  • Reduce time and cost to open a new account from end to end

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