Getting Started with Data Integrations

Overview: This article explains how the integration request process works, what to expect during setup, and important considerations related to approvals, timelines, and account changes. It also highlights how provider, fund, or firm transitions may affect an existing integration so clients can better understand the overall process and requirements.

Skip to...How To Request Integrations With A Provider, Integration Details: Timelines, Fund Changes, Recordkeeper Changes, and Advisory Firm Changes

How To Request Integrations With A Provider 

In this section, we will review the process for requesting an integration with a provider in the Fiduciary Focus Toolkit. This feature allows your plan lineups and/or wealth accounts to be imported directly from the provider, eliminating the need to manually adjust the investments and/or asset values in your account. By automating this process, you can save time, reduce the risk of errors, and focus your efforts on other priorities.

PLEASE NOTE: If you are part of a larger Broker Dealer or RIA that utilizes our retirement plan data aggregation services, we should already have your plan data available to import.  In many cases, your plans will automatically show as available to import on the main Clients tab.  If they do not, please check in with [e-mail] for further instructions as you should not need to submit individual requests.

As a general guideline, most integration feeds will be updated by the 20th day of each month. For example, if the quarter ends on 3/31/2026, the integrated data feed should be updated to reflect the new information by 4/20/2026.  Each feed is processed and synced as it is received, so many clients will sync earlier in the month.  

To see a list of available Integrations, please click here.

• To add an integration to your account, go to the top right corner of your screen, click the Application Management icon (gear), and select Integration Providers.

• Click 'Add New Provider'.

• Select the desired provider from the drop-down:

• On the next screen, please follow the instructions provided on the page then click the blue ‘Create’ button in the lower right of the window once all available fields and forms have been completed.
• Once your provider request has been submitted according to the provider-specific instructions, it will display a Pending status until it has been approved by both the provider and Broadridge. When your data becomes available, the request status will update to Approved. Please allow 6–8 weeks for the setup process. If you have not received an update within that timeframe, please contact us at [e-mail].

Please Note:  

• Each provider may have different authorization requirements to approve an integration. To avoid delays in processing your request, please review the instructions carefully and complete any required forms for your selected provider(s).
• If you are a registered representative with a broker-dealer, your broker-dealer will typically need to complete the integration request process on your behalf. In some cases, however, we may already be receiving data for your broker-dealer. If you believe this applies to you, please contact us at [e-mail].  Don't worry if you don't know, we'll let you know if that's the case as part of our response.

Integration Details: Timelines, Fund Changes, Recordkeeper Changes, and Advisory Firm Changes

This section covers various details about the integrations process including expected timelines, fund, recordkeeper, and advisory changes.

Frequency of Updates To Established Integrations:

• Broadridge Fiduciary Governance Solutions receives provider (recordkeeper/custodian) data for established integrations each month, based on the previous month-end data.
• As data is received from providers throughout the first three weeks of the month, our goal is to process and make all integration data available by the 20th day of each month. This timeline is different from Morningstar performance data and Fi360 Fiduciary Score updates, which are typically completed by the 8th business day of each month.
• We processes files exactly as they are received from the provider and do not alter the data.

What does the integration actually do?

• It allows you to create new clients by selecting one or more clients which are available from your integrations (and not already linked to a Toolkit Client).
  • This will create the client/account, load the # of active participants and the insert all of the holdings and corresponding asset values into the most recent quarter-end time period. 
  • It will then create and activate an investment policy using your selected watch list triggers, 
  • It will the trigger the investment scoring job which populates your fund scores and watch/remove status.
  • Lastly, it will add a new monitoring report record for the most recent quarter-end so you can generate a PDF using your selected report template.
• It will update existing clients if they are already connected.
  • This will create a new quarter-end time period within the account, update the # of active participants and load the new holdings and corresponding asset values into a new time period.  The time period will correlate with the as_of_date in the provider feed with the intent being an automated log of quarter-end time periods within your account for historical trending and reporting.
  • This will also update the number of particpants metric on the client account.
  • It will the trigger the investment scoring job which populates your fund scores and watch/remove status as of the new quarter-end.
  • Lastly, it will add a new monitoring report record for the new quarter-end so you can generate a PDF using your selected report template.

Fund Changes:

• Some retirement plan integrations are sourced through the custodian rather than the recordkeeper. For example, plans from Paychex may be delivered through Mid Atlantic Trust, while plans from CUNA and PAi may be delivered through Broadridge Matrix.
• In some cases, fund removals made at the recordkeeper level may not appear in the integration update if they are not marked accordingly in their systems. If this occurs within one of your plans, please contact your recordkeeper and ask them to work with the custodian to update or remove inactive funds and ensure the correct lineup is provided.  There is also a way within the Client Account (in the edit menu) to add Sync Rules which allow you to permanetly prevent a fund from being loaded into an account if it continually is being added in error.

Recordkeeper/Custodian Changes:

• If you undergo a recordkeeper/custodian change for an account/retirement plan, the integration will stop updating your Toolkit account and the as_of_date will go stale. 
• If an account or plan moves to one of our existing provider (recordkeeper/custodian) integrations, the advisor must request a new integration for that provider (if not already established). Follow the integration request process to start the new connection. Once we begin receiving data, you can unlink the old provider from the account and link the new provider via the Client Account edit menu.
• Please Note: Due to blackout periods and funding timelines, the transition from one provider's feed to another may take a month or longer to be completed.

Advisory Firm Changes

• If an advisor changes firms, their current integrations may be impacted. Please contact [e-mail] to confirm whether your new firm already has an integration relationship in place.
• If your new firm does not have an existing integration relationship with us, please submit new integration requests under the new firm. This is a recordkeeper/custodian requirement related to changes in the broker of record on retirement plans.
  • For example, if you were previously a registered representative with a broker-dealer and are now independent or operating as a registered investment advisor, but remain the advisor on the plan, you need to restart the integration authorization process with the applicable recordkeeper.
• Please Note: during these types of transitions, we will not begin receiving plan data until the recordkeeper approves the new request.

We are here to help! Please reach out to [e-mail] with any questions.