Advisors
AIF® Designation (Accredited Investment Fiduciary®)
The purpose of the AIF® Designation is to assure that those responsible for managing or advising on investor assets have a fundamental understanding of the principles of fiduciary duty, the standards of conduct for acting as a fiduciary, and a process for carrying out fiduciary responsibility. The AIF® Designation signals that an advisor understands fiduciary responsibility, process documentation, and best practices for managing client assets in a compliant, structured manner.
PPC® Designation (Professional Plan Consultant®)
The PPC® Designation allows financial professionals to hone the skills to manage successful and compliant 401(k) plans. It focuses on plan governance, investment monitoring, and regulatory oversight. For plan sponsor clients, it shows the advisor has specialized expertise in managing and advising on ERISA-qualified retirement plans.
AIFA® Designation (Accredited Investment Fiduciary Analyst®)
An advanced designation that builds upon the foundation of fiduciary education provided by the Accredited Investment Fiduciary® program with instruction on assessment procedures, so that an AIFA® designee can perform reviews of both their own processes and the fiduciary processes of others. It is geared toward assessing and improving fiduciary processes at an organizational level. Advisors with this credential can help firms or committees evaluate, implement, and monitor prudent investment processes—providing clients with structured fiduciary oversight and risk mitigation.
CEFEX® Certification
An independent global certification that verifies adherence to the Global Fiduciary Standard of Excellence. For advisory firms, CEFEX certification demonstrates that the firm is acting in the best interest of its clients. The certification is validated by annual independent audits, thereby maximizing professionalism at the firm and fostering a culture of continuous improvement.
Fiduciary Essentials for Advisors (FEA)
Fiduciary Essentials® for Advisors (FEA) is a self-paced online training program, designed to equip financial professionals with the knowledge and skills necessary to understand their fiduciary responsibilities. Those who complete FEA better understand fiduciary roles and responsibilities enabling them to help clients create successful investment programs, whether for non-profit, wealth management or retirement clients.
Fiduciary Essentials for Defined Contributions (FEDC)
FEDC is a self-paced online training program focused specifically on retirement plan sponsors. It helps plan sponsor fiduciaries understand best practices and improve fiduciary decision-making to help meet ERISA fiduciary obligations and demonstrate procedural prudence.
Fiduciary Focus Toolkit
A suite of tools that unifies investment due diligence, oversight, and client reporting into a single workflow — transforming fiduciary compliance from a burden into a competitive advantage. Advisors can leverage established scoring frameworks like the Fi360 Fiduciary Score or build custom methodologies, align scoring directly to their Investment Policy Statement, and generate branded quarterly monitoring reports as a natural byproduct of their process rather than extra paperwork. For enterprise and home office teams, the Toolkit delivers real-time visibility across advisors, automated recordkeeper data aggregation, and batch processing at scale — enabling oversight of thousands of plans without adding headcount. Backed by Broadridge's institutional-grade infrastructure and 25+ years of fiduciary expertise, the Toolkit serves organizations from solo practitioners to large RIAs, broker-dealers, banks, and recordkeepers who need a consistent, defensible investment process that scales as their business evolves.
Fee Benchmarker
A benchmarking tool that compares advisory fees in the retirement plan space against industry data. Advisors can use it to help plan sponsor clients evaluate reasonableness of advisory fees, support fiduciary due diligence, and document compliance with fee transparency requirements.
Decision Optimizer
A scalable, easy to use solution to support compliance with account recommendations to retail and retirement investors under Regulation Best Interest (Reg. BI), the Investment Advisers Act (IAA) fiduciary standard and Prohibited Transaction Exemption (PTE) 2020-02.
Business Intelligence
Broadridge's Plan Intelligence Platform aggregates and normalizes plan-level data from all major recordkeepers into a single, governed view of your retirement book of business. Track every plan relationship across your organization with golden-source advisor matching, monitor recordkeeper contract history over time, and gain visibility into plan attributes, assets, participant counts, investment lineups, and features. Purpose-built for home office oversight, our platform enables you to identify coverage gaps, benchmark plan health across your portfolio, monitor investment lineups for fiduciary risk, and surface opportunities for advisor engagement — transforming fragmented recordkeeper feeds into actionable intelligence that drives growth and strengthens compliance.
RFP Director
A platform that streamlines the request-for-proposal (RFP) process for retirement plans. Advisors can help clients efficiently evaluate with structured comparisons and documented due diligence.
Retirement Plan Evaluator
A configurable solution powered by unbiased data and an intuitive comparison experience allowing advisors to analyze and conduct due diligence on retirement plan products. Available modules include Target Date Series, Stable Value Investments, In-plan Retirement Income Products, and DC Managed Accounts.
Participant Data
CEFEX® Certification
CEFEX certification validates that an organization follows prudent fiduciary processes—including consistent monitoring of participant-level metrics such as performance dispersion, fee impact, and retirement readiness indicators. It signals disciplined use of participant data within a documented governance framework.
Fiduciary Focus Toolkit
Enables structured monitoring of participant metrics within the broader fiduciary framework. It integrates participant investment utilization, engagement levels, and fee impact data into documented committee reviews and governance reporting.
Fee Benchmarker
From a participant lens, this tool evaluates how fees impact participant account balances over time. By benchmarking plan fees against industry standards, advisors can demonstrate how cost structures affect participant net returns and long-term retirement readiness.
Decision Optimizer
Identify rollover candidates through participant data then use the Decision Optimizer to support compliance with account recommendations to retail and retirement investors under Regulation Best Interest (Reg. BI), the Investment Advisers Act (IAA) fiduciary standard and Prohibited Transaction Exemption (PTE) 2020-02.
Business Intelligence
Aggregates participant demographic, behavioral, and engagement data to provide actionable insights. Advisors can identify underserved participant segments, predict retirement readiness gaps, and tailor communication strategies based on data trends.
RFP Director
Supports vendor evaluation by incorporating participant experience and data capabilities into the RFP process—such as recordkeeper reporting quality, participant digital engagement tools, cybersecurity controls, and data transparency standards.
Retirement Plan Evaluator
Participant demographics can drive decisions on the most appropriate products for a retirement plan. The Retirement Product Evaluator enables use of a dynamic interface to compare products against advisor and plan requirements to quickly identify those that meet defined criteria.
Recordkeepers
AIF® Designation (Accredited Investment Fiduciary®)
For recordkeepers, AIF® Designation training enhances internal teams’ understanding of fiduciary standards and prudent processes. It strengthens the ability to support advisors and plan sponsors with documented investment monitoring, data reporting, and governance-aligned service models.
PPC® Designation (Professional Plan Consultant®)
The PPC® Designation expertise within a recordkeeping organization helps align service teams with ERISA plan governance needs. It supports more consultative engagement with plan sponsors by leveraging plan-level and participant-level data to address compliance, investment monitoring, and plan design improvements.
AIFA® Designation (Accredited Investment Fiduciary Analyst®)
AIFA® Designees can be specifically trained to help recordkeepers evaluate and refine internal fiduciary processes, reporting controls, and oversight frameworks. It enhances the organization’s ability to demonstrate procedural prudence, especially when supporting investment monitoring, managed accounts, or fiduciary services.
CEFEX® Certification
CEFEX certification provides independent validation of a recordkeeper or administrator’s conformity to the CEFEX Standard of Practice for Service Providers, It implies that a firm adheres to the industry’s best practices and is well-positioned to serve investment advisors and plan sponsors. It strengthens market credibility by demonstrating disciplined governance, experienced staff, robust documentation, and full fee disclosure.
Fiduciary Essentials for Advisors
Recordkeeping staff who complete Fiduciary Essentials® for Advisors (FEA) are provided with a baseline understanding of the knowledge and skills necessary for fiduciary advisors. Recordkeepers can also offer FEA to their advisor clients and partners to help elevate overall industry knowledge.
Fiduciary Essentials for Defined Contributions
FEDC is a self-paced online training program focused specifically on retirement plan sponsors. Recordkeepers can support their plan sponsor clients by offering FEDC training to committee members so that they understand best practices and can improve fiduciary decision-making to help meet and advisors serving DC plans.
Fiduciary Focus Toolkit
Supports standardized fiduciary documentation and reporting that can integrate with recordkeeper data outputs. It allows recordkeepers to deliver more governance-ready reporting packages, enhancing differentiation in competitive plan markets.
Fee Benchmarker
Provides benchmarking analytics that complement recordkeeper fee disclosure data (408(b)(2), 404(a)(5)). It enables recordkeepers to support sponsors in evaluating fee reasonableness and competitive positioning, strengthening retention and RFP competitiveness.
Decision Optimizer
A scalable, easy to use solution to support compliance with account recommendations to retail and retirement investors under Regulation Best Interest (Reg. BI), the Investment Advisers Act (IAA) fiduciary standard and Prohibited Transaction Exemption (PTE) 2020-02.
Business Intelligence
Aggregates and analyzes operational, plan, and participant data within the recordkeeping ecosystem. It supports segmentation, service model optimization, revenue analysis, and advisor/sponsor growth strategies—turning core data assets into actionable insights.
RFP Director
Streamlines and structures the RFP process, which is critical in recordkeeper searches and competitive reviews. It allows recordkeepers to respond efficiently with standardized, data-driven proposals and demonstrate governance alignment and service capabilities.
Retirement Plan Evaluator
Provide advisors with a view of products available on a recordkeeping platform using unbiased third-party data. A dynamic interface allows products to be compared against advisor and plan requirements, enabling quick identification of those that meet defined criteria and culminating in a client-ready report.
Fund Managers
AIF® Designation (Accredited Investment Fiduciary®)
For fund managers, AIF education strengthens distribution teams’ understanding of fiduciary standards used by advisors and plan sponsors. It helps position investment strategies within a documented prudent process framework, improving credibility in fiduciary-driven sales environments.
PPC® Designation (Professional Plan Consultant®)
PPC expertise enables asset managers to better engage with retirement plan advisors and committees. It supports more consultative discussions around lineup construction, QDIA suitability, performance monitoring, and ERISA governance requirements.
AIFA® Designation (Accredited Investment Fiduciary Analyst®)
From a fund manager perspective, AIFA principles help align product oversight, due diligence documentation, and monitoring practices with institutional fiduciary expectations. It strengthens the firm’s ability to demonstrate process integrity and risk controls to gatekeepers and consultants.
CEFEX® Certification
CEFEX certification signals that a fund manager’s investment governance and oversight processes adhere to a global standard of fiduciary excellence for investment managers. It enhances credibility in institutional searches and demonstrates disciplined, independently validated processes.
Fiduciary Essentials for Advisors
Fiduciary Essentials® for Advisors (FEA) is a self-paced online training program, designed to equip financial professionals with the knowledge and skills necessary to understand their fiduciary responsibilities. Fund manager clients – or the advisors they work with – can complete FEA to better understand fiduciary roles and responsibilities.
Fiduciary Essentials for Defined Contributions
FEDC is a self-paced online training program focused specifically on retirement plan sponsors. Fund Companies can offer to support their plan sponsor clients by offering FEDC training to committee members to better understand fiduciary best practices and can improve decision-making.
Fiduciary Focus Toolkit
Encourages consistent evaluation criteria for investment options. For asset managers, this creates transparency around how funds are assessed, enabling better alignment of performance narratives, risk metrics, and peer benchmarking data.
Fee Benchmarker
Provides context for evaluating total plan costs, including investment expense ratios. Fund managers can leverage benchmarking insights to position pricing competitively and demonstrate value relative to peers and passive alternatives.
Decision Optimizer
A scalable, easy to use solution to support compliance with account recommendations to retail and retirement investors under Regulation Best Interest (Reg. BI), the Investment Advisers Act (IAA) fiduciary standard and Prohibited Transaction Exemption (PTE) 2020-02.
Business Intelligence
Aggregates distribution, market, and plan-level data to identify trends in asset flows, lineup construction, and competitive positioning. For fund managers, this insight supports targeted distribution strategies and channel growth optimization.
RFP Director
A platform that streamlines the request-for-proposal (RFP) process for retirement plans. Advisors can help clients efficiently evaluate recordkeepers with structured comparisons and documented due diligence.
Retirement Plan Evaluator
Demonstrates the attributes of a manager’s products, to advisors, using unbiased third-party data. A dynamic interface enables comparisons against advisor and plan requirements, allowing for quick identification of products that meet defined criteria and culminating in a client-ready report.