Broker-Dealer Data Operations, Modernized
Connect clearing firm feeds, normalize client account data, automate compliance reporting, and deliver advisor-facing data — all without manual file handling or custom scripts.
The Broker-Dealer Data Challenge
Broker-dealers and RIAs must serve multiple audiences simultaneously — advisors needing current client data, compliance teams needing surveillance data, operations needing clearing and settlement data, and regulators needing audit-ready records. Managing data flows to all of these audiences manually is unsustainable at scale.
Clearing Firm Data Translation
Clearing firm data arrives in proprietary formats on nightly schedules. Translating this data into the formats required by your back-office systems, advisor workstations, and reporting platforms requires constant manual intervention.
Compliance Data Management
FINRA and SEC compliance surveillance requires current, complete client account and transaction data delivered to compliance systems in specific formats. Manual compliance data workflows create surveillance gaps and regulatory risk.
Multi-Custodian RIA Complexity
RIAs using multiple custodial platforms — Schwab, Fidelity, Pershing, TD — must aggregate client data from each platform separately. Without a central aggregation layer, every report cycle becomes a multi-source manual assembly exercise.
How FyleHub Serves Broker-Dealers
Automated data delivery to advisors, compliance, and clients — without manual clearing data workflows.
Clearing Firm Feed Integration
Connect Pershing, NFS, Apex, and other clearing firms to a single data layer. Normalize clearing data into unified formats for back-office, advisor, and compliance systems — automatically on nightly and intraday schedules.
Compliance Reporting Data
Deliver current account and transaction data to compliance surveillance systems on the schedules required for FINRA and SEC regulatory compliance. Full audit trail documentation for every data delivery for examination readiness.
Advisor Data Feed Delivery
Deliver current client portfolio, performance, and account data to advisor workstations, branch office systems, and financial planning tools on a continuous intraday basis — replacing manual T+1 file uploads.
Built for Broker-Dealer Operations
Data operations capabilities built for the compliance and scale requirements of broker-dealers and registered investment advisers.
Clearing Firm Feed Integration
Connect Pershing, NFS, Apex, and other clearing firms to a single data layer. Normalize clearing data into unified formats for back-office, advisor, and compliance systems.
Client Account Data Normalization
Normalize client account, position, and transaction data from clearing firms into the formats required by your portfolio management, CRM, and client reporting systems.
Compliance Reporting Data
Deliver current account and transaction data to compliance surveillance systems on the schedules required for FINRA and SEC regulatory compliance.
Advisor Data Feed Delivery
Deliver current client portfolio, performance, and account data to advisor workstations, branch office systems, and financial planning tools on a continuous intraday basis.
Client Report Automation
Generate and distribute client account statements, performance reports, and portfolio summaries automatically from normalized account data on required delivery schedules.
Data Reconciliation and Quality
Automated reconciliation between clearing data and internal records. Exceptions are flagged in real-time for operations team review before they create downstream problems.
How Broker-Dealer Teams Use FyleHub
From clearing feed to advisor dashboard to compliance system — automated.
Connect Clearing Firms
FyleHub connects to Pershing, NFS, Apex, and other clearing firms. Positions, transactions, and account data are ingested automatically on nightly and intraday schedules and normalized immediately.
Normalize & Validate
Clearing data is normalized into unified formats. Reconciliation between clearing data and internal records happens automatically, with exceptions flagged before they create downstream problems.
Deliver to All Audiences
Advisors receive intraday account data. Compliance systems receive current transaction data on schedule. Clients receive automated reports. All with full audit trail documentation.
Results Broker-Dealer Clients See
Measurable outcomes from broker-dealers and RIAs using FyleHub.
“Our advisors used to start the day with yesterday's data. Now they have this morning's clearing data by 7am. The compliance team gets their surveillance data on time every day. FyleHub made both possible without any manual work from our operations team.”
— COO, Independent Broker-Dealer with 400+ Advisors
Other firms we serve
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Broker-Dealer and RIA Data FAQ
QHow does FyleHub integrate with clearing firm data for broker-dealers?
FyleHub connects to major clearing firms — Pershing, National Financial Services, Apex, RBC Correspondent Services, and others — via API or secure file transfer. Clearing data including positions, transactions, margin, and account information is ingested automatically, normalized, and delivered to your back-office and advisor-facing systems.
QCan FyleHub support compliance reporting data requirements for broker-dealers?
Yes. FyleHub supports data preparation for FINRA regulatory reports, SEC Form BD data, customer account records, and internal compliance surveillance systems. The platform's immutable audit trail and data lineage documentation support regulatory examinations and FINRA/SEC inquiry responses.
QHow does FyleHub improve advisor data access for broker-dealers?
FyleHub delivers current client account data, portfolio analytics, and performance information to advisor-facing systems — branch office systems, financial planning tools, and client reporting platforms — on a continuous basis. Advisors get fresher data without operations staff manually uploading files.
QDoes FyleHub support RIAs using broker-dealer custodial platforms?
Yes. FyleHub is used by both broker-dealers and the RIAs that custody assets on their platforms. RIAs using FyleHub can aggregate client data from multiple custodial platforms, normalize it to a unified data model, and deliver it to their portfolio management and reporting systems automatically.
QWhat security standards does FyleHub maintain for broker-dealer data?
FyleHub provides enterprise-grade security with 256-bit AES encryption, role-based access controls, and comprehensive activity logging. The platform supports the data security requirements of FINRA Rule 4370 (Business Continuity) and the SEC's Regulation S-P (Privacy of Consumer Financial Information) for broker-dealers.
Modernize Your Broker-Dealer Data Infrastructure
Broker-dealers and RIAs using FyleHub deliver fresher advisor data, automate compliance data delivery, and eliminate the manual clearing data workflows that slow down their operations.
FINRA compliance data support · Implementation in 2–4 weeks