FundPOINT Desktop and Data for 529 Plans

Help Advisors Grow 529 Assets While Better Serving Their Investor Clients

529 Plans are long-term investments with advantages that are hard to pass up including tax-free treatment, easy investing, no eligibility restrictions, and total donor control.

FundPOINT® Desktop for 529 Plans is an all-inclusive web application that enables advisors to:

• Get up-to-date information on thousands of investment options available to potential 529 Plan customers
• Facilitate plan-to-plan comparisons including tax advantages of in-state versus out-of-state plans
• Conduct share class suitability analysis and fulfill the obligation to communicate correct breakpoints to customers
• Calculate fees and commissions with a single mouse click
• Provide point-of-sale disclosure using professional-grade data

Powered by FundPOINT Data – the only 529 Plan data feed that is updated daily at the share class level – FundPOINT Desktop for 529 Plans assures data integrity with centralized quality control and rigorous review by audit engineers and semi-automated processes.

Who is it for?

• Sales Managers – Increase assets under management, generate quick return on investment, and retain advisors
• Advisors – Improve productivity, eliminate paper, and gather more investor assets
• Compliance Officers – Mitigate compliance risk with a firm-wide solution for satisfying FINRA and MSRB requirements
• Operations Staff – Easily perform trade monitoring and verification
• IT Managers – No need to build anything in-house; FundPOINT Desktop for 529 Plans is a plug and play utility

Broadridge's FundPOINT® 529 Plan Data

For financial institutions facing various challenges presented by 529 Plan information, Broadridge's FundPoint 529 Plan Data product can become an essential foundation to access accurate information from multiple sources that can be used to:

• Provide important disclosures to customers;
• Perform 529 Plan transaction edits and supervision;
• Provide background information for completion of 529 applications;
• Calculate fees and commissions; and
• Verify breakpoints and state tax advantages.

Backed by Broadridge's process technology for sourcing 529 Plan data from multiple sources, FundPOINT 529 Plan Data offers a streamlined, centralized approach to access 56 data points for 529 Plans – improving operational efficiency and accuracy.

Who is it for?

• Broker-Dealers – FundPOINT 529 Plan Data can be used to help brokerage firms meet MSRB disclosure requirements, help fulfill their obligations to offer correct breakpoints to customers, and perform trade monitoring and verification.
• Financial Advisors – FundPOINT 529 Plan Data helps advisors provide accurate information to investors regarding sales loads, fee calculations, and overall 529 Plan suitability.
• Program & Investment Managers – Operations staff at these firms can use FundPOINT 529 Plan Data for trade edits, transaction processing, and supervisory filters.
• Service Providers – Intermediaries, recordkeepers, and trust organizations need accurate plan information to help their clients perform 529 Plan investment trading, audit transactions, correctly process trades, and calculate fees and commissions.