Command Center gives home offices and compliance officers the ability to view their entire book of business in a single dashboard and search, filter, and sort to find which accounts are in alignment with their investment objective.
Note: Compliance is a feature within Command Center.
In this article:
Searching for Accounts
Whether you’ve got just a few hundred or of thousands of accounts, Command Center has a variety of search capabilities that will help you find exactly what you need.
The search bar allows users to quickly locate accounts based on advisor name or client name. Simply start typing in search bar in the upper left-hand corner and select the relevant results.
The filters along the left side panel allow you to narrow down your results to accounts that fit your specific criteria.
- Domain Selection: If your firm has multiple domains, each book of business will be split using this filter.
- Rep Code: Allows you to filter to find the rep code (this filter must be an exact match).
Note: You can use the Clear All Filters in the top left section of your screen to remove all filters from your search.
You can also narrow down your search results by using a variety of sorting mechanisms by clicking on the column title.
- Risk Number: Sort accounts based on Risk Number.
- Investment Objective: Sort by investment objectives that are configured by the home office or compliance administrator.
- Account Balance: Sort by the current value of each account’s holdings.
- Custodian: Sort by the custodian.
- Account Number: Sort by Account Number
- Rep Code: Sort by Rep Code
- Risk Alignment: See whether an account is in alignment with its investment objective. An account can fall into one of four categories:
- Too high: The account’s Risk Number is at least one point higher than the top of its target investment objective range
- Too low: The account’s Risk Number is at least one point lower than the bottom of its target investment objective range
- Aligned: The account’s Risk Number is within its target investment objective range.
- N/A: The account is missing its investment objective and/or holdings data, preventing Compliance from determining its alignment status.
Viewing Account Holdings
Once you’ve found the account you’d like to take action on, you can simply click on the account name and the holdings will appear in the slide-out menu on the right.
Have additional questions on Command Center? Feel free to reach out to our team at email@example.com.