Frequently Asked Questions

FundKeeper has no transaction, statement, inactivity or other mandatory investor-level fees, other than an IRA custodial fee.

All of your clients’ investments will be available from one, device-responsive internet portal.  You will be able to see and transact in any available fund family for your clients via a single portal.

FundKeeper accounts can be opened and funded in the same day. No more mailing costs, delay, uncertainty and follow up.

Compliance professionals have access to each day’s trading activity on a single trade blotter, which is stored electronically and accessible on demand.

FundKeeper performs real-time compliance checks for events such as: just-under-breakpoint sales, a mismatch with the investor asset allocation and fund risk profiles, and splitting management companies and share classes. Any violation is presented to the firm principal for review and disposition. This allows you to manage by exception rather than reviewing every item.

Yes. You are able to select from thousands of mutual funds to define the investments available to your reps. Different fund lists can be set for different types of accounts, such as voluntary vs. qualified.

FundKeeper provides a single window into a myriad of fund families without the need for traditional brokerage. Letting your reps use FundKeeper instead of going direct provides them with the flexibility they want while you gain the control and consolidation that’s missing from the direct model. The platform is branded as your own and your firm retains full control of your investor data.

With FundKeeper, interactions with accounts at your many mutual fund partners can be accomplished in one place. Need to reassign accounts after a rep leaves? One change gets it done rather than multiple (perhaps paper-based) interactions across many fund families.

Not all accounts ‘fit right’ on brokerage. Mutual fund-only accounts may not warrant the cost and complexity of a brokerage account. Your reps have been going direct for a reason. FundKeeper lets them ‘go direct’ in a more consolidated, controlled and efficient manner.

Yes. FundKeeper has APIs that facilitate inquiry and real-time transaction processing from any external system. Files are also available for positions, transaction, commissions etc. Single sign-on is also supported.

How much time is your staff spending receiving, tracking, processing and normalizing data from the variety of fund families that hold your direct accounts? With FundKeeper, fund data (transactions, positions, commissions etc.) are available from a single source. Data within FundKeeper are consistent across funds, so that a purchase transaction in fund A looks the same as a purchase transaction in fund B.

Yes. FundKeeper is able to support an unlimited number of client defined asset allocation model portfolios. The models can then rebalance automatically on a set frequency or upon drift from threshold tolerance levels to bring the investments closer to the model allocation.  Each can be done at the account or model levels.

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