Case Study: Firm-wide Exposure Reporting


National RIA/BD Hybrid Rollup firm


Customer is a roll-up of independent brokerage platforms that had, at the time of our engagement, a cohesive advisor technology platform. Still, due to the nature of that platform, Customer had trouble identifying exposure across all of their reps to:

  • Specific securities
  • Thematic exposures
  • Investor types
  • Other derived portfolio characteristics and investor attributes


Using the DiFi platform, Customer was able to exceed its oversight and reporting goals, accelerating its acquisitions and onboarding:

  • identified key customer communication opportunities by market and security exposure.
  • uncovered and remediated regulatory risks pro-actively and efficiently
  • connected automated response protocols to the analytics to create long-term, growing value
  • segmented its client base more efficiently, enabling them to refine management strategy with greater nuance and confidence and redirect a handful of customer initiatives that would have otherwise reduced margins by tens of millions of dollars per year.

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