Intermediary Services Solutions

Dealer Services

We specialize in operational, administrative, and client service functions needed to deliver dealer, trust and third party administrator back office support. Critical functions include:

  • Daily reconciliation and resolution of Fund/SERV trade rejects with Funds and Intermediaries
  • Support new accounts, account maintenance, transfers, account position information, dividend information and settlement, activity updates, reporting through networking
  • New product implementation
  • New fund implementation
  • Project management of dealer/trust/TPA special projects
  • Trade price protection
  • Inbound back office call center
  • Resolve outstanding NSCC trade issues
  • Research and resolution
  • Coordinate intermediary conversions and establish new dealers for NSCC
Intermediary Compensation

Leveraging a dedicated team and enhanced technologies, Boston Financial provides the following services:


  • Set-up and maintenance of commission pricing structures, including base fund structure and exception agreements
  • Reconciliation of trade level commissions paid on transactions, both via direct business and NSCC
  • Tracking and reconciliation of advanced (back end loaded) commissions between TA and Distributor/Financier
  • Remittance of underwriter (distributor) fees to distributor
  • Execution of commission cycle for direct business
  • Automated dealer reclaims for trades from cycle activity

Trailer Fees

  • Set-up and execution of asset-based fees (ie. 12(b)-1, Service Fees, Admin) including base fund structure and exception agreements
  • Asset based payments to broker dealer, TPA, trust and other third party institutions
  • Automated Quality control process around change management; management dashboard, profile reporting and client sign-off

Intermediary Oversight

Boston Financial's Payment Administration solution enables you to automate and simplify your invoice validation, mitigate risk, and streamline your environment and resources. You will be able to optimize your intermediary invoice management while validating intermediary invoices against independent data and calculations. Our tools include an online portal, fund-defined invoice workflows, document storage, and a robust data repository - all will allow you to save time and improve accuracy.

  • Invoice management, validation and payment
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