A Case Study for Enterprise Systems

The Situation

As a successful firm with a strong team and an established process, we have been hesitant to incorporate new technology into our stack. While we recognize we are running our systems on legacy technology, we have reservations about incorporating a new technology.  However, over the last year in particular, we have realized the need for an upgrade to embrace some of the new tools coming to of the Fintech space. We are not looking to redesign our entire process but would prefer to replace individual items to minimize disruption across our platform.


How SMArtX Provides a Better Solution

SMArtX’s UMA technology is the foundation of its turnkey asset management platform but can also be used as a middleware technology solution to provide data into current technology stacks. The existing technology provides for many applications which can be tailored to meet the requirements of our clients.  SMArtX also has the ability to develop new applications within its infrastructure. The data from those applications can then be piped through our open APIs into existing systems so firms can maintain a customized managed accounts platform that integrates into an existing process.  This gives our enterprise clients complete control over the entire system and ensures it operates within their present technology stack.

For Enterprise clients this equates to:


  • Sleeve-level portfolio performance data, billing information, portfolio holdings, and more are supplied directly into existing systems to populate client portfolio information.
  • Billing structures, including billing cycles and layered fees, can be incorporated to account for broker-dealer and advisory fees.
  • Since the data flow populates existing systems, our enterprise clients do not need to learn a new program.
  • Curated master securities universe for advisors directly managing client portfolios.
  • The single sign on (SSO) function provides for reduced administrative burden and maintains a cohesive ecosystem.
  • Automated and curated access to a complete manager marketplace, including third party and internal strategies.

The Results

By using SMArtX, we were able to upgrade our existing systems and the advisors under our umbrella experienced minimal disruption.  However, they did experience better information flow and more functionality than they had before, along with a slew of new opportunities to make better investment portfolios for their clients. SMArtX enabled us to customize the platform in many ways and maintain control of the platform as a whole.  We are also able to control our advisor’s use of our internal investment portfolios and access to the vast array of third-party strategies SMArtX offers.

There is a Better Solution.