Client Access Administration Tools · Client Access Administration Tools Confidentiality Notice: This document contains confidential and privileged information for the use of the

Confidentiality Notice: This document contains confidential and privileged information for the use of the designated recipients.

Broadridge Data Aggregation, Performance Reporting and Analytics Tool

Data Aggregation, Performance Reporting and Analytics Tool

Client Access Administration Tools

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Client Access Overview

Add, edit and view Client Access Profiles in the Client Access Overview Worksheet. To display the worksheet, click on the "Client Access Overview" option from the "Worksheets" menu.

All the Client Access profiles that the selected Advisor has created are displayed at the bottom of the screen in the "Client Access Report" section. Click on the Username to display or edit a profile. Click on the "Add Profile" button in the upper right of the screen to create a profile.

Cooper, David

Cooper, David

Cooper, David

Cooper, David

Cooper, David

Cooper, David

Cooper, David

Cooper, David

Cooper, David

Cooper, David

10/15/2018

11/01/2017

10/15/2018

10/15/2018

10/15/2018

10/22/2017

10/15/2018

10/15/2018

10/15/2018

10/15/2018

Andersen Kent UserKAndersen 3 6/15/2018 2

Brown Tim UserTBrown 1 6/10/2018 1

Smith John UserJSmith 6 6/10/2018 1

Tanner Joe UserJTan 1 6/10/2018 1

Smith John UserJSmith 2 6/10/2018 4

Roe Kevin UserKRoe 10 7/10/2018 3

Clemons Sara UserSClemons 4 6/10/2018 1

Clemons Roger UserRClemons 7 7/2/2018 2

Clemons Maa UserMClemons 9 6/10/2018 1

175

150

125

100

75

50

2525

0

Brown Kelly UserKBrown 3 6/15/2018 1

25% of 800 Total Accounts

50% of 100 Groups

156 Profiles156 Profiles

200 Accounts

50 Groups

1010

WORKING WITH CLIENT ACCESS PROFILES

Example of the Client Access Overview Worksheet.

Client Access is a secure website specifically designed for client use. Clients can be given access to view their account balances as well as any client viewable Signature reports or documents specifically marked for viewing by the advisor working with the client. The Advisor decides what information is to be shared, and sets up access directly through the Data Aggregation desktop by creating a Client Access Profile.

Clients can then use their Client Access Profile to access their account information through the Client Access portal. Clients can upload documents to share with their Advisor. However, clients cannot generate anything on their own within Client Access.

The Client Access Profile is an aggregate portfolio view of all groups and accounts set up for the profile. The portfolio view is the default home screen view for the client in Client Access. The client has the ability to view individual accounts and specific groups of accounts within the portfolio. For UAT testing, below are instructions on how to: 1) Work with Client Access profiles in the Data Aggregation advisor desktop - Associate the contact to the profile - Designate what groups and accounts the profile can view 2) View profiles in Client Access portal as the client

Note: The images in this document are representative mock-ups and may not match the screens in the UAT testing environment exactly.

What is Client Access?




Add a Client Access Profile Select the "Client Access" selection from the "Action / Add" menu at the top of the screen. The Add Client Access Profile screen is displayed and the entry of information is required:

Select Groups and Accounts search/selection box is displayed. Type in three or more characters to begin the search. Select the groups and accounts that the client will see in Client Access from this selection. As the groups and accounts are selected they will appear on the right of the screen and can be removed by clicking on the red x icon.

Select Contact for the profile from the list displayed. This is a list of contacts and account parties for the groups and accounts selected. This is required for all profiles.

Enter Profile Details (Required unless noted): Username - The name of the Client Access profile. Password - The client's password they will use to log into Client Access. Owner - The Advisor that is the owner of the Client Access profile. Note: The owner will default to the user that is signed on. Office - the office of the Advisor that owns the Client Access profile. Note: The office for the Advisor will be a selection if they are in multiple offices. Description (optional) - description of the Client Access Profile. Check boxes:

• User must create new password during the next login

• Show accounts net cost• Show asset allocations

Note: Not all options may be available.

Click Save button:

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Example of the Enter Profile Details section of the screen.

Example of the Select Contact section of the screen.

Example of the Select Groups/Accounts section of the screen.

Example of Action menu Add / Client Access Profile.




Add a Client Access Profile - continuedConfirmation that the profile was added will be displayed. A pop-up congratulations box will appear with a friendly reminder to share the profile access with the client. The "Copy Link" button is a convenient way to copy the Client Access URL for the client to your clipboard and share with the client. Add more profiles or view the profile just added.

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Example of the profile just added being displayed.

Example of the Congratulations pop-up when saving a profile.




View and Edit a Client Access ProfileThe Client Access Profile Maintenance screen displays the details of the profile which can be edited without changing to edit mode on this screen. Information for the profile with a summary of activity for the last 12 months showing the number of documents downloaded by the Advisor and uploaded by the client, if the firm allows document uploads, and the number of times the client has logged in for a month. Also displayed are details for the profile activity for the last 90 days displaying the actual document as well as dates and times the client logged in. Document names can be clicked on to view the document. For profiles that were created before the new maintenance page release will not have a contact for the profile which is required. A contact must be selected from the "Select Contact" list if any other change is being made to the profile.

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Example of the Client Access Profile Maintenance screen.



Broadridge Data Aggregation, Performance Reporting and Analytics ToolPage 5

Delete a Client Access ProfileWhen in the Client Access Maintenance screen with the profile displayed, select the "Delete" link at the top or bottom of the screen .

A pop-up will display to confirm the delete of the profile by selecting the red delete button. Please note that when a Client Access profile is deleted the profile is permanently deleted and all history of the profile usage is deleted. Select the "Cancel" button if the profile is not to be deleted.

Example of the Delete Profile pop-up.

CLIENT ACCESS

View the Profile in Client AccessTo view the Client Access Profile in the Client Access portal as the client would, copy the URL with the "Copy Link" button found on the Client Access Profile Maintenance screen or from the pop-up Congratulations box when adding a profile.

Example of the Copy button.

Next, copy the URL into a new browser window by right clicking in the URL line and selecting "Paste and Go"

Paste the Client Access link into the URL of a new browser window.




Client Access - Screen Layout OverviewThe screen is made up of sections called panels to display the information efficiently starting with the summary information for the account, group or portfolio being displayed.

Breadcrumbs Click on links to

return to a prior screen

Panel Navigation-Click to position

screen at a panel

TabsClick for additional

views of the infor-mation

ButtonsClick to see more information with additional details

for a section

Client Alerts Click to see alerts

Log out icon

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Example of the Client Access Screen.

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Client Access Administration Tools · Client Access Administration Tools Confidentiality Notice: This document contains confidential and privileged information for the use of the