Surveillance of Advisors

1. The Surveillance section can be found under the Compliance tab

Surveillance of Advisors

 

2. Expand the row for any Advisor by clicking on the drop-down arrow

Surveillance of Advisors Dropdown

 

3. View the Accounts, Clients, Household that have portfolio risk that is not inline with risk tolerance

View the Accounts, Clients, Household that have portfolio risk that is not inline with risk tolerance