Broker Pitch Due Diligence Portal

Suggested product

Broker Pitch Due Diligence Portal

A consumer-facing web app that creates a standardized “deal room” for any broker-pitched product (alts, private equity funds, structured notes, etc.), forcing collection of key documents, fees, and conflicts disclosures into a comparable one-page summary. Users can request missing docs with timestamped audit trails and generate a plain-language checklist of questions to ask before signing. The product is positioned as a documentation and fee transparency tool—not investment advice.

Target customer

Mass-affluent retail investors (and their spouses/households) at wirehouses/RIAs who are offered alternative investments or complex products and want to independently verify fees, lockups, and incentives before signing forms.

Problem-solution fit

Users are anxious about being sold unsuitable, high-fee products and can’t reliably get or interpret documentation; promised materials may never arrive and incentives are unclear. A structured intake + document request workflow plus a standardized fee/terms comparison summary reduces information asymmetry and makes it harder for sales-driven recommendations to proceed without disclosures.

Keywords

• fee-transparency
• disclosure-tracking
• alternatives
• broker-incentives
• suitability