BROADRIDGE FINANCIAL SOLUTIONS, INC.

Broadridge Financial Solutions, Inc.

Overview

Broadridge is a global financial technology company that provides technology-driven solutions to banks, broker-dealers, asset and wealth managers, public companies, investors, and mutual funds. The company operates through two reportable segments and offers a suite of investor communications, governance, capital markets, and wealth management technology and services.

What Broadridge does (by segment and offering)

Investor Communication Solutions

• Regulatory Solutions
  • Full proxy materials distribution and voting processing for banks, broker-dealers, corporate issuers, and funds
  • Electronic and traditional delivery options; proxy voting via multiple channels
  • Outsourced processing of international proxies and handling of NOBO (beneficial owner) information
• Data-Driven Fund Solutions
  • Data analytics for asset managers, broker-dealers, and retirement providers
  • Support for product distribution, regulatory reporting, fiduciary learning, and automated mutual fund/ETF trade processing
  • Trust, trading, and settlement services; marketing and omni-channel communications for asset managers and retirement providers
• Corporate Issuer Solutions
  • Shareholder meetings and proxy services, including proxy materials, vote processing, and tabulation for registered and beneficial holdings (including tokenized equities)
  • Governance tools such as virtual meetings, standing voting instructions, and engagement tools
  • Regulatory filings and disclosure support (SEC filings, tax/financial reporting, typesetting, printing, filing)
  • Transfer agency/registrar services, corporate actions, and abandoned property compliance
• Customer Communications Solutions
  • Omni-channel customer communications management for statements, bills, regulatory communications, and marketing campaigns
  • Digital and physical delivery through six automated North American production facilities
  • Communications Cloud platform for creation, delivery, and analytics of communications; Tailored Shareholder Reports (ADA-compliant, embedded XBRL)
• International governance and services
  • Institutional and retail proxy services, shareholder disclosure management, and data/analytics for intermediaries and issuers
  • Global regulatory and compliance capabilities, including tokenized/crypto-enabled governance

Global Technology and Operations

• Capital Markets Solutions
  • Front-to-back trading lifecycle technology supporting equities, fixed income, ETFs, derivatives, and other asset classes
  • Post-trade processing, clearance and settlement, reference data, reconciliations, asset servicing, and regulatory reporting
  • DLx and distributed ledger-based repo (DLR) solutions; CQG acquisition expands execution management, algo-trading, and market data capabilities
  • Data management and connectivity to global venues
• Wealth and Investment Management Solutions
  • Front-to-back technology for wealth advisory firms, including digital marketing, data integration, advisor productivity, client onboarding, and compensation tools
  • Digital wealth platform with AI-enabled data capabilities, data aggregation, reporting, and marketing/content tools for large distributed sales forces
• Investment Management Solutions
  • Buy-side technology for hedge funds, traditional asset managers, and related service providers
  • Portfolio management, compliance, fee billing, order management, data warehousing, risk and portfolio analytics, and fund administration support
  • Integration with prime brokers, fund administrators, and custodians; capabilities extend to tokenized and digital asset contexts
• Broad platform approach
  • Open-architecture platform for digital onboarding, data integration, and multi-channel client engagement
  • AI-enabled analytics and managed services, including agentic AI options; broader asset servicing and custody-related capabilities

Strategic posture and growth themes

• Governance

  • A governance platform that connects brokers, issuers, funds, shareholders, and regulators with readiness for tokenized and digital securities
  • Expanded proxy voting, shareholder communications, and issuer services across traditional and digital infrastructures

• Capital Markets

  • Global, multi-asset-class platforms that simplify technology stacks and support blockchain and AI-enabled solutions
  • DLx and tokenization readiness, with a focus on interoperability between traditional and digital market models

• Wealth and Investment Management

  • A data-centric wealth platform to streamline advisor productivity, client engagement, and operations
  • Integration of digital asset capabilities, including crypto and tokenized funds

• On-ramp for next-generation technologies

  • Ongoing modernization for AI, digitization, tokenization, blockchain, digital assets, and interoperability between traditional and digital market models

Recent acquisitions and products

• Signal Agency Limited (August 2025): expanded digital customer communications capabilities in Europe
• Acolin Group Holdco Limited (January 2026): cross-border fund distribution and regulatory services, integrated into the Investor Communication Solutions segment
• CQG, Inc.: execution management system provider, expanding execution, algorithmic trading, and market data capabilities
• Communications Cloud: platform enabling omni-channel communications with AI-driven and data analytics features; ongoing enhancements to support digital and dynamic content delivery

Key scale and financial context (fiscal year 2026)

• Employees: approximately 16,000 full-time associates in 28 countries
• Revenue mix by segment:
  • Investor Communication Solutions: about 74% of total revenues in fiscal years 2026 and 2025 (including foreign exchange impact)
  • Global Technology and Operations: about 26% of total revenues in the same periods
• Largest client: about 7% of consolidated revenues in fiscal year 2026
• Client scope: services to banks, broker-dealers, mutual funds, retirement providers, corporate issuers, wealth and asset managers; serves the 15 largest U.S. wealth providers
• Operational scale in 2026:
  • Proxy: managed voting for over 1 billion equity proxy positions
  • Communications: processed over 8 billion investor and customer communications through print and digital channels
  • Trading activity: processed on average over $18 trillion in tokenized and traditional securities trades per day
  • Fixed income: provided trade processing services to 22 of the 26 U.S. primary dealers
• Assets and debt:
  • Aggregate debt carrying amount: $3,254.6 million
  • Revolving credit facility: remaining borrowing capacity of $1,225.3 million as of June 30, 2026
  • Goodwill, intangible assets, and deferred client conversion/start-up costs: approximately 65% of total assets as of June 30, 2026
• Facilities:
  • About 50 facilities total
  • 10 production-related facilities (2.2 million square feet) for Investor Communication Solutions
  • 1 facility in Newark, New Jersey for Global Technology and Operations
  • 39 additional leased locations with staggered leases

Business perspective

• Broadridge operates two large, complementary segments: investor communications and governance services, and capital markets/wealth operations technology and outsourcing.
• The company supports the full lifecycle of investor communications, proxy processing and governance, fund and regulatory reporting, transfer agency, and related services, while delivering scalable global platforms for trade processing, settlement, wealth management workflows, asset servicing, and regulatory reporting.
• Broadridge is expanding digital-asset-enabled capabilities (tokenization, on-chain governance, digital communications) through acquisitions and platform enhancements.
• The business serves a broad universe of financial institutions and public issuers, with revenue concentration in a relatively small number of large clients.
• The company maintains certifications and programs for security and compliance, and expects regulatory evolution to influence demand and service requirements.