Global WealthES

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Global Wealth Enterprise Solution (Global WealthES) supports the entire lifecycle of Wealth Management. Deployed over private secured clouds, these solutions are highly scalable to meet the requirements of institutional providers. Global WealthES has flexible communications bus and can connect to DTC and major custodians, Fidelity, Broadridge-Matrix, Pershing , SWIFT and file structures using WebSphereMQ and BizTalk architecture.

Key Features

INVESTMENT PLANNING Identify a client’s goals and objectives to customize financial solutions using various quantitative tools and modeling functions to help achieve their objectives.

PORTFOLIO MANAGEMENT Extensive functionality for portfolio managers to manage thousands of accounts leveraging the modeling capabilities and other easy to use functions like rebalancing, alerts, positions exchange, tax gain/loss options, and reporting.

SOPHISTICATED COMPLIANCE ENGINE Compliance engine offers multiple levels of alerts, pre-trade and post- trade notifications with varying degrees of severity from an alert to a trade freeze.

GLOBAL OPERATIONS: INTEGRATED PORTFOLIO ACCOUNTING AND SECURITIES PROCESSING Trade order management executes transactions directly to the market thru FIX connectivity, and integration with custodians for seamless settlement. The trades flow to the integrated accounting and securities servicing modules for settlement, asset servicing and reporting.

BUSINESS INTELLIGENCE Leveraging IBM Cognos platform, this tool can be used to access systems data for extensive analysis and reporting targeted for senior executives.

Key Benefits


Provides the Relationship Manager the ability to identify the Client’s and/or Prospect’s goals and objectives for relationship management, tracking, forecasting, planning and action. Plan Development Provides the Advisor the ability to identify the following for a Client or Prospect:


Proposal Generation Provides the Advisor the ability to identify specific investment strategies for the Client or Prospect’s accounts:

  • Identify the variance from current asset allocation versus the planned asset allocation for the entire relationship
  • Drill down to the specific accounts to identify specific assets and models to be utilized to manage the accounts
  • Import Investment Management actual models for automated account allocation
  • Manage from the account level assets to the entire relationship strategy
  • Client/Prospect reports

ACCOUNT ENROLLMENT Global Wealth ES ’s Account Enrollment module simplifies the pre-acceptance phase of onboarding a new client, while ensuring strict adherence to compliance and regulatory requirements.It Enables capturing all know-your-customer and relevant information through easy to use and configurable forms



Investment officers, account administrators and traders can

  • Access electronic order management for traded securities
  • Execute trades electronically or manually
  • Network of 400 executing brokers


Based on user defined parameters, accounts may be rebalanced manually or automatically against the models, benchmarks or other accounts. Portfolio models and benchmarks can be created based on individual or group accounts. Investment officers are provided with multiple portfolio views, including intra-day securities activities. Partial rebalancing of portfolios is also available.


Convert investment decisions into efficient and easily defined workflows such as

  • Full or partial liquidations
  • By account or asset
  • By value or units or percentages


Certified and integrated with Thomson Reuters TORE Network for intra-day trade execution, level II quotes, and intra-day charting where traders can observe and execute trades in reaction to market activity.


User-defined pre and post trade compliance rules alert appropriate parties to deviations from set objectives or investment policies to meet regulatory requirements, control risk, and monitor required workflows.

OPERATIONS: ACCOUNTING, SECURITIES PROCESSING AND ASSET SERVICING Global Wealth ES ’s integrated accounting engine is a full and comprehensive tax lot accounting platform, with multi-ledger capabilities, and supports a host of securities transactions and asset classes. It has built-in maker-checkers for control purposes, and has a production schedule for automated processing. Users gain continuity and data integrity across applications and can leverage straight through processing.


Global Wealth - ES ’s Performance Reporting calculates a time-weighted rate of return on a monthly, quarterly, semi-annual and annual basis. Users can track performance back to the inception of each account. Reports are available both in Report Manager and Statement Package.


With the performance engine completely integrated with the accounting engine’s books and records, users can eliminate the data transfer and interface issues related to a third party engine. Reports are available both in Report Manager and Statement Package.


Users have the ability to benchmark performance against one index or multiple indices and create individualized composite indices. Indices can also be blended to benchmark against a composition of various indices.


Performance can now be calculated daily. This capability allows for more detailed management of accounts on a daily basis versus monthly.


Global WealthES has an Automated Account Review (Reg 9) solution. It is an integral part of the solution. It is not a third party system. The Administrative and Investment review is carried out by the help of TrustReviewer which provides a fully automated account review process that lets administrators and investment officers simplify the account review process including customized trust committee reports.


Global Wealth - ES ’s new dashboard technology enables front and middle office users to easily access key information needed to run its business. The configurable dashboard can be set up to be a decision and monitoring tool for managing the business.


Global Wealth - ES has extensive reporting and statement generation capabilities. The reporting tool allows users to choose from more than 250 easy-to-read report templates or create custom ad-hoc reports. Scheduled reports can run on a regular basis and users can receive daily summary reports via e-mail/printed overnight. Reports include Trade Date Reporting, Settlement Date Reporting, Accrual Reporting, EBR Reporting, ASB Reporting and 22c2 Reporting. In addition, the statement generating engine provides automated month-end statements production.

CLIENT INTERNET ACCESS Global Wealth - ES ’s Client Internet Access provides preformatted, easy-to-read reports in graphical and tabular formats. The application can be customized with your corporate color scheme and logo and accessible from your website. Your clients can check daily activity online, quickly and securely.


Get a complete understanding of your clients business successes and weaknesses in order to optimize solutions in the marketplace. Receive insights into the business landscape through trends and pattern analysis. Not only does this tool help manage operational costs and mitigate risks, but it also increases customer engagement with customized offerings.