Manage Sub-Brokers

As distribution businesses grow, operations naturally extend beyond a single principal distributor.

Sub-brokers, partners, and advisors all need tools to onboard clients, initiate transactions, and view reports—while maintaining strict permissioning and compliance.

This use case provides a full sub-broker management layer that scales from small teams to multi-city distribution networks.

What This Use Case Enables

1. Multi-Level Hierarchy Management

Create and manage:

Sub-brokers

Relationship managers

Advisors

Assistants / Ops roles

Each role gets permissions tailored to what they should access.

2. Role-Based Access Control (RBAC)

You decide:

Which clients a sub-broker can view

Whether they can initiate transactions

Whether they can onboard new investors

What reports they can export

Whether they can manage SIPs or redemptions

A clean, structured access model.

3. Sub-Broker Onboarding

Add sub-brokers with:

Their profile

Their ARN / EUIN

Assigned investors

Branch or region tagging

This creates a proper organizational structure inside your platform.

4. Assisted Transactions for Sub-Brokers

Sub-brokers can:

Initiate purchases, SIPs, redemptions

Create SIP plans for investors

Prepare bulk orders

Send them to investors for approval

This is DIT (Distributor Initiated Transactions) extended downward into your hierarchy.

5. Performance & AUM Tracking

Track each sub-broker’s:

SIP book

Monthly growth

Investor activity

Transactions completed

Pending approvals

Great for incentives, compliance, and operational oversight.

6. Consistent Investor Experience

All investors—regardless of which sub-broker manages them—interact with:

The same branded app

The same onboarding

The same transaction flows

The same reporting ecosystem

Your brand stays central; the network operates beneath it.

Who Uses This Use Case

Growing independent distributors

Wealth management firms with RMs and advisors

AMCs offering branch or partner-led models

Fintechs providing B2B2C investing platforms

Any business with layers of distribution benefits from this.

How It Integrates With Other Use Cases

Distributor Initiated Transactions → Sub-brokers initiate investor transactions through DIT

Launch Your Branded App → All sub-brokers onboard clients into your branded app

Sell Mutual Funds via Your App → Sub-brokers enable scale while the app handles investor journeys

Together, they create a unified distribution engine.

Narrative Snapshot

A distributor growing from 200 to 2,000 investors adds 15 sub-brokers across regions.

Each sub-broker onboards investors, initiates SIPs, and tracks performance through the platform.

The principal distributor views consolidated AUM and activity across the entire hierarchy.