2022: A Year of Growth and Transformation

As 2022 draws to a close, it’s a wonderful time to reflect on key milestones in our company’s journey and share our plans for the path ahead in 2023.

A Year for Rollovers

Our RolloverAnalyzer application launched early in 2022 offering wealth firms and financial professionals a compliant way to make best interest rollover recommendations and grow their assets. RolloverAnalyzer integrates employer-sponsored plan data and digitally documents and delivers rollover recommendations to meet DOL’s PTE 2020-02 and Reg BI’s regulatory requirements. Since launching, we have welcomed hundreds of new clients who are attracted to our technology for its simplicity and comprehensiveness.

As Reg BI examinations kicked into higher gear, the industry focused on leveraging technology to remain compliant.  Many new firms including Wintrust and Davenport adopted our technology to meet their regulatory requirements.

In May, we partnered with RIA in a Box. Through this partnership, RIAs of all sizes now have access to the industry’s most powerful and comprehensive rollover technology.

This momentum continued into December when we announced our strategic partnership with Riskalyze, which will provide advisors access to InvestorCOM RolloverAnalyzer’s industry-leading rollover compliance workflows that include analysis of proposed rollover transactions, plan fee lookups and documenting recommendations, freeing up advisor’s time for valuable face-to-face client meetings.

Major Product Launches Driven by Customer Feedback

The relationships we have with our clients are paramount and the feedback they provide plays a vital role in how we prioritize our product roadmap.

There were three significant product updates this year driven by client requirements:

  1. Account-type recommendations: InvestorCOM was first to market with our account-type recommendation technology, offering financial professionals the ability to assess and document account-type recommendations as required by Regulation Best Interest.
  2. DOL’s retrospective review requirements: We augmented our compliance platform to make it easier for firms to identify and mitigate risks and export data for regulatory reports via our compliance dashboard.
  3. Material change alerts for advisors: We added new advisor capabilities to ShelfMonitor, offering advisors the ability to identify material changes to the products in their client portfolios, a requirement of the Client Focused Reforms.

New Collaboration with CIBC Mellon

In early December, we announced an exciting collaboration with CIBC Mellon which will provide CIBC Mellon’s clients access to InvestorCOM Publisher to facilitate digital publishing of financial statements, management reports of fund performance, and quarterly performance disclosure documents.

Industry Recognition for our Compliance Technology

We are grateful for the industry recognition that we are receiving. In 2022, we won three awards: a Wealthies industry finalist award for ‘Compliance’, recognition as a 2022 5-Star Wealth Tech Provider, and a 2022 Fintech Breakthrough award for ‘Best RegTech Platform’.

Fueling our Trajectory for Growth

In early December, we announced a strategic investment from Estancia Capital Partners, providing our company with strategic, operational, and distribution value-added support. This transaction is a compelling opportunity for InvestorCOM to further augment and expand our client solutions, infrastructure, personnel, product development, and service models.

Much of our growth is attributed to the people who join InvestorCOM. In 2022, four seasoned industry professionals joined our leadership team: Vlad Fernandez, VP of Technology; Randy Barnes, Director of Sales and Product Engineering; Bill Donnell, VP of Sales; and Jeff Deming Chief Financial Officer.

The Year Ahead: What the Future Holds for InvestorCOM

So, what does the future hold for InvestorCOM as we enter 2023?

We are confident that our future is very bright. Our award-winning suite of products continues to attract attention from the market and grow our client base. Our partnership network, trusted advisors, and growing roster of clients are amplifying our name in the market as a trusted and proven compliance solutions provider.

As we look to 2023, we are very excited to be working with all industry stakeholders delivering technology solutions that enable firms and advisors to grow their assets, while meeting increasing regulatory requirements leading to better financial decisions.



By: Karen Makedon, VP of Marketing, InvestorCOM