Alphastar Capital Management provides discretionary portfolio management to individual client families and institutional investors through relationships with financial advisors. Alphastar manages a series of portfolio solutions designed for a wide range of investors with diverse wealth management objectives.

Their compliance journey initially involved creating fillable PDF forms. While advisors were diligent in taking notes and demonstrating a commitment to acting in their clients’ best interests, the time taken to fill and review PDFs, combined with the lack of consistency across the practice became a significant issue. Given the magnitude of rollover advice, combined with the regulatory scrutiny, it became clear that Alphastar needed a more robust solution.

Alphastar embraced InvestorCOM’s RolloverAnalyzer as a transformative solution for their business (not just compliance). The difference between their first year using PDFs and their current experience with RolloverAnalyzer is remarkable; what once was a tedious and error-prone process is now streamlined, accurate, and far more effective. This transformation is evident in the firm’s improved performance.

Armin Sarabi, Chief Compliance Officer & General Counsel, Alphastar Capital Management

“The fact that we have RolloverAnalyzer in place is going to make any transition, and any kind of pivot that we need to make, that much easier. That is a strategic advantage for us today, and going forward.”