Wintrust Wealth Management is one of the oldest and most respected financial service providers based in the Midwest. The firm serves nearly 30,000 clients and is responsible for over $36 billion of their assets. To meet the regulatory requirements for Reg BI’s Care Obligation, Wintrust’s financial professionals will be using InvestorCOM PeerCompare. The intuitive app […]
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RedHawk Wealth Advisors is an SEC Registered Investment Advisor (“RIA”) firm based in Minneapolis, Minnesota. To meet the DOL’s PTE 2020-02 requirements for making compliant best interest recommendations, RedHawk deployed InvestorCOM RolloverAnalyzer. “RolloverAnalyzer truly simplifies the rollover recommendation process,” said Rick Keast, President and Chief Compliance Officer at Redhawk Wealth Advisors, Inc. “Each recommendation can […]
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Nationwide Planning Associates Inc. is a national full-service financial planning firm and a FINRA-regulated broker-dealer serving the needs of individuals, institutions and financial intermediaries. The DOL’s PTE 2020-02 went into effect on July 1, 2022. To meet the regulatory requirements, Nationwide Planning Associates will be using InvestorCOM RolloverAnalyzer, an intuitive app for making best interest […]
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Registered investment advisers can now make compliant rollover recommendations using InvestorCOM RolloverAnalyzer™ Cleveland, Ohio, May 25, 2022 – RIA in a Box, a leading Software-as-a-Service (SaaS) provider of compliance and operational software to the wealth management industry, has announced a partnership with InvestorCOM, a leading provider of regulatory compliance software for the financial services industry. […]
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Award-winning hybrid RIA to implement InvestorCOM’s RolloverAnalyzer to assess, disclose and document best interest recommendations. Toronto, ON, May 9, 2022 – InvestorCOM, a leading regulatory software provider to the wealth management industry, today announced that RFG Advisory, a hybrid RIA for independent advisors, will use InvestorCOM’s RolloverAnalyzer application to meet the SEC’s Regulation Best […]
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Wealth management firm using InvestorCOM to digitize the assessment of reasonably available alternative product recommendations and best interest rollover recommendations. Toronto, ON, April 21, 2022 – InvestorCOM, a leading regulatory software provider to the wealth management industry, today announced that Davenport & Company LLC, a leading wealth management and financial advisory firm, is using […]
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AISG will use InvestorCOM RolloverAnalyzer to make best interest rollover recommendations in compliance with PTE 2020-02. Toronto, ON, April 14, 2022 – InvestorCOM, a leading regulatory software provider to the wealth management industry, today announced that American Independent Securities Group LLC (AISG), an independent broker-dealer, has selected InvestorCOM to digitize their rollover recommendation process […]
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For the fourth time, InvestorCOM is recognized as one of Canada’s Top SMEs. Toronto, ON, April 5, 2022 – InvestorCOM, a leading regulatory software provider to the wealth management industry, today announced the company has been named one of Canada’s Top Small & Medium Employers (SMEs) for 2022. This win represents the fourth time InvestorCOM […]
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International Awards Program Recognizes Outstanding Financial Technology Products and Companies TORONTO – March 17, 2022 – InvestorCOM, a leading regulatory software provider to the wealth management industry, today announced that it has been named “Best RegTech Platform” in the sixth annual FinTech Breakthrough Awards program conducted by FinTech Breakthrough, an independent market intelligence organization that […]
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InvestorCOM is named a Top Regional Employer in the Hamilton-Niagara Region for the fifth year in a row. Brantford, ON, January 11, 2022 – InvestorCOM, a leading regulatory software provider to the wealth management industry, today announced the company has been named one of Hamilton-Niagara’s Top Employers for 2022. This marks InvestorCOM’s fifth year winning […]
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