News

TORONTO, November 29, 2022 — Estancia Capital Partners announced today they completed a significant investment in InvestorCOM, a leading provider of software and tech-enabled compliance solutions to the asset and wealth management industry. The investment is intended to accelerate InvestorCOM’s continued expansion across North America and globally. “We are excited to partner with Estancia on this […]

For the fifth year in a row, InvestorCOM wins 2023 Hamilton-Niagara Top Employers Award Toronto, ON, November 24, 2022 – InvestorCOM, the leading provider of regulatory compliance software and communications solutions for the financial services industry, today announced the company has been named one of Hamilton-Niagara’s Top Employers for 2023. The Hamilton-Niagara Top Employers awards […]

Compliance teams can monitor and analyze their firm’s rollover activity, identify risk-based scenarios for self-correction, and export data for regulatory reports. Toronto, ON, November 1, 2022 – InvestorCOM, a leading regulatory software provider to the wealth management industry, today announced that the company’s rollover application now features a compliance dashboard, making it easier for compliance […]

Toronto, ON, October 24, 2022 – InvestorCOM, a leading regulatory software provider to the wealth management industry, today announced that Kovack Financial Network (“KFN”), an independent broker-dealer and registered investment advisor, will roll out InvestorCOM RolloverAnalyzer across their firm. RolloverAnalyzer is an intuitive app for making best interest rollover recommendations and was developed to help […]

Advisors can now meet their regulatory obligations by staying on top of significant changes to investment products in their book of business.   Toronto, ON, September 27, 2022 – InvestorCOM, a leading regulatory software provider to the wealth management industry, today announced that its product shelf monitoring application now includes powerful new capabilities that will […]

Wealth Professional Canada recognizes top 30 wealth tech firms that are helping dealers and advisors future-proof their business   TORONTO – September 26, 2022 – InvestorCOM, a leading regulatory software provider to the wealth management industry, today announced that it has been recognized as a 5-Star Wealth Technology Provider by Wealth Professional (WP) Canada. WP’s […]

InvestorCOM’s compliance software was recognized by “Wealthies” judges for the second year in a row.   NEW YORK CITY, NY, September 9, 2022 — InvestorCOM, a leading regulatory software provider to the wealth management industry, today announced that it was recognized as a finalist in the 2022 WealthManagement.com Industry Awards in the category of Compliance. […]

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 […]

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 […]

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 […]