News

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 […]

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. […]

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 […]