News

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 […]