CASE STUDIES

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.

In a groundbreaking research report, InvestorCOM unveils key industry trends from data spanning more than 14,000 rollovers and 700+ advisors. Compliant rollover technology has a significant impact on firm growth: advisors powered by RolloverAnalyzer™ tripled their average rollover size, boosted annual fees, and increased rollover frequency by 2.5X.

Data extracted from InvestorCOM RolloverAnalyzer™ shows a 2.5-fold increase in rollover recommendations across four firms within a 12-month timeframe. This case study examines reasons for this trend, including new regulatory reforms designed to protect investors, and firm’s adoption of compliance technology.

InvestorCOM conducted an analysis to understand if best interest can be measured, and more importantly if it can improve over time. We examined two years of recommendation data from financial professionals using InvestorCOM PeerCompare and the results of our analysis show that InvestorCOM’s technology is making a positive impact on helping the industry change outcomes.

Regal Financial Group needed to quickly meet Regulation Best Interest (Reg BI) requirements.  COVID-19 presented an additional challenge in that their entire team was working remotely. Learn how technology helped them quickly and efficiently meet the Care and Disclosure obligations of Reg BI.

Prior to partnering with InvestorCOM, Russell Investments created their compliance documents – Financial Statements, MRFPs, and Fund Facts – using an outside vendor and traditional typesetting.

Regulatory pressure mandated significant change for the entire industry, resulting in POS regulation of pre-sale delivery of mutual fund Fund Facts, ensuring investors were armed with the necessary information to make appropriate investment decisions.

Prior to partnering with InvestorCOM, our Client had 4 different print vendors to manage different aspects of 29 different types of communications with their clients including statements, trade confirmations and tax slips across 6 advisor different Lines of Business (LOBs).