Singular workflow for rollover recommendations

Intuitive application for financial professionals to make best interest rollover recommendations and to easily and consistently document, and disclose their analysis to clients.

3 easy steps to meet your rollover requirements.

Analyze your rollover recommendation

Compare your rollover recommendation against Cost, Service and Fit criteria.

Fully integrated plan cost data

Instant access to Form 5500 and benchmark data to assess plan costs.

Document and disclose the recommendation

Capture and store the recommendation; share a copy of the disclosure with the client.

Why choose RolloverAnalyzer to meet Reg BI and PTE 2020-02?

Single workflow to analyze, document and disclose best interest rollover recommendations to clients.

Best interest analysis made simple

If your advisors are using manual forms and large text boxes, you know how cumbersome this can be for compliance teams to review and analyze.

With InvestorCOM RolloverAnalyzer, analysis is a breeze. We enumerate the points of analysis making it easy for the financial professional, compliance team and client to review and understand.

Auto-generated compliance text provides the ‘reasons why’ to support the financial professional’s decision-making.

Integrated Form 5500 and plan expense look-up

InvestorCOM makes it easy for financial professionals to assess rollover plan fees.

Using RolloverAnalyzer, your team can input the client’s 404(a)5, look up employer-sponsored plans from the Form 5500 database, and leverage industry benchmark functionality straight from the app.

InvestorCOM RolloverAnalyzer Cost Lookup

End-to-end digital disclosure and documentation

Eliminate multiple systems and manual processes to meet your Reg BI and PTE 2020-02 obligations.

RolloverAnalyzer allows your team to easily transition from analyzing the best interest rollover recommendation to disclosure and recordkeeping. The entire process is automated and just one click away.

InvestorCOM RolloverAnalyzer Documentation

Generate a plain language disclosure report

Once the analysis is complete, RolloverAnalyzer automatically generates a PDF report of the rollover recommendation.

The personalized report includes the rationale for the rollover recommendation in easy-to-understand English. And it’s fully customizable to include your firm’s branding and disclosure information.

Print or email the document to your clients. A copy is retained in a centralized database for easy review by supervisors, compliance teams and senior management.

Plain language Rollover Recommendation Summary PTE 2020-02

“With access to InvestorCOM’s comprehensive rollover analysis tool, our Financial Advisors can easily document their comprehensive discussions with clients about moving their retirement dollars.”

Risa Gomez Davenport and Company

Risa Gomez
First President of Retirement Plan Services at Davenport & Company LLC

“InvestorCOM’s RolloverAnalyzer checks all the boxes within a single workflow and does it simply and intuitively.”

Ryan Carlson
Principal at American Independent Securities Group

75% of firms will use technology in order to meet the PTE 2020-02 regulatory requirements.

Insight from InvestorCOM roundtable event “Preparing for PTE 2020-20”

SEC and DOL: Rollover Requirements

Carol McClarnon and Issa Hanna from Eversheds Sutherland discuss the DOL and the SEC’s expectations.

Watch Now

Virtual Roundtable: Preparing for PTE 2020-02

Compliance leaders discuss challenges and strategies for meeting the PTE 2020-02 requirements.

Download Insights

PTE 2020-02: The Case for Deploying Compliance Technology

Taking a manual approach to meeting compliance for PTE 2020-02 is labor-intensive and fraught with risk.

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