Single workflow for rollover recommendations

Intuitive application for financial professionals to make best interest rollover recommendations and to quickly 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.

Access plan data via integrations

Integration 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.

RolloverAnalyzer GIF

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.

SEC Form 5500

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.

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”

“InvestorCOM’s compliance platform is well-suited to help broker-dealers meet many facets of their best interest obligations.”


William Trout
Head of Wealth Management Research, Celent

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

Reg BI’s Care Obligation and Reasonable Alternatives

Dealers should pay attention to consideration of Reasonably Available Alternatives when making a recommendation.

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