What if compliance was easy?

Some wealth firms are choosing to implement a manual program for Reg BI and PTE 2020-02 compliance.

While this is unsustainable in the long term, manual processes also expose the firm to potential operational risks and compliance breaches.

Fortunately, there is an effective and affordable solution that makes it easy for you to …

  • Collect investor information.
  • Compare 401K plans to IRAs.
  • Instantly look up and compare plan costs.
  • Automatically capture disclosure and recordkeeping.
  • Deliver the recommendation to your client.

Why InvestorCOM?

  • InvestorCOM is the only solution in the market that lets you analyze, document, disclose and deliver investment and rollover recommendations in a single, end-to-end workflow.
  • InvestorCOM provides the only platform in the market that lets you meet compliance for both Reg BI and PTE 2020-02.
  • Fast implementation – Our cloud-based solution can be up and running in as little as 2-weeks.
  • Financial professionals love our platform – it’s very intuitive and fits into their day-to-day workflow.
  • We are not expensive – sign up for a free pricing proposal to see for yourself!

Want to learn more? Get your free pricing proposal today.

“PeerCompare is an intuitive tool for our advisor team to assess reasonably available alternatives and document their recommendations. The solution is easy to use and complements the advisor’s workflow.”

Natasa Morfesis
Vice President, Dealer Compliance at Worldsource Wealth Management

“Meeting Reg BI compliance with a remote workforce of advisors is only possible by using a technology like this. We are impressed by InvestorCOM’s comprehensive solution.”

Bill Best

William Best
Chief Operating Officer at Regal Holdings

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

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“PeerCompare is great for people that have been in the business for a long time and have favorites that may no longer be ‘best in class’. This tool gives some good ideas on better products.”

Clint G., Financial Professional
Major Broker-Dealer