RIA in a Box Partners with InvestorCOM to Help Advisory Firms Meet the Department of Labor’s PTE 2020-02 Rollover Requirements

Registered investment advisers can now make compliant rollover recommendations using InvestorCOM RolloverAnalyzer

Cleveland, Ohio, May 25, 2022RIA 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. The new offering will make it easier for firms and advisers to comply with the Securities and Exchange Commission (SEC) and the Department of Labor’s (DOL) PTE 2020-02 rollover requirements, which are slated to go into effect on July 1, 2022.

Through the partnership, independent advisory firms and registered investment advisers (RIAs) will have access to InvestorCOM’s powerful RolloverAnalyzer™ technology. RolloverAnalyzer™ is specifically designed to support financial professionals when making best interest rollover recommendations by:

  • Comparing rollover environment against the current levels of service, client fit, and costs.
  • Integrating plan and industry average data, saving the adviser time in searching for data using third-party websites.
  • Electronically documenting and disclosing the best interest recommendation directly to the client.
  • Providing native recordkeeping and oversight functionality necessary for compliance teams.

“The new requirements related to rollovers are no small undertaking, particularly for small to mid-size firms with fewer resources and smaller compliance departments,” said RIA in a Box Senior Vice President of Product Development Michael Lubansky. “RIA in a Box’s partnership with InvestorCOM will pave the way for advisers to continue making rollover recommendations and meet compliance requirements by the upcoming compliance deadline in July.”

Compared to manual processes, RolloverAnalyzer provides an intuitive digital option. Financial professionals in need of a technology solution to complete rollovers can easily on-board to RolloverAnalyzer in less than one business day.

“In general, RIAs and independent advisers face a greater challenge in meeting regulatory requirements. Not only do they wear multiple hats, but they also tend to rely on manual processes to meet regulatory requirements,” said InvestorCOM Vice President of Regulatory Strategy Parham Nasseri. “Through the partnership with RIA in a Box, RIAs have an opportunity to leverage intuitive technology to make best interest rollover recommendations and meet their regulatory obligations for PTE 2020-02.”

For more information about the partnership,  watch this video or sign up to join the RolloverAnalyzer waitlist. Join RIA in a Box for a webinar about PTE 2020-02 rollover requirements and InvestorCOM’s RolloverAnalyzer technology on June 16, 2022, at 2:00 pm EST.


About RIA in a Box

RIA in a Box is the leading provider of compliance, cybersecurity, and operational software to the wealth management industry. More than 2,600 RIA firms use the platform to increase compliance workflow efficiency and automate regulatory requirements. Visit riainabox.com for more information.


About InvestorCOM Inc.

Since 1992, InvestorCOM has been providing regulatory compliance software and communications solutions to wealth managers, asset managers and insurers. Our high value, intuitive solutions eliminate compliance risk for our clients. For more information, visit InvestorCOM.com, email info@investorcom.com or call 800-361-9494.


For more information:


Michelle Akhtar
VP, Marketing
RIA in a Box
Karen Makedon
VP, Marketing
InvestorCOM Inc.