Wintrust Wealth Management Selects InvestorCOM PeerCompare to Meet Reg BI’s Care Obligation
Wintrust Wealth Management is one of the oldest and most respected financial service providers based in the Midwest. The firm serves nearly 30,000 clients and is responsible for over $36 billion of their assets.
To meet the regulatory requirements for Reg BI’s Care Obligation, Wintrust’s financial professionals will be using InvestorCOM PeerCompare. The intuitive app will empower them to have clear understanding of the potential risks, rewards and costs of investment recommendations and show that “Reasonably Available Alternatives” have been considered. In addition, they will be able to document their recommendations by generating recordkeeping transactions in a 17a-4 compliant manner.
“We are committed to continuously finding ways to leverage technology for the benefit of our team and our clients,” said Jim Corbett, COO, at Wintrust Wealth Management. “InvestorCOM provides an intuitive, powerful platform that makes it much easier for our reps to consider alternatives that are in their clients’ best interests.”
“We’re proud to add Wintrust to our rapidly expanding client roster,” said David Reeve, CEO at InvestorCOM. “We look forward to a long and fulfilling partnership.”
About Wintrust Wealth Management
Wintrust Wealth Management consists of four companies working in concert with each other to serve the wealth management needs of individuals, business owners, and institutions. Collectively, Wintrust Investments, The Chicago Trust Company, Great Lakes Advisors, and Chicago Deferred Exchange Company provide comprehensive brokerage and insurance, trust and estate, and portfolio management solutions with the highest standards of service and integrity in the industry. For more information, visit www.wintrust.com.
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 www.InvestorCOM.com, email firstname.lastname@example.org or call 1-800-361-9494.
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