Singular workflow for rollover recommendations 

Make best interest rollover recommendations with ease through a singular workflow to analyze, document, and disclose

The Department of Labor's ("DOL") PTE 2020-02, "Improving Investment Advice for Workers & Retirees," exemption set new requirements for advisers that provide recommendations to retirement plan participants to roll their account from a plan to an individuals retirement account ("IRA") or plan. The RolloverAnalyzer™ provides advisers with an intuitive digital solution to assess, document, and disclose rollover recommendations and meet compliance requirements in a single process. 

Tool Capabilities

Analyze Your Rollover Recommendation

Eliminate manual processes by digitally
comparing rollover recommendations
against cost, service, and fit criteria.

Fully Integrated
Plan Cost Data

Simplify rollover plan fee assessments by
inputting the client's 404(a)5, into integrated
Form 5500 and plan expense look-up tool.

Document and Disclose
the Recommendation

Eliminate multiple systems by easily transitioning from the best interest rollover recommendation
to disclosure and recordkeeping.

Schedule a demo of the
RolloverAnalyzer™ today!


HubSpot Video

• Enumerate points of analysis making it easy for the financial professional, compliance team and client to review and understand service, client fit, and cost criteria

• Auto-generated compliance text providing the 'reasons why' to support the financial professional's decision-making 

• Integrated plan cost data with instant access to Form 5500

• Easily transition from analyzing best interest rollover recommendation to disclosures with one click 

• Electronically document recommendation and recordkeeping 

• Records are kept in compliance with regulations

Rollovers are estimated to reach $760 billion annually over the next five years and there is an appetite for technology in order to meet the DOL's PTE 2020-02 regulatory requirements amongst advisers. 

RolloverAnalyzer will eliminate manual processes that can be time consuming and cumbersome for compliance teams and RIAs to review and analyze. Auto-generated compliance text provides the 'reasons why' to support the financial professional's decision-making turning analysis into thought-leadership. 

Using RolloverAnalyzer, advisers can look up employer-sponsored plans from the Form 5500 database, and leverage industry benchmark functionality hours of manual reporting. 

The RolloverAnalyzer solution was created for both state and SEC registered RIA firms in mind. 

MyRIACompliance users will benefit from the solution with a bank of educational resources and customized MyRIACompliance features to streamline processes. 

Users who choose the RolloverAnalyzer solution as a standalone solution can efficiently meet their compliance and oversight requirements. 

• Gain a proactive approach to compliance concerns

• Reduce time spent with automated rollover review and analysis

• In-house developers continuously innovating to keep up with the ever-changing world of technology and compliance requirements

• Minimize regulatory, financial, and legal risk 

• Receive expert guidance from Compliance Consultants for complex issues when utilizing our Enhanced Service 

• Collaborate with client advocates to customize the tool to match your firm’s needs 

• Easily capture, store, and review information 

• Feel confident storing data in a secure tool