Analyze recommendations to mitigate risk

The Department of Labor’s (DOL) PTE 2020-02 "Improving Investment Advice for Workers & Retirees," exemption set new requirements for advisers, which provide recommendations to retirement plan participants to roll their account from a plan to an individual's retirement account (IRA) or plan. With rollovers estimated to reach $760 billion a year over the next five years, state and Securities Exchange Commission (SEC)-registered firms have their work cut out for them. That’s where we can help.

Our RolloverAnalyzer solution enables firms to:

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Analyze your rollover recommendation

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Review and understand service, client fit and cost criteria

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Auto-generate compliance text providing the reasons why

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Simplify rollover plan fee assessments

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Document and disclose the recommendation

Consistently document and disclose rollover recommendations

RIA Rolloveranalyzer

Compliance technology designed specifically for RIAs

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Our powerful integration capabilities facilitate data connections between MyRIACompliance and other industry-leading solutions, enhancing communications, increasing efficiency and providing a seamless customer experience.
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Industry partners

With best-in-class industry partners, we are streamlining processes and increasing accuracy for registered investment advisers and their firms.
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Superior user experience

Built on a mobile-first architecture, our platform provides a frictionless experience for you and your employees, making compliance easy and painless.
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Platform innovation

Incorporating direct feedback from COMPLY’s portfolio of firms, we continuously implement the enhancements that matter most to our clients.
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Award-winning customer service

Your experience is our top priority. With 24/5 customer service and extensive industry knowledge, you can count on a smooth and ideal customer experience.

Supporting documents

DOL Fiduciary guidance overview
New DOL prohibited transaction exemption may impact RIA firms advising on IRA rollovers
Temporary enforcement policy on new DOL PTE for RIA firms advising on IRA rollovers Is extended

Frequently Asked Questions

Who was RolloverAnalyzer created for?
Does RIA in Box’s Rollover Analyzer provide access to the Form 5500 Database?
What are the requirements for advisers which provide rollover recommendations under the Department of Labor’s (DOL) PTE 2020-02?

Ready to get started

Take advantage of a singular workflow for rollover recommendations with RIA in a Box RolloverAnalyzer.