All The Tools You Need For DOL Compliance--In One Location

  • Account Review & Assessment - Gives advisors a holistic view of their clients' accounts so that they can take a proactive approach towards compliance 
  • Communication Tools - Create customized communication plans with built-in notes, audit trails and workflow
  • Documentation & Audit Trails - Generate, distribute and manage documents including necessary BIC disclosures
  • Automated Compliance Actions - Automate compliance actions such as converting to fee-based accounts, executing a BIC or transitioning to robo-advisor solutions
  • Dashboards & Reporting - Follow progress with robust audit and tracking capabilities, including dashboards and reporting tools at both the firm and advisor level