Rollover Analysis Tool
Rollover documentation that holds up when the DOL asks to see your files. Complete analysis in under 15 minutes—no enterprise contracts, no sales calls, no spreadsheets.
Interactive Demo
DOL Compliant Rollover Analysis
Walk through a sample 401(k) to IRA analysis — register to unlock all analysis types
Analysis Type
How It Works
Complete your rollover analysis in four simple steps
Gather Information
Enter client details and select analysis type: Plan to IRA, IRA to IRA, or Plan to Plan.
Collect Plan Data
Search DOL Form 5500 database by company name, upload fee disclosure documents, or enter data manually.
Analyze & Compare
Compare fees, services, and investment options. Document availability and applicability of each factor in both scenarios.
Generate Report
Create professional, DOL-compliant PDF report with all documentation and disclosures.
Pricing
Solo, Firm, or Enterprise — start with 2 free reports.
$432 billed annually
Save $108/year vs monthly
How billing worksOne login for your whole practice. Built for the person who actually does the paperwork.
2 free reports included
$1,200 billed annually
Save $300/year vs monthly
How billing worksSupervision and exam readiness for the whole office. 10 logins included.
Save 20% with annual billing
Best for firms needing 20+ accounts. Multiple offices, broker-dealers, custom onboarding, MSA, and dedicated support.
Advisors turn out a documented rollover file roughly every 12 minutes. Practice is one login. Firm includes 10 logins from $1,200/yr.
See all plans & detailsSee It In Action
Try the interactive demo, preview a sample report, or watch the annual retrospective review.
Form 5500 Database Integration
Search 500,000+ employer retirement plans by company name. Automatically pull fee information, participant counts, and asset data directly from DOL filings.
Complete Fee & Service Comparison
Compare costs, investment options, and services between current plans and proposed IRAs. Weighted scoring based on client priorities with clear visual charts.
Audit-Ready Documentation
Generate PTE 2020-02 compliant reports with complete audit trails. Professional PDFs ready for regulatory review and client files.
Annual Retrospective Review
Run the PTE 2020-02 annual retrospective review in the tool. Lock the population of completed rollovers, test a sample, and have a senior executive certify the written report.
Evaluation Process
We respect your time. Evaluate our software on your own terms.
- Request pricing information
- Schedule discovery call
- Attend sales demonstration
- Receive custom proposal
- Wait for implementation
Typical Timeline: 3-4 Weeks
Trusted by independent financial advisors
Average completion time
Retirement plans in database
PTE 2020-02 compliance
What advisors say
We have been very happy with the Rollover Analysis tool. The client interface is easy to use and straightforward, and the tool provides a complete analysis without making the process overly time-consuming. It has made it easier for us to efficiently evaluate rollover recommendations and document our analysis. The information is presented in a clear and organized format, which makes it easy for both our team and clients to understand. Overall, the tool has been a helpful addition to our rollover review process.
Data Security
We collect minimal client PII by design — no SSNs, no dates of birth, no account numbers. And what we do collect is protected at every layer.
Built for Your Compliance Obligations
As your service provider, we help you satisfy SEC Regulation S-P. We maintain the safeguards, written incident-notification commitments, and documentation your firm needs to pass vendor due diligence.
Need documentation for your files? Visit the Trust Center
Frequently Asked Questions
What is PTE 2020-02 compliance?
PTE 2020-02 is the DOL's Prohibited Transaction Exemption requiring financial advisors to document best interest analysis when recommending 401(k) rollovers to IRAs. Our tool automates this documentation process with compliant templates.
How long does rollover analysis take with your tool?
Most advisors complete a full rollover analysis in 10-15 minutes using our automated tool, compared to 1-3 hours with manual spreadsheets. The tool automatically pulls Form 5500 data and generates compliant documentation.
Do I need to be a large firm to use this tool?
No. We built this for independent advisors and small firms. Start with 2 free reports, then subscribe to Practice ($432/yr, 1 login) or Firm ($1,200/yr, 10 logins included — unlimited reports on both). The comparison is you versus doing it manually.
What is included in the free tier?
The free tier includes 2 complete rollover analyses with full access to all features — Form 5500 database, DOL-compliant PDF reports, and all analysis types. No time limit and no credit card required.
How does the Form 5500 database search work?
Our tool integrates with the DOL's Form 5500 database, allowing you to search for employer retirement plans by company name. The tool automatically pulls fee information, participant counts, and asset data.
Does the tool handle the annual retrospective review?
Yes. Every plan, including a free account, can run the PTE 2020-02 annual retrospective review. You lock the population of completed rollovers, test a sample, and certify a written report. A solo advisor certifies their own review. On a Firm plan, the manager runs one review for the team. The report is due within six months of the period end, which is June 30 for a calendar year.
Can I customize reports with my firm branding?
Yes. Upload your company logo in Advisor Settings and it appears in the header of every DOL-compliant PDF report you generate. You can also add your firm name, advisor name, and contact details, plus set default PDF presentation options (signature blocks, client acknowledgment, advisor contact in the header/footer) with per-report overrides. Advanced branding — custom colors, report themes, and white-label options — is on our roadmap for future updates.