Professional workspace

Audit-Ready Rollover Analysis

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

Demo Mode

DOL Compliant Rollover Analysis

Walk through a sample 401(k) to IRA analysis — register to unlock all analysis types

Analysis Type

No credit card required
AES-256 Encrypted — All client data encrypted at rest and in transit
SOC 2 Type 1 In Progress — Certification currently underway
Your Data Stays Yours — Never sold or shared with third parties
PTE 2020-02 Aligned
Form 5500 Data
Audit-Ready Docs
2 Free Reports
DOL Enforcement Active

How It Works

Complete your rollover analysis in four simple steps

1

Gather Information

Enter client details and select analysis type: Plan to IRA, IRA to IRA, or Plan to Plan.

2

Collect Plan Data

Search DOL Form 5500 database by company name, upload fee disclosure documents, or enter data manually.

3

Analyze & Compare

Compare fees, services, and investment options. Document availability and applicability of each factor in both scenarios.

4

Generate Report

Create professional, DOL-compliant PDF report with all documentation and disclosures.

Pricing

Solo, Firm, or Enterprise — start with 2 free reports.

Billing:MonthlyAnnualSave 20%
Solo Practice
Self-Serve
$600/year

Save $120/year vs monthly

One advisor. Unlimited reports. No team features.

Single advisor account
Unlimited rollover reports
Full Form 5500 database access
DOL-compliant PDF reports
Firm logo on every report
Email support
Cancel anytime

2 free reports included

Most Popular
Firm
Whole Office
$1,200/year

Save $300/year vs monthly

5 team accounts included. Unlimited reports. Add accounts as you grow ($120/yr each).

Up to 5 team accounts included
Additional accounts $120/yr each
Unlimited rollover reports
Team oversight & activity log
Retrospective compliance reviews
Full Form 5500 database access
DOL-compliant PDF reports
Firm logo on every report
Email support
Cancel anytime

Save 20% with annual billing

Multi-Office / Enterprise
From $3,000/year

Best for firms needing 20+ accounts. Multiple offices, broker-dealers, custom onboarding, MSA, and dedicated support.

20+ team accounts & unlimited reports
Multiple office locations
Custom contracts & security review
Dedicated onboarding
Volume pricing
Contact Sales

InvestorCOM charges $1,500 + $300/seat. Firm includes 5 team accounts and unlimited reports from $1,200/yr.

See all plans & details

See It In Action

Try the interactive demo or preview a sample report — from data gathering to compliant documentation.

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.

Learn more

Try service comparison in the live demo

Start Interactive Demo

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.

Learn more
Audit-Ready Documentation - Sample rollover analysis report

Audit-Ready Documentation

Generate PTE 2020-02 compliant reports with complete audit trails. Professional PDFs ready for regulatory review and client files.

Learn more

Evaluation Process

We respect your time. Evaluate our software on your own terms.

Traditional Sales Process
Typical enterprise software vendor approach
  1. Request pricing information
  2. Schedule discovery call
  3. Attend sales demonstration
  4. Receive custom proposal
  5. Wait for implementation

Typical Timeline: 3-4 Weeks

Self-Directed Evaluation
Immediate access for professionals
  1. Register with business email
  2. Immediate full platform access
  3. Test with real client scenarios
  4. Generate compliant reports
  5. Subscribe if it meets your needs

Timeline: Instant Access

Trusted by independent financial advisors

10-15 min

Average completion time

500,000+

Retirement plans in database

100%

PTE 2020-02 compliance

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.

Encrypted at Rest and in Transit
Client names and financial data are encrypted with AES-256 before reaching our database. All connections use TLS 1.2+.
Multi-Factor Authentication
Protect your account with authenticator-app-based MFA, available on every plan.
Complete Audit Trail
Every analysis, report, and login is logged with timestamps and user details — ready for compliance reviews.
Pursuing SOC 2
Our platform follows SOC 2 Trust Services Criteria. Type 1 certification is currently in progress.
See our full security practices
SEC Regulation S-P

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.

72-Hour Breach Notification
A written commitment to notify you as soon as possible, and no later than 72 hours, after we become aware of a breach involving client information we hold on your behalf.
Written Safeguards Program
Documented information security, incident response, and business continuity policies aligned with SEC Regulation S-P and the SOC 2 Trust Services Criteria.
Vendor Due-Diligence Ready
Subprocessor register, Data Processing Addendum, and security documentation available on demand so your compliance file stays current.

Need documentation for your files? Visit the Trust Center

Frequently Asked Questions

PTE 2020-02 Compliance Guide What audit-ready documentation looks like Compare PTE 2020-02 documentation tools

Get 2 Free Reports

No credit card required · Full access · No time limit

Sign up with just your email and start analyzing in 30 seconds

No credit card required
2 complete reports included
No time limit - use anytime