Expert articles on PTE 2020-02 compliance, rollover analysis best practices, Form 5500 insights, and tools for financial advisors.
Navigating retirement plan rollovers has always required rigorous documentation and an up-to-date understanding of regulatory trends. As we enter 2025, recent changes to Form 5500 reporting bring a new level of detail and responsibility for those of us who facilitate rollover analyses.
When we talk to financial professionals about rollover analysis, there's always one theme that surfaces: the true cost of time and the invisible risk that creeps in when the process isn't automated.
Advisors everywhere know: rollover compliance in 2026 is no longer a nice-to-have, it's a non-negotiable. The DOL and SEC have raised the bar, and regulators are demanding clear, repeatable, audit-ready processes behind every recommendation.
Handling rollover analysis can be both rewarding and daunting for financial advisors. We've learned over the years that some of the most common—and frustrating—errors are often preventable with the right process and technology in place.
PTE 2020-02 has become one of the most important compliance frameworks shaping how we, as financial advisors, document rollover recommendations for clients. Navigating the new fiduciary documentation requirements is not just about satisfying the Department of Labor.
Welcome to the Simple Advisor Tools blog, your resource for PTE 2020-02 compliance guidance, rollover analysis best practices, and financial advisor tools.
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