Practical tips, workflows, and best practices for independent financial advisors and RIAs.
22 articles
PTE 2020-02 retrospective review checklist for rollover files streamlines compliance, cuts audit time, and secures client assets—boost regulatory efficiency now.
When a clean fee disclosure is missing, Form 5500 data enables a DOL-compliant rollover analysis with robust documentation and efficient due diligence.
PTE 2020-02 Advisor Workflow automates client intake, fee benchmarking, and audit-ready reporting for risk-free compliance and fast, scalable rollovers.
Advisors rigorously evaluate PTE 2020-02 documentation software in 2026 to streamline compliance, protect fiduciary duty, and save time with audit-ready tools.
Roth Catch-Up Contributions in 2026 demand robust audit-ready rollover documentation. Advisors gain efficiency, error reduction, and stronger compliance.
This blog explains how to automate PTE 2020-02 disclosures for retirement rollovers to ensure DOL compliance with complete, audit‑ready documentation, including fiduciary acknowledgments, detailed fee comparisons, and a full disclosure checklist. It provides practical templates, step‑by‑step workflo
This blog explains how rollover analysis software—essential for meeting DOL’s PTE 2020-02 compliance—can benefit RIAs by reducing time and risk through automated, audit-ready processes. It highlights budget-friendly options, including plans as low as $149/year, and contrasts these with more expensiv
The blog explains how leveraging compliance automation—using tools like Simple Advisor Tools—streamlines building DOL-compliant rollover analyses by automating tasks such as data retrieval from Form 5500 and fee comparisons. However, it emphasizes that while automation reduces manual workload and im
The blog outlines essential steps and documentation required for creating audit-ready rollover files under DOL's PTE 2020-02 rules. It provides a comprehensive checklist, best practices, and tips on leveraging automation tools to streamline compliance and build a robust audit trail that meets s
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