Practical tips, workflows, and best practices for independent financial advisors and RIAs.
27 articles
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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