Complete Rollover Analysis Automation
Comprehensive tools designed specifically for independent advisors navigating PTE 2020-02 requirements.
Form 5500 Database Integration
Search 500,000+ Retirement Plans Instantly
Our tool integrates directly with the Department of Labor's Form 5500 database, giving you instant access to comprehensive plan data without manual research.
- Search by company name across entire DOL database
- Automatically populate plan fees and expenses
- View participant counts and total plan assets
- Access historical data for trend analysis
- Save hours of manual data entry
Click to play demonstration
Cost Analysis
Comprehensive Fee Comparison with Multiple Data Sources
Compare current plan costs against proposed IRA fees with multiple data collection methods to ensure accuracy.
- Form 5500 Lookup: Automated database search
- Document Upload: OCR parsing of fee disclosures
- Manual Entry: Direct input with validation
- Industry Benchmarks: Fallback for incomplete data
- Total expense ratios and fee breakdowns
Service Analysis
Compare Service Offerings Side-by-Side
Objectively compare the services available in current retirement plans versus proposed IRA arrangements.
- Investment options and portfolio management
- Financial planning and advisory services
- Estate planning and wealth transfer
- Tax optimization strategies
- Online access and mobile app availability
Click to play demonstration
Compliant Documentation
Audit-Ready Reports for PTE 2020-02 Compliance
Generate professional, comprehensive reports that meet all DOL documentation requirements.
- Upload your firm logo — displayed in PDF report headers
- Analysis overview with client information
- Detailed cost comparison breakdowns
- Side-by-side service factor analysis
- Three options presented objectively
- Complete disclosures and acknowledgments
Compliance Features
Built for Regulatory Requirements
Complete audit trail and compliance features to meet all PTE 2020-02 requirements.
- All required factors documented
- Best interest standard application
- Complete disclosure language
- Audit trail that feeds the annual retrospective review
- AES-256 encryption for storage
Click to play demonstration
Click to play demonstration
Annual Retrospective Review
PTE 2020-02 Annual Review, Written Report, and Certification
Once a year, PTE 2020-02 requires a look back at the rollover recommendations that relied on the exemption. The review locks a population, tests a sample, and ends with a senior executive certification.
- Lock the population of completed rollovers for the period
- Draw a sample and record the method
- Test each file against the Impartial Conduct Standards
- Log violations, corrections, and Form 5330 follow-up
- Senior executive certification that locks the written report
Support for All Common Rollover Scenarios
Three analysis types to cover every situation
Roadmap: Enhanced Features in Development
2026 Additions
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.
Annual retrospective review questions
What is the PTE 2020-02 annual retrospective review?
It is the yearly look-back required by Section II(d). The firm reviews the rollover recommendations that relied on the exemption, writes down the method and the results, and has a senior executive certify the report within six months of the period end.
Which plans include the retrospective review workbook?
Every plan, including a free account with two reports. A solo advisor reviews their own rollovers and certifies the report. On a Firm plan, the manager runs one review across the team.