Fiduciary Excellence for Independent Practices
Professional Compliance Tools for Individual Practitioners. Enterprise features without enterprise prices.
Designed for Your Practice
The Solo Advisor Challenge:
You're competing against large firms and wirehouses, but enterprise compliance tools treat you like an afterthought—expensive annual contracts, complex implementations, and features you'll never use.
Our Approach:
We built this tool specifically for solo advisors who need:
- Professional, client-ready documentation
- Full DOL compliance without massive overhead
- Flexibility to scale as your practice grows
- Transparent pricing you can budget for
Why Solo Advisors Choose Us
Affordable Pricing
InvestorCOM charges $1,500 + $300/seat. Solo advisors get unlimited reports from $60/mo — a fraction of enterprise per-seat pricing.
Fast Setup
No weeks-long implementation. Start your first analysis in 5 minutes with our intuitive interface.
Full Compliance
Complete PTE 2020-02 documentation with professional reports that position you as a serious, established advisor.
Built for Solo Practices
Designed specifically for individual advisors who need professional tools without enterprise overhead.
Same Tech as the Big Firms
Don't let compliance overhead limit your client time. Our platform automates the heavy lifting so you can focus on what matters—your clients.
Efficiency = More Client Time
Reduce 3 hours of manual work to 15 minutes.
Defensible Recommendations
Sleep well knowing your documentation is audit-ready.
Fits Seamlessly Into Your Process
Client Discovery
Use the tool during client meetings to demonstrate your thorough, objective analysis process. Visual comparisons help clients understand their options.
Proposal Preparation
Generate professional rollover proposals quickly. Include all required compliance documentation in client presentations.
Compliance Management
Maintain complete audit trails and documentation for all rollover recommendations. Annual retrospective reviews become simple database exports.
Practice Growth
Demonstrate your process to COIs and referral partners. Show you take fiduciary responsibility seriously.
Everything Your Practice Needs
Custodian Agnostic
Works with any custodian (Schwab, Fidelity, TD Ameritrade, Pershing, etc.). No proprietary limitations.
Professional Documentation
Client-ready PDFs with your logo, firm name, and contact details on every report.
Complete Audit Trail
Electronic recordkeeping meets DOL's 7-year retention requirement. Searchable archives for compliance reviews.
Form 5500 Integration
Access to 500,000+ plan database. Automated fee extraction saves hours of research time.
Scalable Pricing
Month-to-month plans that grow with your practice. No getting locked into enterprise contracts.
Why This Investment Makes Sense
Time Savings:
- Manual analysis: 2-3 hours per rollover
- With our tool: 10-15 minutes per rollover
- Average solo advisor completes 5-10 rollovers/year
- Annual time savings: 10-20 hours
Revenue Protection:
Proper documentation protects rollover revenue. Average rollover asset size: $150,000-300,000. Typical annual revenue per rollover: $1,500-3,000.
ROI: Protect just one rollover to cover 4+ years of tool costs
Why Choose Us Over Enterprise Competitors
| Feature | Enterprise Tools | Rollover Analysis Tool |
|---|---|---|
| Target Market | Large enterprises | Solo advisors |
| Annual Cost (solo) | $1,800+ ($1,500 + seat) | $600/yr ($60/mo) |
| Setup Time | 2-4 weeks | 5 minutes |
| Contract | Multi-year / Annual | Month-to-month |
| Form 5500 Access | ✓ | ✓ |
| Pricing Transparency | Contact sales | Listed publicly |