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Press Release: Riskalyze and InvestorCOM Partner to Bring Rollover Compliance Workflows to Wealth Management Firms


The new partnership empowers advisors to grow their business while making compliant recommendations that are in their client’s best interest.

AUBURN, CALIFORNIA — December 20, 2022Riskalyze, the industry-leading growth platform for wealth management firms — used by tens of thousands of financial advisors to help investors invest fearlessly in all market conditions — today announced a strategic partnership with leading compliance software firm InvestorCOM. The partnership will afford advisors access to industry-leading rollover compliance workflows that include analysis of proposed rollover transactions, plan fee lookups and documenting recommendations, freeing up time for valuable face-to-face meetings with clients.

“We believe that a streamlined compliance workflow can actually be a differentiator and growth driver for firms,” said Clifton Schaller, Managing Director of Strategic Partnerships at Riskalyze. “Our strategic partnership with InvestorCOM will connect the Riskalyze growth platform with this best-in-class solution for ensuring rollover compliance, delivering sought-after workflow productivity and scale for the firms we serve.”

As a result of this integration, advisory firms can start a proposal workflow within the Riskalyze growth platform and, upon selecting “rollover analysis,” access InvestorCOM RolloverAnalyzer to seamlessly analyze and document best-interest rollover recommendations for clients. Upon completion of this component, which ensures full compliance with recently introduced Department of Labor (DOL) requirements governing retirement plan rollovers, advisors are automatically redirected to Riskalyze to complete the proposal and close new business.

“Rollover recommendations have been attracting greater regulatory scrutiny, and advisors need to stay ahead of the evolving regulatory environment. This partnership reduces compliance risk while delivering a client-focused solution.” said Parham Nasseri, VP of Product and Regulatory Strategy at InvestorCOM. “Riskalyze’s platform and market reach will foster greater awareness and adoption for our award-winning RolloverAnalyzer solution.”

Firms can leverage both products today, and the new workflow integration will enter general availability in the first quarter of 2023.

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About Riskalyze

Riskalyze is the company that invented the Risk Number®, which powers the world’s first Risk Alignment Platform and was built on top of a Nobel Prize-winning academic framework. Advisors, broker-dealers, RIAs and asset managers use the Riskalyze platform to create alignment between clients and portfolios, leverage sophisticated analytics to increase the quality of their advice, automate trading and client account management, and access world-class models and research in the Riskalyze Partner Store — all with the mission of empowering the world to invest fearlessly. To learn more, visit www.riskalyze.com.

About InvestorCOM Inc.

Since 1992, InvestorCOM has been providing regulatory compliance software and communications solutions to wealth managers, asset managers, and insurers. Our high-value, intuitive solutions eliminate compliance risk for our clients.  For more information, visit www.InvestorCOM.com, email [email protected] or call 1-800-361-9494

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