Operations·Capability hub
Rollover Compliance
Tools that automate fiduciary documentation, cost-comparisons (Form 5500 lookup), and "Best Interest" rationale for IRA rollovers.
What's shifting
From manual disclosures to AI-drafted best-interest rationales
Rollover documentation traditionally meant chasing Form 5500 PDFs and hand-writing fiduciary rationale for each prospect. AI extractors now ingest plan documents and instantly produce side-by-side cost comparisons and PTE 2020-02 narratives. This compresses the rollover workflow from days to minutes while strengthening the fiduciary audit trail.
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How the work actually gets done
The top software vendors firms use here, and the features those tools actually ship.
Market landscape
9 vendors · 9 with profiles
LeaderEstablished, scaled incumbents.ChallengerMeaningful traction, gaining share.AIAI-native — built around LLMs / agents.DigitalDigitally native — app-first, no branches.