Greenboard
AI-based compliance platform for RIAs, broker-dealers and funds: archiving, marketing review, trade and staff compliance
- RIAs
- Broker-dealers
- Asset managers
Compliance & riskCustom quote
Compliance & riskHeld-away 401(k) managementRIA compliance platformsInvestment research and analytics
Due Diligence Works
Rollover and Reg BI documentation software plus product due diligence research for advisors, BDs and banks
Founded 2016duediligenceworks.comNot yet confirmed by the company
What it does
Due Diligence Works (DDW) is a product research firm that also sells regulatory technology for documenting rollover and best-interest recommendations. Buyers range from individual advisors and RIAs to independent broker-dealers, larger RIAs and banks.
Its ERISA Engine walks advisors through DOL PTE 2020-02 rollover workflows for 401(k), 403(b), TSP and IRA-to-IRA moves, with automated plan expense lookup, product cost comparisons, configurable forms and branded output. The Reg BI Engine lets representatives compare reasonably available alternatives across product types using DDW's four-box scoring, within a product shelf the firm controls. Both draw on the Platform Works research portal covering funds, ETFs, annuities and structured products. Enterprise clients get integrations with Salesforce, DocuSign, Docupace and Pershing.
DDW was founded in 2016 by Michael C. Freeman and Jack M. Cramer. Advisors can buy RegReadyPro's Advisory Rollover Edition for $750 per advisor per year, or $1,250 with the Reg BI Engine; enterprise pricing is quoted.
Best for
- Serves
- RIAs, Broker-dealers, Banks and trust companies
Features
- DOL PTE 2020-02 rollover workflows
- Automated 401(k) plan expense lookup
- Reg BI alternatives comparison
- Configurable forms and branded outputs
- Product research portal
- Recommendation documentation
Pricing and deployment
- Pricing model
- Per seat
- Published pricing
- RegReadyPro Advisory Rollover Edition $750/advisor/year; with Reg BI Engine $1,250/advisor/year; enterprise by quote
- Deployment
- Cloud
Integrations
Integrations
- Docupace
- DocuSign
- Salesforce
Custodians supported
- Pershing
Coverage from The Daily Network
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