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About this Product
Manage document delivery and recordkeeping from a single platform:
- Create, send and track delivery of compliance documents (Form CRS).
- Manage all recordkeeping aspects of the disclosure event.
- Integrated reporting at advisor/client/branch/enterprise level.
About InvestorCOM Inc.
InvestorCOM is a leading provider of regulatory compliance software and communications solutions for banks, asset managers, insurance companies and investment dealers in the financial services industry.
Our innovative suite of FinTech solutions were developed in response to increasing regulation and the demand for more effective communication and disclosure from the financial services industry.
Since 1992, InvestorCOM has been providing regulatory compliance pain relief for global wealth managers. Our compliance platform for Reg BI is well suited to satisfying the principles set out by US regulators and supports the key categories of disclosure and record-keeping, adviser and process oversight, and investment product selection and monitoring.
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Serving RIAs Since
Discount for Schwab Clients?
0719-93C0
API integration is available through Schwab OpenView Gateway®, which is provided by Performance Technologies, Inc. (“PTI”). Single sign-on is provided by PTI. Daily data files and trading integration are available through Charles Schwab & Co., Inc. ("CS&Co"), a registered broker-dealer and member SIPC. Not all third party providers listed on this site have integration agreements with Schwab. Schwab OpenView Gateway® and Schwab OpenView MarketSquare™ are services of PTI.
References to third parties on this site (whether such parties are vendors participating in a service of PTI or independent advisors using a service of a participating vendor) are not an endorsement or recommendation of, or an opinion (favorable or unfavorable), or advice about, or a referral to any product or service of any third party. Advisors are solely responsible for evaluating, selecting, and purchasing products and services offered by third party vendors. Unless indicated otherwise, third parties are independent and not affiliated with PTI or its affiliates.
Schwab Advisor Services includes the custody, trading, and support services of Charles Schwab & Co., Inc. ("CS&Co"), a registered broker-dealer and member SIPC, and the technology products and services of PTI. PTI and CS&Co are separate companies affiliated as subsidiaries of The Charles Schwab Corporation, but their products and services are independent of each other. PTI’s integration solutions integrate data about accounts custodied at CS&Co.
Access to Electronic Services may be limited or unavailable during periods of peak demand, market volatility, systems upgrade, maintenance, or for other reasons.