Cetera Financial Group

Broker/Dealers: 1,000 Advisors or more (Practice Management, Technology)

Cetera Financial Group (“Cetera”), the nation ’ s second-largest independent financial advisor network, is a leading network of independent firms empowering the delivery of objective financial advice to individuals, families and company retirement plans across the country.

Initiative

DOL DynamIQs

Cetera created DOL DynamIQsTM, a comprehensive suit e of integrated tools and resources designed to enable financial institution investment programs and advisors to prepare for the Department of Labor ’ s fiduciary rule and thrive in the new regulatory environment it has created.

iQuantify is a diagnostic tool that enables advisors to assess their readiness for the rule and helps them map out an actionable game plan to achieve compliance with minimal disruption to their business. iQuantify was designed to help prepare advisors ’ businesses for asset conversion and transition into DOL com pliant solutions.

iAnalyze is a business management dashboard that identifies re venue, assets and accounts impacted to better understand the scope of effort required to resolve these potential business risks. iAnalyze pulls data from multiple sources to deliver a single view of the investment program ’ s and advisor ’ s business across multiple revenue streams and product categories to quantify and evaluate the direct DOL fiduciary impact on their business at an account level.

The next phase of iAnalyze will provide detailed, actionable steps in order to efficiently and effectively transition client accounts. This analysis will help provide a direct roadmap to transitioning client accounts, as well as consulting support that helps ensure the transition is quick and efficient.

Additionally, the tools provided within the DOL DynamIQs program are fully integrated with Cetera’s Pentameter® practice management platform and its Connect2Clients® advisor marketing communications support platform, each of which are industry award winning turnkey resources.

DOL DynamIQs

Cetera created DOL DynamIQsTM, a comprehensive suite of integrated tools and resources designed to enable financial institution investment programs and advisors to prepare for the Department of Labor’s fiduciary rule and thrive in the new regulatory environment it has created.

iQuantify is a diagnostic tool that enables advisors to assess their readiness for the rule and helps them map out an actionable game plan to achieve compliance with minimal disruption to their business. iQuantify was designed to help prepare advisors’ businesses for asset conversion and transition into DOL compliant solutions.

iAnalyze is a business management dashboard that identifies revenue, assets and accounts impacted to better understand the scope of effort required to resolve these potential business risks. iAnalyze pulls data from multiple sources to deliver a single view of the investment program’s and advisor’s business across multiple revenue streams and product categories to quantify and evaluate the direct DOL fiduciary impact on their business at an account level.

The next phase of iAnalyze will provide detailed, actionable steps in order to efficiently and effectively transition client accounts. This analysis will help provide a direct roadmap to transitioning client accounts, as well as consulting support that helps ensure the transition is quick and efficient.

Additionally, the tools provided within the DOL DynamIQs program are fully integrated with Cetera’s Pentameter® practice management platform and its Connect2Clients® advisor marketing communications support platform, each of which are industry award winning turnkey resources.

Category Finalists

Broker/Dealers: 1000+ Advisors (Technology)

Broker/Dealers: 1000+ Advisors (Practice Management)

Key Business Leader

Robert J. Moore
CEO

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