Skip to main content
Platform Agent library
Marketing and referrals Prospects and proposals Client onboarding Client meetings Client service Portfolio oversight Billing and fees Data and reporting Compliance and risk
Wealth Management / RIA Family Office Fund Administration Asset Management Private Equity Venture Capital Pension / Endowments RIA Aggregators
Factory Platform of Work Trust About Us Login Get in touch
Agent library / Client onboarding / Rollover and exchange paperwork

Rollover and exchange paperwork

PitCrew reads the plan or contract statements, assembles the side-by-side comparison your policy requires and prepares the paperwork, including Form CRS where your policy requires it. The advisor reviews and records the reasons.

When it runsWhen a rollover or exchange is recommended
Who approvesThe advisor, then compliance
Works withPlan and contract statements, CRM
Get in touchDescribe your version of this task

How it works

5 steps. Nothing is written or sent until step 4.

  1. Reads the statementsPlan or contract statements, fees and features
  2. Builds the comparisonCurrent plan against the proposed account
  3. Prepares the paperworkForms, plus Form CRS where your policy requires it
  4. A person approvesAdvisor reviewsAdds the reasons for the recommendation
  5. Files for complianceComparison and reasons together

What it reads and what it produces

Reads

  • Plan or contract statements
  • Your rollover policy

Produces

  • A comparison document
  • The paperwork packet
  • A file compliance can review

Rules it follows

  • Never makes the recommendationThe advisor decides and records the reasons.
  • Flags missing informationFees or features it could not find are listed.

Questions firms ask

Last updated: October 2026

Why document the comparison?

Regulators expect firms to show why a rollover was in the client's interest. An undocumented comparison is hard to defend in an exam.

How long does it take to set up?

5 working days from data access to the first production run. PitCrew experts connect your systems and enter your firm's rules.

More in Client onboarding

See all of Client onboarding →

Client form automationFills in custodian, transfer and agreement forms from client data you already have and flags what's missing.New account onboarding reviewChecks each new account packet before it goes to the custodian, so it is not sent back.Client intake and document collectionSends the right document checklist for each new client, tracks what's arrived and reminds clients about the rest.Account transfers and re-registrationTracks every transfer from another firm until the assets arrive, and chases the exceptions.Internal new-client form and approvalsBuilds the internal new-client form from the CRM and the signed agreement, and routes it for sign-off.Custodian form version checkMakes sure every form going out is the custodian's current version.Annuity application reviewChecks annuity applications for missing information and required documents before they go to the carrier.IPS draftingDrafts an investment policy statement from your template and the client's profile.
Don't see your work?

We build it with you, from data access to the first production run in 5 working days.

Tell us the task