DOL Readiness Lifeline for Broker-Dealers launched by Xtiva

Broker-dealers can leverage new programs to assess, prepare for and implement the DOL Rule

New York, NY. – November 3, 2016 — Xtiva Financial Systems, announces the launch of a suite of programs focused on helping investment firms ensure their readiness for the new DOL regulations. Developed by Collaborative Solutions Group (CSG) – a full service consulting firm – in conjunction with Xtiva, the program includes a webinar and full day workshop designed to assist broker-dealers and RIAs in ensuring they are prepared for the advent of the DOL Rule in 2017. Firms can also access expert implementation and change management support to augment their in-house resources.

Gretchen Wilson, CSG Executive Consultant explained, “The demands that the DOL Rule places on advisors and firms to evolve at the same time as they are striving to manage and grow their business is unprecedented. This programming has one goal – help them plot the best path, unique to their firm.”

The Program offers two core components. A webinar which navigates participants through a review of key DOL/Best Interest issues that will impact revenue, field compensation and advisor practices. Participants have the opportunity to engage with industry leaders, ask questions around key areas of concern as well as hear unique perspectives and ideas. Joining CSG and Xtiva on the webinar will be experts from Dalbar who offer unique insights on the issue of reasonable compensation.

And, for firms who need a deeper dive, the full day Program is ‘hands-on’ with their executive teams to assess how the DOL Rule will affect their ‘Go-to-Market’ tactics and key enabling functions across their business such as strategy, marketing and communications, operations, recruitment, retention, training and finance of their business. The focus will be minimizing business disruption while ensuring supervision and compliance with the new rules. Firms will develop a clear understanding of their readiness gaps and their path forward. The Programs help participants come away with a richer understanding of how they may need to respond to the DOL rule to ensure they are ready for success under a Best Interest Standard.

“We’ve been an Incentive Compensation Management firm for 20 years. Many of our clients are looking to us to help them navigate these DOL waters. And of course we have responded with this Program and other investments to ensure our clients can make the very best of the DOL Rule,” said Thomas Moysak, Chief Executive Officer at Xtiva. “We partnered with CSG to build a Program with significant strategic value for our clients and reduce their DOL related business risks.”

The Programs are available immediately. Firms can learn more by contacting Xtiva directly.

About Xtiva:

Xtiva Financial Systems, Inc. provides a suite of innovative sales performance management tools and services exclusively for financial services via the Xtiva Cloud platform. Over 80 enterprise broker-dealer, RIAs, custodians and insurance firms use Xtiva’s award-winning software, services, and support to maximize their salesforce investments and business performance. Xtiva’s customer obsessed team is dedicated to ensuring our customers and their partners achieve more everyday. Learn more at, via Twitter and on LinkedIn.

About Collaborative Solutions Group:

Collaborative Solutions Group is a seasoned team of C-suite executives who leverage their broker-dealer and Registered Investment Advisor (RIA) experience and knowledge to craft solutions to drive their client’s business forward. Success in the Home Office is driven by success in the field so whether clients need to refine business strategy, navigate business or regulatory changes or implement complex strategic initiatives, CSG brings objectivity and outside perspective. For more information, visit


Xtiva Financial Systems, Inc.
Rick Scearbo
Chief Revenue Officer

Collaborative Solutions Group
Gretchen Wilson
Senior Executive Consultant