Diligence Infrastructure for Recordkeeper Oversight
Plan sponsors and fiduciaries overseeing investment menus face growing regulatory scrutiny, rising participant counts, and manual processes that weren’t built for the volume.
Data Analytics
Digitize Your Recordkeeper Oversight Process
Replace Excel / Word based process with an AI-powered system for collecting data from recordkeepers, evaluating investment options, and maintaining a defensible record of every oversight action — from initial selection through periodic re-review.
- Centralize all submissions, supporting documents, and follow-up items in one auditable workspace
- Track outstanding items and response status across recordkeepers and fund managers without relying on email
- Maintain a complete record of every data request, submission, and change — organized by plan, recordkeeper, and review cycle
AI & Analytics
AI-Powered Analysis and Documentation
Fiduciary oversight requires documented, defensible decision-making at every stage. DV Assist accelerates the analytical work — extracting data from fund documents, generating review summaries, and flagging outliers — while keeping your team in the review and approval seat for every output.
- AI document extraction pulls key metrics, expense ratios, KPI data, and risk disclosures from documents automatically
- Generate record keeper review summaries and investment option benchmark reports with AI, reviewed and approved by your fiduciary team
- Produce fiduciary documentation packages — meeting minutes, investment policy compliance evidence, and periodic review records — ready for DOL examination or participant inquiry
Network Intelligence
Regulatory Monitoring and Ongoing Oversight
Recordkeeper oversight doesn’t end at the initial selection. DiligenceVault’s network intelligence layer monitors the SEC registered firms — via ADV filings — so your fiduciary process has early warning, not late discovery.
- Monitor Form ADV filings across fund managers in your investment lineup with real-time change alerts on AUM, ownership, DRPs, and disciplinary history
- Access live Blaze standard profiles from record keepers maintained directly by the source — current, structured data without re-requesting through your recordkeeper
Related Insights
Explore other use cases
Investment Compliance and Subadvisor Oversight
Automate attestations, reviews, and risk monitoring to maintain proactive compliance and transparent stakeholder reporting.
ManCo Diligence
Build a repeatable, scalable oversight framework for assessing and monitoring delegates and service providers.
Manager Research
Digitize and centralize manager sourcing, evaluation, and monitoring to accelerate investment decisions and streamline IC memo creation.
Operational Due Diligence
Digitally transform due diligence with automated DDQs, document review, risk analytics, and regulatory data integration for scalable oversight.
Record Keeper Diligence
Streamline recordkeeper oversight with structured data collection, benchmarking, and ongoing monitoring workflows.
Responsible Investing
Collect and track ESG data across your manager universe with standardized frameworks.
AI-Powered RFP/DDQ and Investor Reporting Automation
Auto-draft responses to RFPs and DDQs from your approved content library using DV Assist.
Investor Letters and Database Management
Streamline periodic investor reporting with automated data pulls and templated outputs.
Blaze Data Bridge
Connect and sync data across systems with seamless integrations built for asset management workflows.
Form ADV Filings
Access and analyze Form ADV filings to support manager research and regulatory compliance.
Service Provider Diligence
Build a repeatable, scalable oversight framework for tracking service provider relationships and tri-party confirmations.
See how DiligenceVault supports recordkeeper oversight
Whether you’re a plan sponsor conducting periodic fiduciary review, an RIA overseeing client retirement assets, or a compliance team preparing for a DOL examination, we’ll walk through the workflow most relevant to your oversight obligations.