RIA compliance
that runs itself.
A unified compliance platform that automates quarterly advisor monitoring, verifies every fee calculation, extracts actionable tasks from your compliance manual, and maintains books & records that are always examination-ready.
Four Problems Every RIA Faces
After working with dozens of RIAs, we've identified the compliance gaps that create the most regulatory risk. This platform addresses each one systematically.
Problem #1: The Cookie-Cutter Manual Trap
Most firms buy a generic compliance manual and file it away. But here's the danger: regulators will hold you to everything that manual claims you're doing—even if you never implemented it. Your manual is essentially a contract with the SEC.
If your manual says "The CCO reviews advertising materials prior to use" but you have no ad review process, that's a deficiency. If it says "quarterly account reviews are conducted" but you can't produce evidence, that's a violation.
Our Solution: Manual-to-Tasks Extraction
We analyze your compliance manual line by line and extract every commitment into a trackable task. Each task captures:
→ Task: Ad Review | Owner: CCO | Freq: As Needed | Evidence: Approval log
We extracted 63 distinct compliance obligations from one manual. How many are in yours?
Problem #2: Billing Verification Theater
Most firms "verify" billing by spot-checking a handful of accounts—if they check at all. They compare a few invoices to fee schedules and call it compliance. That's not verification; that's hope.
When an examiner asks "How do you verify billing accuracy?" they want to see a systematic process that covers every account, every billing cycle. They want to understand your methodology. "We spot-check" isn't an answer.
Our Solution: Full Recalculation with Show-Your-Work
We don't spot-check. We recalculate every fee for every account using your fee schedules, then compare to what was actually charged. Every variance is surfaced—no tolerance threshold.
Problem #3: Advisory Monitoring Gaps
Your fiduciary duty requires ongoing monitoring of client accounts for suitability. But most firms lack a systematic way to flag concentrated positions, allocation drift, inactive accounts, or age-related risk factors across thousands of accounts.
When problems surface—an elderly client with 80% equity, a position that's grown to 40% of the portfolio—it's usually reactive. The advisor gets surprised. The CCO gets surprised. Nobody should be surprised.
Our Solution: Automated Quarterly Holdings Appropriateness Review
Every quarter, we pull fresh data from Orion and analyze every account against compliance thresholds. Each advisor receives a personalized report showing exactly what needs attention:
Problem #4: Scattered Documentation
Rule 204-2 requires specific books and records, but most firms have compliance evidence scattered across email threads, shared drives, and filing cabinets. When an examiner asks for documentation, you shouldn't need a scavenger hunt.
Every compliance action—every review, every acknowledgment, every resolution—should be timestamped, attributed, and exportable on demand.
Our Solution: Examination-Ready Books & Records
Everything in this platform is designed for regulatory examination. Every action creates a record. Every record is exportable.
→ One click: PDF with calculations, variances, resolutions, and approval chain.
Designed for the Rule That Matters Most
Rule 206(4)-7 requires every SEC-registered adviser to adopt written compliance policies, designate a CCO, and conduct an annual review. The 2024 amendments to Rule 206(4)-7(c) add specific documentation requirements for that annual review. This platform gives you the evidence trail examiners expect to see.
One Platform, Three Experiences
Executives get oversight dashboards. Back office gets compliance workflows. Advisors get their reports. Everyone sees only what they need.
Daily Money Movement
Automated dashboard delivered at 6am ET. Deposits, withdrawals, fees, wires across all custodians. Large transaction alerts.
Weekly Executive Summary
Monday morning delivery with aggregated metrics, trend analysis, and upcoming compliance deadlines.
Compliance Oversight
View all 36 advisor reports at a glance. Filter by status, identify who needs follow-up, track acknowledgments.
Billing Verification Summary
High-level view of fee accuracy firm-wide. Exception rates, resolution progress, variance trends.
Regulatory Task Calendar
All compliance obligations extracted from your manual. Who owns what, when it's due, what's overdue.
Audit-Ready Exports
One-click evidence packages for any compliance area. Ready for regulatory examination or board reporting.
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Orion Portfolio Solutions
No manual exports. No stale spreadsheets. This platform connects directly to your Orion instance and pulls fresh data for every report, every calculation, every analysis.
10 Specialized Queries
Account holdings, transactions, allocations, billing, demographics—all pulled automatically via Orion Cloud API.
Multi-Entity Support
Handle multiple databases (Main Street, Exitfour, Gen Capital) in a single unified view.
Quarter-End Snapshots
Point-in-time queries capture data as-of quarter end, not whenever you remember to run a report.
Trend Analysis
Compare current quarter to prior periods. See what's improving, what's getting worse, who needs attention.
Built for Financial Services
Your client data stays secure. Every access is logged. Every export is tracked. Every action creates an audit trail.
Passwordless Authentication
Magic links eliminate password vulnerabilities. Links expire in 24 hours, sessions in 7 days.
Role-Based Access Control
Executives see firm-wide data. Advisors see only their clients. Enforced at database level.
SOC 2 Infrastructure
Hosted on Vercel (edge) and Supabase (PostgreSQL) with enterprise security certifications.
TLS 1.3 Encryption
All data encrypted in transit. Database encrypted at rest with AES-256.
Complete Audit Trail
Every login, view, comment, and acknowledgment logged with timestamp and IP address.
Export Controls
All data exports logged. Who downloaded what, when, and why—always documented.
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