Integration
RIA Compliance Automation
Automate the deadline-driven, high-stakes compliance work of an RIA — Form ADV amendments, SEC marketing-rule review, and books-and-records — with an audit trail on every step.
RIA compliance automation applies AI and workflow automation to the recurring, high-stakes compliance work of a registered investment adviser: tracking and preparing Form ADV amendments, reviewing advertising and testimonials against the SEC marketing rule, and maintaining books-and-records — auditable, on time, and inside your own environment.
The problem
Compliance that runs on deadlines and manual review
A registered investment adviser carries a steady compliance load: the annual Form ADV amendment (and interim updates when material things change), review of every piece of marketing against the SEC marketing rule, and books-and-records you must be able to produce on request. Most firms run this on spreadsheets, calendars and a compliance officer’s memory — workable until it isn’t.
We automate the tracking and the first-pass review. The system watches for the triggers that require an ADV amendment, manages the amendment workflow to deadline, checks advertising and testimonials against marketing-rule requirements (flagging missing disclosures and risky claims for a human), and keeps an organised, retrievable books-and-records trail.
The solution
Where automation removes the friction
SEC marketing-rule review, first pass by AI
The marketing rule (206(4)-1) made advertising review a recurring, judgement-heavy task. We build a first-pass reviewer that checks each ad, social post or testimonial for required disclosures, fair-and-balanced presentation, and prohibited claims — surfacing issues with the rule reference, so your compliance officer reviews exceptions instead of every word. It supports the human; it does not replace the sign-off.
Auditable, inside your environment
Every check and amendment is logged with its basis, inside an environment you control, so you can produce a defensible record for an examiner. Firm and client data never leaves your boundary or trains a public model.
Example workflows we build
- Form ADV amendment trigger detection & workflow
- SEC marketing-rule (206(4)-1) review of ads & testimonials
- Disclosure and prohibited-claim flagging
- Books-and-records organisation & retrieval
- Audit logging with rule basis on every check
The results
The commercial impact
Our approach
From manual to automated
- 01Map your compliance calendar
We document your ADV cycle, marketing-review process and books-and-records obligations.
- 02Automate tracking & first-pass review
ADV amendment triggers and workflow, marketing-rule checks, and records organisation.
- 03Keep the human in control
Flagged items route to your compliance officer for the decision and sign-off, with the rule basis attached.
- 04Deploy & audit
Go live inside your environment with a complete, retrievable audit trail.
Why a custom build beats off-the-shelf
- Tuned to your ADV cycle, marketing process and record obligations — not a generic checklist.
- First-pass review supports your compliance officer; the sign-off stays human.
- Runs inside your environment; firm and client data never leaves or trains a public model.
- Every action logged with its basis for examiner-ready defensibility.
Frequently asked questions
Can AI really help with the SEC marketing rule?
Yes — as a first-pass reviewer. It checks each ad or testimonial for required disclosures, fair-and-balanced presentation and prohibited claims, flags issues with the rule reference, and routes them to your compliance officer for the decision. It supports the sign-off, it doesn’t replace it.
Does it handle Form ADV amendments?
It detects the triggers that require an amendment, manages the amendment workflow to deadline, and keeps the record — so the annual and interim updates don’t slip.
Is the output defensible to an examiner?
Yes — every check and amendment is logged with its basis, inside your environment, so you can produce a complete, retrievable record on request.
Where does our data live?
Inside your environment, with role-based access. Firm and client data never leaves your boundary or trains a public model. We work under NDA.
How long does it take?
Most compliance builds go live in 6–10 weeks depending on the scope of marketing review and your records setup.
What does it cost?
Engagements are fixed-price and scoped to the outcome. Every engagement is fixed-price with ROI targets agreed up front, backed by our 90-day ROI guarantee. Book a free audit for a clear price and ROI estimate.