We’re working on an

RIA Compliance Watchdog

for Proactive Monitoring and Risk Alerts, powered by AI

To help advisors avoid making mistakes in client paperwork and communications, and to help CCOs find out if they do!

 

REVIEW THE FEATURES – TELL US WHAT YOU THINK

FOR ADVISORS AND MARKETING

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  • Document Analysis

    Upload any document, from customer agreements to ads or web copy and get back a risk-assessment highlighting any dubious text and suggesting alternatives.

  • Message Screening

    The system monitors outgoing email, SMS and social media for risky language. It can alert Advisors and CCOs, and block high-risk messages from being sent.

  • Meeting Assistant

    An AI Agent joins an Advisor’s meetings to take notes and action items and distribute them to participants, while also coaching the Advisor on words too close to the line.

FOR COMPLIANCE OFFICERS AND OWNERS

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  • Proactive Alerts

    You will receive email alerts for any possible violations or “close-calls” based on the risk thresholds you established, along with full details of the incident, for follow up.

  • Advisor Scorecards

    You get scorecards rating each Advisor’s compliance track record across the different media they use (email, social, meetings, docs), so you know where the risks lie.

  • Communications Archive

    The system logs all Advisor email, SMS, and social media messages in real-time, and maintains a fully searchable archive to comply with record-keeping rules.

 

Or before we invest in building this out…

It’s just five questions

Who is it for?

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RIA Comply is designed for owner-CCOs who need all the help they can get to ensure compliance, without it consuming their day, and it helps mid-sized and large firms reduce the burden of scrutiny on the CCO.

It complements existing compliance solutions that focus on checklist-driven operational tasks, with real-time active monitoring of all communications from advisors and marketing to ensure compliance with the SEC Marketing Rule and other regulations, including: fiduciary duty, disclosure obligations, and anti-fraud provisions.

Benefits

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Optimizing Messaging:

Advisors can refine their messaging by repeatedly analyzing documents to create the best-reading, compliant copy.

Preventing Mistakes:

The platform helps prevent costly compliance mistakes by flagging risky language in real-time or shortly after.

Coaching for Improvement:

Real-time coaching helps Advisors adopt compliant language more naturally in their communications over time.

Marketing Your Value:

The platform helps RIAs and their advisors, market their value effectively without breaking compliance rules.

Staying Out of Trouble:

RIA Comply makes it easier for CCOs to keep their firm off of the SEC’s radar, without involving hours of scrutiny.

Before we invest in building this out…


Or

It’s just five questions