For solo & small-shop SEC/state-registered RIAs — compliance officer in a tab

A compliance officer in a tab.

Marketing-rule scanner, Form ADV checker, disclosure generator, deadline calendar, and a real-time compliance health score — all backed by SEC Rule 206(4)-1 and Advisers Act citations. ComplySci-grade output at 1/4 the price.

Start 14-day free trial — $49/mo→See it scan a paragraph

Rule 206(4)-1 (a)(1)–(d)(8) encoded into every prompt. Findings cite the exact subsection.

Part of the AEQUARA Suite · 42 AI tools · Not legal/financial advice

23
SEC + state deadlines tracked — annual ADV update, custody exam, code-of-ethics, 13F, Form PF, AML, state renewals
$2,000–$8K
ComplySci / MCO monthly cost vs. $149/mo for the same Marketing Rule + Form ADV coverage
< 1 min
Setup time vs 4–8 weeks for enterprise compliance suite onboarding

Compliance that actually compiles

⚖️

Marketing-Rule scanner

Paste any client-facing copy. Sentence-by-sentence red/amber/green ratings with the exact Rule 206(4)-1 subsection cited and a concrete fix suggested.

📋

Form ADV Part 2A checker

Severity-ranked findings list — required disclosures missing, internal contradictions, plain-English readability, conflict-of-interest gaps, custody coherence.

📝

Disclosure generator

Wizard outputs fee schedule, custody, conflicts, performance, and complaint-process language tailored to NY, CA, TX, FL, or generic state law.

📅

Compliance calendar

23 SEC + state deadlines (annual ADV update, custody surprise exam, code-of-ethics affirmation, 13F, Form PF, AML, state renewals). Email reminders 7 days out.

📊

Compliance health score

0–100 dashboard score with red/amber/green status, weighted by marketing-asset risk, open ADV findings, and upcoming deadlines.

🗂️

Marketing-asset library

Save scanned assets. Re-scan after edits. Watch the rating climb from red to green and ship with confidence.

TRUSTED BY EARLY USERS · ★★★★★ AVERAGE

“
✓ Verified

Marketing Rule scanner flagged 4 sentences in my newsletter for Rule 206(4)-1(a)(1) violations. Fixed before the SEC exam. No deficiencies.

D
David R.
Solo RIA, $85M AUM, NY
“
✓ Verified

Form ADV checker caught a conflict-of-interest disclosure gap that my compliance consultant missed. At 1/10th the hourly cost.

P
Priya M.
Two-person RIA, $120M AUM, CA
“
✓ Verified

The 23-deadline calendar with email reminders means I haven't missed a filing in 14 months. Annual ADV, custody exam, code-of-ethics — all tracked.

J
James L.
Solo RIA, $45M AUM, TX

One monthly price. Save $1,850+ per month vs. ComplySci.

Starter

$49/mo

Marketing-Rule scanner + compliance calendar — the two highest-risk surfaces for most solo RIAs.

  • Unlimited Marketing-Rule scans
  • 23-deadline compliance calendar
  • Email deadline reminders (7 days out)
  • 14-day free trial

30-day money-back guarantee

MOST POPULAR

RIA Compliance Copilot

$149/mo

Full compliance suite — ADV checker, disclosure generator, health score, asset library. Cancel any time.

  • Unlimited Marketing-Rule scans
  • Unlimited Form ADV section reviews
  • Disclosure generator (all states)
  • 23-deadline compliance calendar
  • Email deadline reminders (7 days out)
  • Compliance health score dashboard
  • Marketing-asset library + re-scans
  • Cancel anytime — no annual lock-in
  • 14-day free trial

30-day money-back guarantee

Frequently asked

How does this compare to ComplySci or MyComplianceOffice?

ComplySci/MCO start at ~$2,000/mo and scale up. They are built for 50+ user firms with broker-dealer affiliates. RIA Compliance Copilot is built specifically for the solo or 1–3-person RIA shop that needs Marketing Rule and Form ADV review without a six-figure compliance budget.

Are you giving legal advice?

No. The tool surfaces likely issues based on the published text of SEC Rule 206(4)-1 and common state RIA frameworks. RIAs should retain qualified securities counsel for legal advice. The product is positioned as a first-pass review and disclosure-generator assistant.

How accurate is the AI?

Every prompt is constrained to the encoded text of Rule 206(4)-1 and Form ADV Part 2A item structure. The model returns structured JSON with rule citations — not free-form opinions. Heuristic checks (sentence length, hedge-phrase density, custody/fee contradictions) run alongside the model to catch easy signals deterministically.

Is RIA Compliance Copilot worth $149/mo?

Compliance consultants charge $300–$500/hr for Marketing Rule and Form ADV review. At $149/mo you get unlimited scans with Rule 206(4)-1 subsection citations — the equivalent of 30 minutes of consultant time per month, for a fraction of the cost.

What if I don't get results?

The 14-day free trial does not bill until day 14; cancel before then to pay $0. If Marketing Rule scans do not produce subsection-cited findings in your first session, email us within 7 days for a full refund.