Everything an RIA needs to stay clean.
RegFin is an all-in-one RIA compliance platform. It's compliance management software that unifies archiving, trade monitoring, vendor due diligence, Form ADV, and reporting on one audit trail.
Built as one platform, not a portfolio of bolt-ons. An email captured in archive is the same record the marketing reviewer sees, the trade monitor cites, and the Form ADV draws from at year-end.
Archive & Capture
The foundation. Capture every regulated communication, every version of every document, with an immutable record that holds up in audit.
Archiving
Capture every channel an advisor actually uses (email, iMessage, SMS, WhatsApp, social media, and websites) via our in-house native pipeline. WORM-sealed, full-text searchable, evidence-grade.
- iMessage native
- WhatsApp native
- Social · Web
- 17a-4 WORM
- 10y retention default
Documents
The ADV, the IMA, the DDQ. Living documents with hashed versions, side-by-side diffs, and a sealed PDF for every save. Templates that pull from live data so the doc never drifts from the system of record.
- SHA-256 hashed
- Side-by-side diff
- Template library
- WORM sealed
iMessage Archiving
Business texts from an advisor's personal iPhone land in the same WORM record as email. BYOD-friendly, so the advisor keeps their own number, with backfill of prior history included.
- BYOD
- Own number
- Backfill
- WORM sealed
Surveillance & Trade Monitoring
Catch the breach before the auditor does. Rules engine tuned to RIA-specific risks: concentration, drift, restricted-list, cross-trades, gifting.
Trade Monitoring
Holdings and trades checked against your policy library. Concentration drift, cash drag, restricted-list, cross-trades, all flagged for review and evidenced before exam.
- 12+ built-in rules
- Preclearance
- Restricted list
- Statement import
AI Copilot
Triage assistant for the CCO's queue. Drafts the rationale, surfaces the cited rule, flags the cited precedent. Every AI action carries the same audit trail as a human one.
- Citation-required
- Role-based access
- Audit-tagged
- Reversible
Reporting
The reports examiners ask for: Form ADV reconciliation, marketing review summary, trade exception ledger, vendor risk dashboard. Pre-built, parameterizable, on a schedule.
- Exam pack
- Scheduled exports
- PDF · CSV
- Parameterizable
Governance & Filings
Third-party risk, marketing compliance, and the annual filings. These are the recurring obligations that quietly trip firms up between exam cycles.
Vendor Due Diligence
The vendor registry. Tier-1/2/3 classification, annual DDQ workflow, sub-processor change alerts, SOC 2 attestation tracking. Auditable evidence of vendor risk management.
- Tier 1/2/3
- Annual DDQ
- Sub-processor pings
- SOC 2 / ISO
Marketing Reviews
Marketers submit. AI screens for testimonial, performance, hypothetical, and disclosure violations. CCO approves in one click. Approvals carry the AI rationale into the evidence record.
- AI pre-screen
- Disclosure check
- Channel-aware
- SLA tracked
Content Library
Pre-approved marketing content stored in a reusable library. Deploy as-is or customize with AI pre-screening. Every deployment auto-archived with full provenance.
- Pre-approved
- AI re-screen
- CRM deploy
- Auto-archive
Form ADV
Form ADV 1A, 1B, 2A, 2B, 3 (CRS) drafted from the live state of the platform. Diff against last year. Examiner-grade narrative checks. Export a filing-ready package to take into IARD.
- Live AUM reconcile
- YoY diff
- Narrative QC
- Filing-ready
Workflow & Operations
The day-to-day. Forms with logic, a CRM that knows about compliance state, and an AI layer that triages before the human looks.
Forms & Tasks
Annual attestations, COI declarations, gifts & entertainment, onboarding checklists. Every form is a workflow with assignees, SLAs, escalations, and a sealed PDF outcome.
- Conditional logic
- SLA tracked
- e-sign
- Sealed PDF
AI Consultant
The Copilot threaded through every workflow. Search-and-summarize, draft rationale, propose remediation, generate the exam response. Cited, scoped, auditable.
- Citation-required
- Your permissions
- Audit-tagged
- Drafts & rationale
Built for Investment Advisers
The overview for a registered firm. RegFin is investment adviser compliance software that runs trade monitoring, archiving, Form ADV, and marketing review as one recurring program, purpose-built for RIAs rather than a generic multi-industry suite.
- RIA-first
- Annual review
- SEC & state
- Cited AI
For Compliance Consultants
Run a consulting practice on the platform. Every client firm in one login, firm templates applied at onboarding, forms and tasks distributed from your masters, and client judgment calls escalated to your queue.
- One login
- Firm templates
- Distribution
- Escalations
Client & Delivery
Where the firm meets the client. Document delivery with three layers of evidence, and reports examiners can read without your help.
Client Document Delivery
Get the ADV Part 3, the fee disclosure, and every required document into every client's hands, with a clean record showing they got it, read it, and acknowledged it.
- Sent · accessed · ack'd
- Delivery audit log
- Expiry & revoke
- e-sign native
Reporting
The reports examiners ask for, pre-built and parameterizable. Marketing review summary, trade exception ledger, vendor risk dashboard, books-and-records pulls, Form ADV reconciliation. PDF and CSV.
- Exam pack
- Scheduled exports
- PDF · CSV
- Audit trail
One platform, every way in.
Same platform, different doors. The phone for compliance on the go, an AI assistant that works your records under your own permissions, and an API for connecting RegFin to the rest of your firm's systems.
Mobile
The CCO's queue, the trade exceptions, the marketing approvals. Everything that used to wait for the laptop now works on the phone. Full platform, responsive, no app install required.
- Any device
- Responsive UI
- Push notifications
- Full platform
MCP & AI Agents
Connect Claude, Copilot, or any AI assistant to the platform over MCP so it can read and act on your records on your behalf. Same permissions, same audit trail.
- MCP server
- Any AI assistant
- Your permissions
- Audited
API
Wire RegFin into the rest of the stack. Clean REST API for clients, accounts, archives, and compliance data. Same permissions, same audit trail, same immutable record.
- REST API
- JSON responses
- Token auth
- Versioned
Not sure where to start?
Three paths most firms take, based on what's hurting most this quarter.
"We're failing an exam on archive."
Start with Archiving. Stand up iMessage, SMS, and WhatsApp capture, then backfill from your existing systems on the same path, so your archive is current and complete before the next exam.
See Archiving →"Marketing reviews are a bottleneck."
Start with Marketing Reviews. The AI pre-screens every draft for testimonial, performance, and disclosure issues, and the CCO approves in one click, so reviews stop being the bottleneck.
See Marketing Reviews →"Vendors are uncontrolled."
Start with Vendor Due Diligence. Tier the registry, schedule the DDQ campaign, watch sub-processor changes. Get to a defensible vendor risk story before the next exam.
See Vendor Due Diligence →Pick a feature, we'll demo it.
A working session focused on the capabilities that matter most to your firm. You'll see the real product, not a deck.
Book a demo →