Sent. Received. Acknowledged.

Get the ADV Part 3, the IMA, the fee disclosure, the privacy notice into every client's hands (a secure link by email, opened with identity verification) and keep a clean record showing they got it, read it, and signed for it.

Book a demo → How it works

campaign · ADV Part 3 v2025.07 in progress · day 3

Form ADV Part 3 · Annual delivery

firm-wide · 412 recipients · started Aug 03

96.4%acknowledged

Queued

412

Delivered

412

Read

408

Pending ack

recipients · 397 of 412 auto-remind in 2d

EH Eleanor Hartwell · Hartwell Family portal · email ✓ acknowledged

RT Robert Tan · Tan Trust portal ✓ acknowledged

SP Sarah Park e-sign read · 12m ago

MR Maria Rivera · Rivera UGMA portal · sms delivered

JC James Chen · Chen Family Office email reminder · 1d

Layers of proof · delivered, read & acknowledged

SHA-256

The exact sealed version, hash-bound to each delivery

1-click

Exam proof per client & document

∞

Auto-reminders until acked · or escalated to advisor

Form ADV Part 3 (Form CRS) delivery, plus every other client document.

Client document delivery is how an RIA gets a required disclosure into every client's hands and keeps a record that they got it, read it, and acknowledged it. Each document goes out as a secure link by email, opened with identity verification. The disclosures include Form ADV Part 3 (Form CRS), the brochure, the IMA, the fee disclosure, and the privacy notice. RegFin builds the evidence behind Form CRS and brochure delivery (Advisers Act Rule 204-3) and the annual Regulation S-P privacy notice.

Delivery isn't an event. It's a chain of three.

"We sent it" is not a defense in a customer dispute. RegFin captures all three: it left our system, it arrived at theirs, they engaged with it.

Delivered

The document, with its sealed hash, left RegFin as a secure link by email and landed in the client's portal. Email delivery and portal access are both captured as proof.

Email delivery confirmation
Bounce + re-send status
Secure portal access receipt

Read

The client opened the doc: portal "first-view" event, email open pixel, e-sign "viewed" event. Read time and device captured (within what each channel honestly reports).

Portal first-view event
Email open + click events
e-sign view timestamp

Acknowledged

The client took an action that constitutes acknowledgment: verified their identity, clicked "I confirm receipt," or e-signed. Tied to identity, timestamped, hashed alongside the doc.

Identity verified by one-time code
Click-to-confirm receipt
Native e-signature

A secure link by email, with proof at every step.

Each client gets a unique, expiring link by email to the document in a secure portal. They verify their identity to open it, RegFin records delivery, read, and acknowledgment, and reminders run automatically until they sign.

Secure client portal

The emailed link opens the document in a branded, access-controlled portal once the client verifies their identity. First-view, read-duration, and the "I confirm" click are all captured.

first-view · read time · confirm captured

Secure link by email

Every delivery is a unique, expiring link to the document in the portal. No sensitive attachment to forward or lose. A bounce is caught and flagged for advisor follow-up to re-send to a corrected address. Delivery and open events are part of the evidence record.

deliverability monitored

Identity verification

Before a client can open a document, they confirm a one-time code sent to their email or phone. The verification is timestamped and bound to the acknowledgment, so you can prove who opened and signed.

one-time code · email or text

Native e-signature

For documents requiring a signature: IMA, fee schedule changes, custody disclosures. Built in: identity-verified, tamper-evident PDF, certificate of completion sealed with the doc record. No separate e-sign tool to license.

built in · certificate sealed with the record

Advisor escalation

Final fallback. When reminders run out without an acknowledgment, an open task lands on the advisor's queue with full delivery context: last attempt, last bounce, last engagement, suggested next step.

escalation policy configurable

The deliveries most RIAs run.

Annual

Form ADV Part 3 · Annual

Send the refreshed Form CRS to every client; track until acknowledged. Re-deliver to net new clients on a rolling basis.

typical · 300–1,500 recipients

Triggered

IMA amendment

Send the updated investment management agreement, capture re-signature, and link the new version to the client record automatically.

scope · affected household only

Triggered

Fee schedule change

30-day advance notice with the new schedule, an opt-in (or opt-out) acknowledgment, and a clean evidence trail per client.

scope · firm-wide or book-segmented

Annual

Privacy policy refresh

Regulation S-P delivery. The silent annual that quietly trips firms up in audit. RegFin runs it on a schedule.

typical · firm-wide annually

Periodic

Quarterly performance reports

Deliver the performance package with the right disclosures attached. Marketing Rule context preserved in the delivery record.

scope · advised accounts

Onboarding

New-client packet

IMA, Form CRS, privacy notice, fee disclosure: bundled, sequenced, and acked before the relationship goes live.

scope · per new client

The delivery questions, answered.

Native e-sign is included for the common signature events: IMA, fee schedule, custody disclosures, suitability acknowledgments. The completion certificate and signed PDF are sealed into the RegFin record as evidence, so signing and recordkeeping happen in one place, no separate e-signature subscription required.

Configurable per document class. For an ADV Part 3 update, a click-to-confirm is usually sufficient. For an IMA amendment or fee schedule change, you'll typically want an e-signature. RegFin defines a default per regulatory expectation and lets you tighten or loosen with a documented policy reason.

Each campaign has a reminder schedule, typically T+3, T+7, T+14 days. Each reminder re-sends the secure link by email; if a client still hasn't acknowledged after the schedule runs, it escalates to the advisor with full context. You can override the schedule per document class or per campaign.

When an email bounces, RegFin catches it and flags the delivery for advisor follow-up. The advisor can re-send the secure link to a corrected email, and every bounce is itself archived as delivery evidence.

Yes. Email replies and portal messages archive against the campaign and the client record. If a reply contains a question or objection, it routes to the advisor's queue with the campaign context attached. This is one of the most common sources of book-of-record evidence in customer disputes.

"Show me proof you delivered the v2025.07 ADV Part 3 to Mr. Hartwell and what he did with it." One click → a PDF with the document hash, delivery channel + receipt, read events, acknowledgment timestamp, and the user-identity binding. Bates-stamped if requested. Most exam responses for this category take under five minutes.

A problematic delivery, tracked end to end.

The fee-schedule change nobody remembers getting. The ADV update with the low open rate. A demo runs a delivery like that against a demo firm, so you see the receipts, read events, and acknowledgment trail RegFin captures.

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