1
— Client record · everything linked
Compliance CRM · the spine
A CRM built for the compliance record.
One record links every client, household, account, attestation, communication, and review. When an examiner asks "what did this client get and when did they sign for it," the answer is one search, not three systems.
EH
Eleanor Hartwell
— Hartwell Family · 4 members
3 entities · 9 accounts
Active
$4.82M
— linked records
Custodial accounts · 3 custodians linked
9
Documents · IMA, ADV Part 3, KYC, Trust docs
23
Attestations · suitability, KYC, risk tolerance
7
Trade events · model trades + manual blocks
142
Annual review · due Apr 28
12d
Communications · email, SMS, calls, portal
418
— recent activity
Suitability attestation acknowledged · all 4 household members
Apr 12
Beneficial-owner refresh sent to Eleanor & Robert Hartwell
Apr 09
Annual review reminder sent — suitability refresh due for acct …8821
Apr 08
∞
— Custom fields per client · no extra cost
6
— Modules every record connects into
100%
— Communications tied to the client they're about
What is a compliance CRM?
A compliance CRM is a client relationship system built around the compliance record: every client, household, account, attestation, communication, and document review linked to one client file. RegFin keeps that file exam-ready, holding the delivery, signature, and communication evidence the SEC recordkeeping rule for advisers (Advisers Act Rule 204-2) expects an RIA to produce.
Not Salesforce. Not Redtail.
A compliance CRM where compliance lives natively, not as a bolt-on.
Generic CRMs treat compliance as an integration problem: somewhere over there, in some other tool, your firm has the attestations and the archive. Then an audit happens and the work begins.
RegFin's CRM is the same record. When you open a client, you see the agreements they signed, the version of the ADV Part 3 they received, the attestations that are current, and the communications archive, without leaving.
— Generic CRM
Sales tool with compliance fields bolted on
- Client + activity records, no document delivery proof
- Notes field stands in for actual attestations
- "Custom fields" for compliance data instead of structured records
- Communications log is partial: texts and DMs missing
- Marketing and outreach live in yet another tool
- Audit pull means CSV exports + a Bates-stamping job
— RegFin CRM
Client record + compliance record · same row
- Every delivered document is hashed, sealed, and linked
- Attestations are first-class records, not free-text notes
- Compliance status tracked natively: attestations, reviews, and exceptions on the same record
- Every comm channel archived to the client without extra work
- Marketing, outreach, and contact management built in, no third tool
- Audit pull is one client, one click: a Bates-stamped export
One record · six dimensions
What lives on a client record.
Each client is one row in the CRM and six dimensions of evidence underneath it, all reachable from a single page.
Identity & KYC
Legal name, DOB, citizenship, beneficial ownership, source of wealth, suitability profile, risk tolerance, sanctions screening, refreshed on a schedule the firm sets.
— KYC
— OFAC / sanctions
— beneficial owner
Accounts & entities
Custodial accounts at every venue, entity structure (trusts, LLCs, IRAs, joint), beneficiaries, account-level fee schedules and household linkage.
— multi-custodian
— households
— fee schedule
Documents
IMA, ADV Part 3, trust docs, account-opening packets: every version delivered, every signature timestamped, every read-acknowledgment recorded.
— versioned
— signed
— sealed
Attestations & reviews
Annual suitability, fee disclosure receipts, periodic risk-tolerance updates, custodian-required attestations, running on cycles, archived with evidence.
— annual
— event-driven
— evidenced
Communications
Every email, SMS, call note, portal message, and meeting summary linked to the client they're about, captured automatically through the archiving channels.
— email
— SMS
— call notes
Trading & portfolio
Model assignment, allowed/restricted holdings, manual override history, and trade event linkage. The compliance context lives with the client, not in a separate tool.
— model tracking
— restricted lists
— overrides
Households & entities
Built for the way RIAs actually structure relationships.
A client is rarely "just a client." It's a person, plus a joint account with a spouse, plus a trust, plus a 401(k) rollover, plus a UGMA for the kids. RegFin handles the whole topology. It bills, attests, and reports at whatever level your firm operates.
Add a household member and the fee schedule, agreements, and required attestations propagate. Move an account between entities and the linkage rebuilds. The document trail follows.
HF
Hartwell Family
— household · 4 members · 9 accounts
$4.82Mhousehold AUM
EH
Eleanor Hartwell
— primary contact · taxable + IRA
$1.94M
RH
Robert Hartwell
— spouse · joint + IRA + Roth
$1.61M
HRT
Hartwell Family Revocable Trust
— entity · trustee: Eleanor & Robert
$1.07M
JH
Junior Hartwell · UGMA
— minor · custodian: Eleanor
$202K
— billing aggregates at household
0.85% blended
What you can do from a client record
The verbs that a CCO actually uses.
Deliver, e-sign, and acknowledge
Send a fee disclosure, ADV Part 3 update, or IMA from the record, capturing delivery method, version, read time, and signature.
Schedule reviews on cadence
Annual review, suitability reaffirmation, beneficial-owner refresh, KYC: set the cadence per client or use the firm-wide default.
Push policy changes at scale
Update household agreements, propagate fee schedule changes, retire a model. The affected client records update with versioned diffs and re-sign tasks.
Search across everything
"Show me every client whose suitability cert expired in Q1 and who held SPY through Apr 1." Searchable across structured fields and archived comms.
Export the client file
One client, one ZIP: documents, signed attestations, communications, trade events, review notes. Bates-stamped and hash-manifest included.
Permission by role & book
Advisors see their book; the CCO sees the firm. Sensitive sections (suitability notes, beneficial owners) can be scoped tighter, and the access log is itself archived.
Outreach & marketing
Send newsletters, event invitations, and campaign emails from the same record that holds the compliance evidence. Deploy pre-approved content from the Content Library directly to client segments. Every message archived automatically, no separate marketing tool required.
FAQ
The questions a CCO actually asks.
Yes. That's the goal. RegFin is a full CRM: client management, marketing and outreach, communications, and compliance all live in one record. RegFin syncs your contacts from Salesforce, Redtail, or Wealthbox, and CSV imports bring your history with you, so you can switch at your own pace. Keeping the client record, the compliance evidence, and the outreach tools in one place removes the reconciliation work that running multiple systems creates.
Two paths. Existing CRM and custodian exports (CSV, Salesforce, Redtail, Wealthbox) import on the first pass. After that, the client record is updated by the work happening inside RegFin: every attestation, document, and archived comm writes to the record automatically.
During the transition, absolutely. That's what the integrations are for. Import your client data via CSV on the first pass, and RegFin can sync your contacts from Salesforce, Redtail, or Wealthbox so records stay aligned while your team gets comfortable. The goal is consolidation, not permanent dual-entry: RegFin handles client management, outreach, communications, and compliance in one record, so everything an examiner might ask about lives in one place.
Households can include non-client members with limited records, useful for joint accounts, beneficiary tracking, and household-level reporting. The non-client member doesn't trigger attestations or reviews; they're just part of the topology so beneficial ownership, household AUM, and joint-account documents reconcile cleanly.
Yes. Custom fields, custom sections, role-based visibility, advisor-private notes, and your firm's own activity types are all configurable. The compliance-relevant scaffolding (KYC fields, attestations, document delivery records) is fixed by design, but everything around it is yours.
From the client record: one click → ZIP file. Inside: documents (versioned and hashed), signed attestations, the full communications archive for the period requested, trade events with policy-band context, review notes, and a manifest of every file with timestamps and integrity hashes. The same export works at the household, the book, or the firm level.
Live in two weeks
Bring us your messiest client.
Multi-entity household, three custodians, two trusts, fifteen attestations a year? Tell us about them. The first thing we'll do on the demo is build them as one record.
Book a demo →