One login
Every client firm, switched in one click
Your compliance practice,
on one platform.
RegFin is the technology vendor behind your consultancy or outsourced CCO service. Onboard new firms in one flow, shape each program to how you structure your engagements, and publish forms, tasks, and policies to your clients in a few clicks. One platform to manage and oversee every firm you serve.
Meridian Point Advisors
Tier: Full program · 14 users
Harborlight Wealth
Tier: Core · 3 users
Cedar & Vale Capital
Tier: Core · 6 users
Bright Harbor Planning
Tier: Starter · onboarding
Switch into any client firm · access scoped to firms that engaged you · every switch logged
Tiers
Package your program once, apply it per client
Versioned
Form distributions versioned per client, task pushes logged
4 levels
Escalation urgency, from low to critical
Scoped
You see only firms that engaged you, audit-logged
What is RegFin for compliance consultants?
RegFin for compliance consultants is a multi-client workspace on the same platform RIAs use directly: the practice onboards each client RIA into its own separate environment, applies packaged program tiers, distributes forms and tasks from master copies, and answers escalations, all from one login, with access scoped to the firms that engaged it and every switch logged. Most compliance software treats a consultant as a guest seat in someone else's system; RegFin treats the practice as a first-class operator.
Package once. Onboard in one flow. Operate at leverage.
01 · Package
Turn your program into tiers
Build service tiers out of your own material: form templates, recurring task templates, and folder structures, grouped the way you sell (a starter program, a core program, a full program). The tier is your product, captured once.
02 · Onboard
New client, one workflow
Create the client firm, pick the tier, and RegFin applies the whole package and invites their CCO by email in a single transactional flow. Day one, the client logs into a working compliance program instead of an empty tool.
03 · Operate
Run every program from one seat
Switch into any client firm and work with the full platform inside it. Distribute updated forms and tasks from your master copies, form distributions versioned per client and every task push logged, and keep every firm's record separate and exam-ready.
Judgment calls, routed to you
The recurring program runs itself. What reaches you is the work worth your rate.
When a client firm hits something that needs your judgment, a marketing piece they are unsure about, an alert they cannot dispose of, a question the rules do not answer cleanly, they escalate it to your practice inside the platform, with an urgency level from low to critical.
The escalation lands in your queue with the item attached and the client's context one switch away. You review, attach a written recommendation, and the client accepts or declines it on the record. The entire exchange is part of both firms' audit trails, which means the advice you gave, when you gave it, and what the client did with it is documented without anyone writing a memo about it.
That changes the economics of a retainer. The routine layer, monitoring, recordkeeping, and the daily "what does the rule say" questions, is carried by the platform and its cited AI assistant. Your hours concentrate where judgment actually pays, and taking on the next client stops meaning hiring for it.
Marketing deck: hypothetical performance section
High
Preclearance exception: restricted-list trade
Critical
Custody question on a new SLOA arrangement
Normal
Annual review sign-off: testing scope
Normal
What a consulting practice gets
Every capability below is live in the product today; none of it is roadmap.
Service tiers
Your program, productized
Bundle form templates, task templates, and folder structures into named tiers that mirror how you package your engagements. Draft, activate, and archive tiers as your practice evolves.
Client onboarding
From engagement letter to live program
One workflow creates the client firm, applies the tier's templates, and invites their CCO. If any step fails, nothing half-exists: the whole onboarding commits together.
Distribution
Forms and tasks, pushed from masters
Maintain one master copy of each form and recurring task. Form distributions are versioned per client and every task push is logged, so you know which firm is on which revision, and a client's local assignments are never overwritten by a re-push.
Escalations
A queue for the judgment calls
Client firms escalate items to your practice with urgency levels. You attach recommendations; clients accept or decline on the record. Both sides keep the audit trail.
AI assistant
Cited answers inside every client firm
The platform's AI consultant answers regulatory questions with citations to the rule, grounded in each client firm's own records, and carries the routine layer of every program you run.
ExploreDelivery & approvals
Sent, received, acknowledged
Deliver policies, disclosures, and review items with tracking on delivery, opens, and acknowledgment, the same evidence chain firms use with clients, applied to the consultant relationship.
ExploreAlready work with a consultant? Both sides fit.
Your consultant is on RegFin
Engage them inside the platform
If your consulting firm runs on RegFin, your firm gets the full escalation workflow: raise an item with an urgency level, get a written recommendation back, and accept or decline it on the record. Their program tiers keep your forms and tasks current without email attachments.
Your data stays yours. The consultant's access is scoped to your engagement and every context switch into your firm is logged in your audit trail.
Your consultant is elsewhere
Route approvals through document delivery
A third-party consultant does not need a RegFin seat for your record to stay clean. Send policies, marketing pieces, and review items through client document delivery and collect their sign-off as a tracked acknowledgment: sent, opened, acknowledged, with the evidence attached to the item.
When the engagement deepens, inviting your consultant onto the platform upgrades that paper trail into the full escalation workflow.
To be clear about what this is: RegFin is the platform, not the consultancy. We do not provide compliance consulting, we do not compete with your practice for advisory work, and nothing about running your clients on RegFin moves their regulatory responsibility. Under Rule 206(4)-7, each adviser firm keeps ultimate responsibility for its own program and designates its own CCO, whoever administers the day-to-day.
Consultants and firms weighing the build-versus-buy question first should start with our outsourced compliance page, which is honest about the other direction too: what software carries, and when a firm still needs a human expert. This page is for the experts.
Questions consultants ask
Yes. Consulting practices sign up as a consultant firm and administer every client RIA from one login: onboarding each client into its own RegFin environment, applying packaged program tiers, distributing forms and tasks from master copies, and handling the escalations clients raise. Each client firm keeps its own separate data, users, and audit trail.
Through the consultant workspace. You see the firms that have engaged your practice, switch into any of them in one click, and work inside that firm with the full platform. Access is scoped to your managed firms only, and every context switch is recorded in the audit log, so both sides can always answer who was in the system and when.
Tiers are your service packages captured in software: named bundles of form templates, recurring task templates, and folder structures that mirror how you sell your engagements. When you onboard a new client, you pick the tier and RegFin applies the whole package, so a new firm starts with your program on day one instead of an empty tool.
A client firm escalates an item, a marketing piece, an alert, a question, to its consultant with an urgency level from low to critical. The escalation lands in the consultant's queue, the consultant attaches a written recommendation, and the client accepts or declines it on the record. The exchange is preserved in both firms' audit trails, so the advice and the outcome are documented automatically.
Yes. Firms working with an outside consultant who is not on the platform route approvals through client document delivery: send the policy or marketing piece, and collect the consultant's sign-off as a tracked acknowledgment with sent, opened, and acknowledged timestamps attached to the record. It is the same evidence chain firms use for client disclosures, pointed at the consultant relationship.
The client firm, always. Under Rule 206(4)-7 each registered adviser adopts its own written policies, reviews them at least annually, and designates its own Chief Compliance Officer, and that responsibility does not transfer to a consultant or to any software vendor. RegFin gives the consultant leverage and the firm a documented program; it does not move accountability, and we are careful never to claim otherwise.
The platform behind
your practice.
See the consultant workspace on a demo firm: the client switcher, a tier applied end to end, and an escalation answered with a recommendation on the record. Built for practices that want a bigger book, not a bigger back office.