Your annual amendment, drafted in minutes.

RegFin reads your SEC filing history, firm profile, and team roster, then walks you through every section of Form ADV Parts 1A, 2A, and 3 in a guided workflow. Changed fields are pre-filled and source-cited. Unchanged sections are marked complete. You review step by step, approve, and file.

Book a demo → How it works

Part 1A Part 2A · Item 8 Part 3

draft · auto-saved

Source · 4 detected Synced 12m ago

Firm profile · Fee schedule2026-01-08

Asset-based fee schedule updated: 1.00% on the first $1M, effective Jan 2, 2026.

Account records2026-02-14

Added two non-discretionary advisory accounts ($4.2M combined). Trust account types now include Charitable Remainder Trust.

Personnel system2026-02-28

New supervised person: Marcus Chen, IAR. CRD #5849021 verified.

Firm profile · AUM2026-03-31

Q1 close — total RAUM $847,392,104. Discretionary $812,440,200. Non-discretionary $34,951,904.

Form ADV draft · 14 fields updated Cited

5.D(1) $781,204,418$847,392,104

5.D(3) 847 individuals · 12 trusts · 4 charities

5.B(1) +1 IAR · 5 supervised persons

8.B(2) Trading authorization on RIA accounts only

2A · Item 5 Fee schedule: 1.00% on first $1M

2A · Item 8 Method of analysis unchanged

Form ADV software & annual-amendment automation.

Form ADV software automates the annual updating amendment. RegFin reads your SEC filing history and firm profile, pre-fills every changed field on Parts 1A, 2A, and 3, cites the source, and exports the filing as XML or PDF.

From six weeks of fire drill
to an afternoon of review.

The 90-day clock after fiscal year-end is the most expensive period on a CCO's calendar. RegFin compresses it.

Without RegFin

The annual scramble.

~$18K

Industry-avg consultant fee

×Email threads asking the ops team for AUM, head counts, and custodian changes
×Manual diff against last year's PDF, line by line, page by page
×Consultant bills 12–16 hours @ $375/hr to "review and finalize"
×One transposed AUM figure surfaces in next exam: a 4-page deficiency letter

With RegFin

The afternoon close.

External consultant fee

✓Every changed field auto-drafted with the source document linked inline
✓Diff view against prior filing: what changed, why, and who can verify it
✓Validated for completeness and internal consistency before you export
✓Evidence pack auto-sealed and hashed, examiner-ready for 5 years

Every section, one at a time.

RegFin breaks your entire Form ADV into a step-by-step workflow. Changed items are flagged and pre-filled. Unchanged sections are already marked complete. You approve what's right, edit what isn't, and always know exactly where you stand.

Step 4 of 6

Part 2A · Brochure Items

← →

Item 4 · Advisory business

Client count updated from 842 → 847. Regulatory AUM updated to $847M across the new advisory accounts.

Source: Firm profile · AUM & client records · Jan 8, 2026

✓ Approved

Item 5 · Fees and compensation

Fee schedule unchanged. Non-discretionary accounts added — confirm billing applies to new trust account types.

Source: Account records · Feb 14, 2026

Approve Edit

Item 10 · Other financial activities

New supervised person: Marcus Chen, IAR (CRD #5849021). Insurance license status verified — no outside business activities disclosed.

Source: Personnel system · Feb 28, 2026

Approve Edit

Item 8 · Methods of analysis

No changes detected from prior filing.

Unchanged

Item 14 · Client referrals

No changes detected from prior filing.

Unchanged

Four steps. Most of them aren't yours.

01 · Connect

Sources, once.

Pulls from your SEC filing history, firm profile, and team roster, connected once. Done in minutes.

One-time setupMinutes

02 · Monitor

Continuous detection.

Every business day, RegFin scans for material changes that map to ADV items: AUM bands, headcount and team changes, fee schedules, client counts, disciplinary events.

Detection latency≤ 24 hr

03 · Draft

Pre-filled, cited.

When the 90-day window opens, your amendment is already drafted. Every changed field links to the source: your latest SEC filing, firm profile, or personnel record.

Draft time0 min

04 · Export

Validated and ready.

Validated for completeness and consistency. Export your filing as XML or PDF. The evidence pack (diff, sources, validations) is sealed and hashed for the next exam.

Export time~ 90 sec

Your questions, answered.

A ready-to-file package. RegFin generates a complete draft with every change cited, then exports it as XML or PDF. You review, approve, and file it yourself. Nothing leaves without your explicit approval.

RegFin monitors continuously and flags any material change that triggers an other-than-annual amendment under 17 CFR §275.204-1(a)(2) (disciplinary events, custody changes, control-person changes) within 24 hours of the source event. The same drafting workflow applies.

Yes. You can keep your consultant in the loop. RegFin handles the data gathering and drafting, so they become a reviewer rather than a preparer. The same workflows can run your entire ADV practice in-house, too.

Part 2A is harder than Part 1A because it's narrative. RegFin uses your prior brochure as the baseline, flags only the items that changed (Items 4, 5, 8, 10, 11, 14, 18 are the typical hot spots), and proposes redlines you accept or reject. You're never staring at a blank page.

Yes. Form CRS is generated from the same data layer. If your services, fees, or conflicts of interest change, the draft updates automatically and we surface what needs to be re-delivered to existing clients per SEC Release No. IA-5247.

For each filing, RegFin produces an evidence pack: the prior version, the new version, a redline, every source document for every changed field, and a SHA-256 hash sealed at submission time. Examiners have asked for this directly; it's what we built it for.

See an ADV amendment drafted live.

A demo walks the annual amendment against a demo firm's CRD profile: what RegFin flags, what it drafts, and the citation behind every change. You see the real workflow, not a slide deck.

Book a demo →