Form ADV · 17 CFR §275.204-1

Your annual amendment, drafted in minutes.

RegFin reads your CRD, books, custodian statements, and last year's filing, 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

XML & PDF export Parts 1A · 2A · 2B · 3 Source-cited drafts

Part 1A Part 2A · Item 8 Part 3

draft · auto-saved

Source · 4 detected Synced 12m ago

Schwab custody feed2026-01-08

New custodian relationship: Charles Schwab Trust for retirement plan assets effective Jan 2, 2026.

Books & records · CCO log2026-02-14

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.

Custodian AUM reconciliation2026-03-31

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

7.A(1) +1 IAR · +1 Custodian rel.

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

2A · Item 4 Now custodied at: Fidelity, Schwab, Schwab Trust

2A · Item 8 Method of analysis unchanged

Form ADV software

Form ADV software & annual-amendment automation.

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

The annual amendment, reframed

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

Guided review

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

Updated custodian list: Fidelity, Schwab, Schwab Trust (new). Client count updated from 842 → 847.

Source: Schwab custody feed · 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: Books & records · CCO log · 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

How it works

Four steps. Most of them aren't yours.

— 01 · Connect

Sources, once.

Pulls from your CRD record, books and records, and custodian statements, 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, custodian relationships, headcount, fee schedules, 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: a Schwab confirmation, custodian feed, or CRM 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

FAQ

The questions a CCO actually asks.

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.

Your next 90-day window opens soon

See your firm's ADV drafted live.

We pull your CRD profile beforehand. You'll see exactly what RegFin would draft for your next amendment, on your data, not someone else's screenshots.

Book a demo →