RIA-first
Purpose-built for advisers, not a generic multi-industry suite
RIA compliance software,
purpose-built for advisers.
RegFin is RIA compliance software built specifically for SEC- and state-registered investment advisers (RIAs). It runs the recurring compliance program: trade monitoring, communications archiving, Form ADV, marketing review, and the tasks and attestations behind the annual review. An AI consultant answers day-to-day questions with citations to the rules and your firm's own policies.
✓ Built for
✓SEC-registered investment advisers (RIAs)
✓State-registered advisers and ERAs
✓Dually registered firms (the advisory side)
✓The Chief Compliance Officer running the program
— Not built for
—Standalone broker-dealer supervision (WSPs, FINRA filings)
—Bank BSA / AML programs
—Insurance compliance
1 program
Recordkeeping, code of ethics, and marketing review in one place
Cited
The AI consultant answers with the rule and record behind it
Priced for you
Replaces spreadsheet-and-email compliance for growing firms
What is investment adviser compliance software?
Investment adviser compliance software is the system of record an RIA uses to run its compliance program: capturing communications, monitoring personal trading, managing Form ADV and filings, reviewing marketing, and producing the evidence an SEC or state exam asks for. "Financial services" is a broad category (banks answer to BSA/AML rules, broker-dealers to FINRA), but RegFin is built for one segment, the Investment Advisers Act program an RIA actually runs, and serves it end to end.
Q3 access-person attestations
Code of Ethics · 14 of 18 signed
JO
Due Sep 30
Annual review evidence pack
Rule 206(4)-7 · assembling from record
RV
In progress
ADV annual amendment
Form ADV · sealed evidence · filed Mar 28
AF
Complete
Every completed item leaves sealed evidence for the annual review
Who RegFin is built for.
RegFin is built only for investment advisers, and every capability is scoped to the Advisers Act obligations an RIA actually carries. That focus is why it fits an advisory firm out of the box, and why we say plainly where it does not apply.
Built for
SEC and state-registered investment advisers
- RIAs registered with the SEC or a state securities regulator
- Exempt reporting advisers and firms approaching a registration threshold
- Dually registered firms: the advisory program end to end, with FINRA-cited answers from the AI library
- The CCO and compliance team running the day-to-day program
- Advisory firms replacing spreadsheets, shared drives, and email chains
Not a fit for
Firm types with a different rulebook
- Broker-dealers needing a FINRA supervisory system (Reg BI, WSPs)
- Banks and credit unions running a BSA / AML program
- Insurance carriers and agencies under state insurance codes
- Multi-industry compliance teams needing one tool across all of the above
What RegFin does.
The pieces of an investment management compliance program, each a module you can open on its own. Every tile links to the detail page for that capability.
AI compliance consultant
Ask what a rule says, whether the firm did something, or who signed. Answers come back grounded in your records with citations, no hallucinated rules or invented dates.
Explore →Trade monitoring & preclearance
Personal-trading review under the Code of Ethics rule: preclearance, restricted lists, blackout windows, and the holdings and quarterly transaction reports the rule requires.
Explore →Communications archiving
Capture email, social, SMS, WhatsApp, and iMessage to WORM storage, with AI surveillance over the archive. The books-and-records evidence an exam asks for.
Explore →Form ADV & annual amendment
The software reads your CRD record and your firm's data on the platform, pre-fills the changed fields for the annual amendment, and shows the source behind every proposed edit.
Explore →Marketing review
Every post, ad, and deck cleared against the SEC Marketing Rule before it ships. AI pre-screening flags testimonial triggers, performance claims, and hypothetical-return language.
Explore →Compliance calendar & tasks
Track every attestation, filing, and review to done. Drag-build forms auto-assign tasks, and each completed item leaves sealed evidence for the annual review.
Explore →Vendor due diligence
Track SOC 2 reports, signed DDQs, financial-health checks, and renewal dates on each vendor record, with the service-provider oversight Reg S-P now expects.
Explore →Reporting & dashboards
The CCO dashboard, board report, exam packet, and annual review, pre-built, current, and exportable. The evidence of a working program, ready when the regulator asks.
Explore →How AI-native compliance software is different.
Most compliance software is a filing cabinet with reminders: it stores your records and pings you before a deadline. RegFin reads the record and reasons over it. Ask whether an email trips the Marketing Rule, when you last delivered a client's Form ADV, or who signed the current Code of Ethics, and the AI consultant answers with the exact rule clause and record behind it.
That matters at exam time. A generic chatbot answers from memory and can invent a citation; RegFin's consultant retrieves the records it cites before it answers, and every prompt and response is archived alongside your books, so your AI usage is itself examinable. See our guide to evaluating AI compliance software, our comparison of the best RIA compliance software for 2026, or the AI consultant in detail.
Can we post this client testimonial on LinkedIn?
Yes, with conditions. A client testimonial is covered by the Marketing Rule, so the post has to carry clear disclosure that the person is a client, whether they were paid, and any material conflict, and it needs to stay on file. Your Marketing Policy routes it through review before it ships.
§ 275.206(4)-1(b)
Marketing Policy v4
Every answer retrieves the rule and record it cites
Which SEC rules RegFin helps RIAs meet.
SEC compliance software is only useful if it maps to the actual rulebook. RegFin's workflows track the core obligations of the Investment Advisers Act. Each rule below links to the primary text on eCFR and to the module that supports it.
17 CFR 275.204-2
Books and records
The recordkeeping rule. RegFin captures communications to WORM storage and preserves the trade, delivery, and attestation records the rule requires, retrievable for an exam.
17 CFR 275.206(4)-7
Compliance program
The compliance rule: written policies, a designated CCO, and an annual review. RegFin runs the calendar, tasks, and evidence trail behind the review, and the reports that document it.
17 CFR 275.204A-1
Code of ethics
Personal-trading rules for access persons. RegFin runs preclearance, restricted lists, and the holdings and quarterly transaction reports the rule requires, with attestations built in.
17 CFR 275.206(4)-1
Marketing Rule
Governs advertising and testimonials. RegFin reviews every piece of marketing against the rule before it ships and archives the review record for the file.
Investment adviser vs. broader financial services compliance software.
"Financial compliance software" is a category with several firm types under it. Here is where RegFin fits, and where it does not, so you can qualify the tool before you book a demo.
Where RegFin fits
The investment adviser slice
If your firm is a registered investment adviser, RegFin runs the whole program: recordkeeping, the code of ethics, the compliance rule, and the Marketing Rule, with an AI consultant over the top. The whole product, not a module of a multi-industry suite.
New to the category? Start with what RIA compliance is or the full RIA compliance guide.
Where it does not
Broker-dealer, bank, and insurance
RegFin serves investment advisers, including dually registered firms. The advisory program runs end to end, and the AI consultant's library carries the FINRA rulebook alongside the Advisers Act, so you get cited answers across both. It is not a broker-dealer supervisory system, though. Written supervisory procedures, trade reporting, and FINRA filings stay with your broker-dealer program, and RegFin does not run bank BSA/AML or insurance compliance.
If you need one tool across bank or insurance work too, RegFin is not the fit.
Questions buyers ask.
Investment adviser compliance software is a system built to run the compliance program of a registered investment adviser (RIA). It captures communications, monitors personal trading, manages Form ADV and filings, reviews marketing against the SEC Marketing Rule, and tracks the attestations and reviews the Investment Advisers Act requires, then produces the evidence for an SEC or state examination. RegFin is this kind of software, built for the adviser segment specifically.
RIAs specifically, including the advisory side of dually registered firms. RegFin is built for SEC- and state-registered investment advisers, and every capability is scoped to the obligations an adviser carries under the Advisers Act. That is a deliberate focus. It is why the software fits an advisory firm without heavy configuration, and it is why we say plainly when a firm type is not a fit.
RegFin is built for investment advisers, including dually registered firms, and it runs the advisory side of the compliance program end to end. The AI consultant's regulatory library also carries the FINRA rulebook alongside the Advisers Act, so answers can cite both rulebooks. RegFin is not a broker-dealer supervisory system. Written supervisory procedures, trade reporting, and FINRA filings remain with your firm's broker-dealer program.
RegFin's workflows map to the core Advisers Act rules: the books-and-records rule (17 CFR 275.204-2), the compliance program rule (275.206(4)-7), the code of ethics rule (275.204A-1), and the Marketing Rule (275.206(4)-1). Each of those links to the primary text on eCFR from the SEC rules covered section above.
The AI consultant is built into every module rather than bolted on as a separate chatbot. It answers questions about the rules and your firm's own records, and it is built not to answer without first retrieving the records it will cite, so every answer shows its sources. Each prompt and response is archived alongside the rest of your books, which means your AI usage is itself examinable.
RegFin is subscription software priced per seat, and every seat includes the full platform. Pricing scales with the size of your firm, and it is built to sit well below the cost of an outsourced compliance program. See current plans and pricing, or book a demo and we will map it to your firm's setup.
Priced for small and growing advisory firms.
RegFin is subscription software priced per seat, and every seat includes the full platform. Pricing scales with the size of your firm, and the cost sits well below an outsourced compliance program that bills the routine questions by the hour.