RIA-first
— Purpose-built for advisers, not a generic multi-industry suite
Investment adviser compliance software · RIAs
Compliance software for
Compliance software for
investment advisers.
RegFin is 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
Definition
What is compliance software for financial services and investment advisers?
Financial services compliance software is a system of record that helps a regulated firm run its compliance program: capturing communications, monitoring activity for rule violations, tracking filings and attestations, and producing evidence for an examination. "Financial services" is a broad category, and the specific obligations differ by firm type: a bank answers to BSA/AML rules, a broker-dealer to FINRA supervisory rules, and an investment adviser to the Investment Advisers Act of 1940.
Investment adviser compliance software is the version of that built for one segment: SEC- and state-registered investment advisers. That is the segment RegFin serves end to end. Rather than a generic platform retrofitted across every financial-services vertical, RegFin maps directly to the Advisers Act program an RIA's Chief Compliance Officer actually has to run, so the workflows, the rule citations, and the exam exports speak the adviser's language out of the box.
Segment focus
Who RegFin is built for
RegFin is built exclusively for investment advisers. That is a deliberate focus, not a limitation. Every capability is scoped to the obligations an RIA carries under the Advisers Act, which is why the software fits an advisory firm without configuration gymnastics, 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
- 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
Capabilities
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 →
The differentiator
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 is RegTech built for RIAs, which means the software can read the record and reason over it. Ask "does this email trip the Marketing Rule," "when did we last deliver this client's Form ADV," or "who signed the current Code of Ethics," and the AI consultant retrieves the answer and shows the exact rule clause and record it pulled from.
The distinction matters for an examiner. A generic wrapper around a chatbot answers from memory and can invent a citation. RegFin's assistant is built not to answer a question about your firm without first retrieving the records it will cite, and every prompt and response is archived alongside the rest of your books. You can read more in our guide to evaluating AI compliance software, and see the AI consultant in detail.
SEC rules covered
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.
Category, honestly
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 covers the program end to end: recordkeeping, the code of ethics, the compliance rule, and the Marketing Rule, with an AI consultant over the top. This is the whole product, not a module of a larger 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 compliance program runs in RegFin end to end, and the AI consultant's regulatory library carries the FINRA rulebook alongside the Advisers Act, so a dually registered firm gets cited answers across both rulebooks. What RegFin is not is a broker-dealer supervisory system. Written supervisory procedures, trade reporting, and FINRA filings remain with the firm's broker-dealer program. RegFin also does not run bank BSA/AML programs or insurance compliance.
If you need one tool to run bank or insurance compliance alongside advisory work, RegFin is not the fit, and we would rather tell you now than in a demo.
Pricing & getting started
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. See current plans, or bring your setup to a demo and we will map it to your program.
FAQ
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.
Built for your firm type
See it run on an adviser's program.
A demo runs your real questions against a sample RIA: personal-trade reviews, ADV changes, marketing checks, and "ask the record" queries, every answer backed by a citation.
Book a demo →