RIA compliance software that replaces your whole stack.
RegFin is AI-powered compliance software for registered investment advisers. It brings communications archiving, trade and marketing monitoring, vendor due diligence, and a cite-grounded AI compliance consultant into one platform. Every channel (email, SMS, iMessage, WhatsApp, social, web) is captured to WORM storage.
Three jobs that usually take three vendors.
Most RIAs cobble together an expensive legacy archiving platform, a separate compliance tool, and vendor reviews in spreadsheets. RegFin runs all three from the same data, so a flagged email becomes a compliance event becomes an exam exhibit, automatically.
WORM email, web & messaging archive
Every email, text, WhatsApp thread, website, and social post is kept as a record an examiner will accept, with AI reading each one for the claims that draw an enforcement action.
Filings, monitoring & preclearance
Form ADV amendments, code of ethics certifications, trade preclearance, marketing reviews, and exam prep, with every obligation carried from first draft to filed, so nothing lapses and the sign-off is already captured when an examiner asks.
Due diligence & data governance
Purpose-built for Reg S-P and the SEC’s amended safeguards rule. Inventory every vendor and internal system that touches client PII, track who has access, and document your written policies, so when examiners ask how you protect customer records, the answer is already assembled.
Every SEC, FINRA, and state deadline. Already on your calendar.
Every obligation in the Investment Advisers Act is already on your calendar with an owner, the evidence it needs, and a place to sign off. A new rule drops and your workflow is rebuilt overnight, before it can catch you short.
- ✓Form ADV (Parts 1, 2A, 2B, CRS) with change detection. See exactly what differs from last year before you file.
- ✓Code of ethics certifications, personal trade preclearance, and gifts & entertainment all in one workflow.
- ✓Marketing review. AI flags performance claims, testimonial issues, and missing disclaimers across PDFs, decks, and web copy.
- ✓Content Library. Approved marketing materials stored for reuse, with AI pre-screening on customization and automatic archiving on deploy.
- ✓Exam binders assembled continuously, not the night before. Every filing is documented with a complete audit trail.
Ditch your legacy archive. Archiving lives where compliance lives.
Every email, iMessage, text, WhatsApp thread, social post, and web page your firm produces is sealed the moment it is sent and ready to hand an examiner, with AI reading each one as it lands. We own capture end to end. Nothing from another vendor sits between the message and the archive.
- ✓iMessage archiving with BYOD. Advisors keep their personal phone and number. RegFin captures business threads selectively, not the whole device. Partial backfill of existing iMessage history included.
- ✓Email, SMS, WhatsApp, social, and website capture. One query searches everything, with channel-agnostic policy.
- ✓17a-4 / 204-2 compliant WORM archive. Examiners can verify any message hasn't been altered.
- ✓AI-graded review queues. Reads tone, intent, and citation context, not just keywords, so reviewers focus on real issues instead of keyword noise.
Vendor reviews, prefilled. SOC 2s, tracked. Renewals, watched.
RegFin maintains a live registry of every vendor your firm uses, with SOC 2 reports, DDQs, contract terms, and risk scoring. When a SOC 2 expires, it's already on your CCO's queue, not in someone's inbox archive.
- ✓Vendor library. 40+ vendor profiles for the tools RIAs actually use (Schwab, Fidelity, Orion, Tamarac, Salesforce…).
- ✓Risk scoring tied to data sensitivity, regulatory criticality, and last review date.
- ✓Auto-prefill DDQs from prior responses. Your team approves, doesn't re-author.
One contract. Every workflow.
No integration project. No data syncs. No "we'll have to ask the archiving vendor." If it's a CCO's job, RegFin does it.
RegFin AI
An expert who cites the rule. Available at 11pm before a filing.
RegFin's AI consultant is trained on the full Investment Advisers Act, FINRA rulebook, and 50-state advisor regs. Every answer ships with the citation, so you can handle the routine questions in-house and save the billable hours for when you need outside counsel.
- ✓Cite-grounded answers. If we can't point to a CFR section, we say so.
- ✓Drafts the response. Ask a question, get a citation, then turn the answer into a Form ADV amendment in one click.
- ✓Knows your firm's policies, not just the regs. Upload your compliance manual, code of ethics, or internal policies, and the AI cites your rules alongside SEC and FINRA requirements, so answers reflect the stricter standard.
- ✓Replaces the $400/hr consultant call for the 80% of questions that have a clear regulatory answer.
Built for firms like yours.
The full-time CCO at a $250M–$2B RIA
Replace ComplySci, Smarsh, and your DDQ spreadsheet. One login, one audit log, one renewal cycle.
Sub-$500M, wearing the CCO hat
Stop paying $30k/yr to an outsourced consultant for things RegFin's AI does in seconds, with citations.
Multi-state RIA scaling fast
50-state coverage out of the box. Hire faster, onboard faster, never worry about a new state's filing deadlines.
$1B+ RIA replacing legacy software
You've outgrown RIA-in-a-Box. RegFin is the platform you wish your old vendor had built.
Up and running in days, not months.
No lengthy implementation project. We handle the heavy lifting so your team can focus on compliance, not configuration.
Connect
Link your email and messaging accounts. We configure archiving and begin capturing communications immediately.
Configure
Set up your firm profile, compliance calendar, and vendor registry. Import your existing policies and documents.
Train
Your team walks through the platform with a RegFin specialist. We tailor workflows and surveillance rules to your firm.
Go live
Start managing your compliance program from one platform. Our team is available to support you through your first filing cycle.
Guides and tools for RIA compliance teams.
In-depth guides and interactive tools for SEC- and state-registered advisers, each one cited to the rules it covers.
The complete guide to RIA compliance
How the Advisers Act, the annual review, Form ADV, the Marketing Rule, custody, and Reg S-P fit together into one compliance program.
Read the guide →The interactive RIA compliance checklist
Work through every recurring obligation, from the annual review to state notice filings, with your progress saved in this browser.
Open the checklist →Hiring an RIA compliance consultant
What consultants cost, what an outsourced CCO actually does, and when software covers the same ground.
Read the guide →SEC and FINRA email archiving requirements
What advisers must retain under Advisers Act Rule 204-2, how it maps to Exchange Act 17a-4 and FINRA 4511, and why WORM storage satisfies both.
Read the guide →RIA compliance software 2026: eight platforms compared
RegFin, COMPLY, Smartria, Hadrius, Greenboard, Red Oak, ACA, and StarCompliance side by side, with every mark sourced to the vendor's own site.
Read the comparison →What RIA compliance software costs
The pricing models behind every quote, the cost drivers that move it, and how to budget total cost of ownership when no vendor posts a list price.
Read the guide →No surprises.
Less time on compliance. More time advising.
See how RegFin consolidates archiving, compliance, and vendor due diligence into one platform built for registered investment advisers.