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
Email, SMS, WhatsApp, websites, and trading platforms, all captured to immutable storage with AI surveillance and keyword flagging built in.
Filings, monitoring & preclearance
Form ADV amendments, code of ethics certifications, trade preclearance, marketing reviews, and exam prep: every obligation tracked from start to filing with automated deadlines, approvals, and audit trails.
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.
RegFin ships pre-loaded with the Investment Advisers Act's full obligation graph. New rule comes out, your workflow is rebuilt overnight. Owners assigned, evidence required, sign-off captured.
- ✓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.
Email, iMessage, SMS, WhatsApp, social media, and website capture, all landing in WORM storage with built-in AI supervision. 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.
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.