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Mobile Compliance Reminders

Peace of mind, in the palm of your hand.

We'll let you know when, where, & how to complete your compliance tasks.

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Convenient

No need to log in, monitor websites, or set reminders. We'll notify you right where you are via text message.

Comprehensive

We've thought of everything so you don't have to. Your reminders will come with links to forms, FAQs, and tutorials.

Timely

We'll keep you on track to manage all of your compliance responsibilities throughout the year—no more last-minute panic.

Trustworthy

We've dedicated our careers to RIA compliance. You can trust that we know what you need to know and when you need to know it.

We've got you covered.

Managing your RIA compliance program has never been easier.

  • Quarterly Personal Securities Transactions

    We'll point you right to the QPST Form and explain the process in a short video.

  • Annual Holdings

    Know when your Annual Holdings Reports and get quick access to the form you need.

  • Financials Review

    Be reminded to review your firm's financials and, if applicable, submit them to your regulatory jurisdiction.

  • Annual ADV Update

    When it's time to work on your ADV Annual Update Amendments, we'll be there with frequently asked questions.

  • Program Forensic Testing

    Our tutorial videos will guide you through a review of your billing practices, client suitability, custodial statements, and solicitation & sub-advisory arrangements.

  • Program Periodic Testing

    We'll keep you on track to review advertising, political contributions, trade error client complaints, gift logs, and more.

  • Cybersecurity and Third-Party Vendor Due Diligence

    Get an annual reminder to conduct a review of cybersecurity policies & procedures and to execute due diligence on third-party vendors.

  • Annual Compliance Meeting

    Don't let the year pass you by without your Annual Compliance Meeting to discuss findings from program testing activities.

  • Annual Compliance Review

    No need to stress about your firm's Annual Compliance Review. We've got a reminder and a tutorial for that.

  • Annual Certification of Compliance

    We'll ping you to complete an annual certification of compliance, a requirement for all supervised persons.

  • Registrations and Renewals

    Critical, yet so easy to forget. We'll remind you when it's time.

  • Firm Reporting and AUM Calculations

    Need a reminder on AUM calculations? We've got you covered.

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