For solo & small-shop SEC/state-registered RIAs — compliance officer in a tab

A compliance officer in a tab.

Marketing-rule scanner, Form ADV checker, disclosure generator, deadline calendar, and a real-time compliance health score — all backed by SEC Rule 206(4)-1 and Advisers Act citations. ComplySci-grade output at 1/4 the price.

Start 14-day free trial — $49/mo→See it scan a paragraph

Rule 206(4)-1 (a)(1)–(d)(8) encoded into every prompt. Findings cite the exact subsection.

Part of the AEQUARA Suite · 46 AI tools · Not legal/financial advice

SEC + state deadlines tracked — annual ADV update, custody exam, code-of-ethics, 13F, Form PF, AML, state renewals

$2,000–$8K

ComplySci / MCO monthly cost vs. $149/mo for the same Marketing Rule + Form ADV coverage

< 1 min

Setup time vs 4–8 weeks for enterprise compliance suite onboarding

Compliance that actually compiles

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Marketing-Rule scanner

Paste any client-facing copy. Sentence-by-sentence red/amber/green ratings with the exact Rule 206(4)-1 subsection cited and a concrete fix suggested.

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Form ADV Part 2A checker

Severity-ranked findings list — required disclosures missing, internal contradictions, plain-English readability, conflict-of-interest gaps, custody coherence.

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Disclosure generator

Wizard outputs fee schedule, custody, conflicts, performance, and complaint-process language tailored to NY, CA, TX, FL, or generic state law.

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Compliance calendar

23 SEC + state deadlines (annual ADV update, custody surprise exam, code-of-ethics affirmation, 13F, Form PF, AML, state renewals). Email reminders 7 days out.

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Compliance health score

0–100 dashboard score with red/amber/green status, weighted by marketing-asset risk, open ADV findings, and upcoming deadlines.

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Marketing-asset library

Save scanned assets. Re-scan after edits. Watch the rating climb from red to green and ship with confidence.

Three plans. All include a 14-day free trial. Save $1,500+ per month vs. ComplySci.

Starter

$49/month

Marketing-Rule scanner + compliance calendar — the two highest-risk surfaces for most solo RIAs.

Unlimited Marketing-Rule scans
23-deadline compliance calendar
Email deadline reminders (7 days out)
14-day free trial

Start with Starter

RIA Compliance Copilot

$499/month

Full compliance suite — ADV checker, disclosure generator, health score, asset library. Cancel any time.

Unlimited Marketing-Rule scans
Unlimited Form ADV section reviews
Disclosure generator (all states)
23-deadline compliance calendar
Email deadline reminders (7 days out)
Compliance health score dashboard
Marketing-asset library + re-scans
Cancel anytime — no annual lock-in
14-day free trial

Get Pro Access

Annual

$1,190/year

Full RIA compliance toolkit all year + 2 months free + onboarding support.

Everything in Pro
Billed annually (save ~$798 vs monthly)
14-day free trial
Onboarding support
Cancel anytime

Get Annual Access

Frequently asked

How does this compare to ComplySci or MyComplianceOffice?

ComplySci/MCO start at ~$2,000/mo and scale up. They are built for 50+ user firms with broker-dealer affiliates. RIA Compliance Copilot is built specifically for the solo or 1–3-person RIA shop that needs Marketing Rule and Form ADV review without a six-figure compliance budget.

Are you giving legal advice?

No. The tool surfaces likely issues based on the published text of SEC Rule 206(4)-1 and common state RIA frameworks. RIAs should retain qualified securities counsel for legal advice. The product is positioned as a first-pass review and disclosure-generator assistant.

How accurate is the AI?

Every prompt is constrained to the encoded text of Rule 206(4)-1 and Form ADV Part 2A item structure. The model returns structured JSON with rule citations — not free-form opinions. Heuristic checks (sentence length, hedge-phrase density, custody/fee contradictions) run alongside the model to catch easy signals deterministically.

Is RIA Compliance Copilot worth $499/mo?

Compliance consultants charge $300–$500/hr for Marketing Rule and Form ADV review. ComplySci starts at ~$2,000/mo. At $499/mo you get unlimited scans with Rule 206(4)-1 subsection citations — for significantly less than traditional compliance infrastructure.

What if I don't get results?

The 14-day free trial does not bill until day 14; cancel before then to pay $0. If Marketing Rule scans do not produce subsection-cited findings in your first session, email us within 7 days for a full refund.