How You Benefit
What is the ADV Analyzer
Scores the total quality of your regulatory filing by measuring the three areas that the SEC focuses on: Accuracy, Consistency, and Frequency.
Our analysis will help you efficiently identify and manage compliance risk within your regulatory filing
Bridge the Gap
Improve the quality of the Form ADV
The SEC is Watching!
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Meet the founders
To avoid litigation issues with the sec - spend a little to save a lot
The SEC continues to criticize registered Registered Investment Advisers (RIA) for inaccurate, inconsistent, and less frequent regulatory filings. The SEC has publicly disclosed their use of more advanced data mining and analytical techniques to proactively identify Advisers that demonstrate “off-market” regulatory filing practices. “Off-market” practices are relatively easy to spot when one examines the filing practices of one Adviser versus 17,000 other Advisers. Adviser filings across multiple periods that “materially” differ from their prior filings or are inconsistent with the filing practices of other Advisers across the market. Advisers with “off-market” practices are fertile ground for further inspection. The SEC views. Advisers making “off-market” filings as potential “bad actors” that can create risk to investors and the market.